After 3 years of planning, I embarked on a world journey, during which I traveled extensively in 11 countries on 4 continents. I meditated in silence for 10 days in Prachin Buri, Thailand. I trekked 125 miles over 13 days in the Nepali Himalayas, circumnavigating the Annapurnas, taking a very cold (and brief) swim in Tilicho Lake at an altitude of 16,000 feet, and crossing the Thorong La pass at an elevation of nearly 18,000 feet during an early morning snowstorm. I observed cremation rituals… Show more After 3 years of planning, I embarked on a world journey, during which I traveled extensively in 11 countries on 4 continents. I meditated in silence for 10 days in Prachin Buri, Thailand. I trekked 125 miles over 13 days in the Nepali Himalayas, circumnavigating the Annapurnas, taking a very cold (and brief) swim in Tilicho Lake at an altitude of 16,000 feet, and crossing the Thorong La pass at an elevation of nearly 18,000 feet during an early morning snowstorm. I observed cremation rituals on the Ganges in Varanasi, India. I ate Kati rolls in Kolkata where they were invented and visited the more than 200-year-old Indian Museum, which seemed frozen in time. I took Spanish classes in Buenos Aires. Leaving from Ushuaia at the tip of Argentina, I cruised the rough waters of the Drake passage and ice fields in the Lamaire Channel and ended up drinking homemade Ukrainian vodka at Verdansky Research Station, Antarctica. I trekked 90 miles in 9 days in Torres del Paine National Park in the Patagonia region of Chile, walking through fields of daisies, up steep trails, and alongside the 100-square-mile Grey Glacier. I trekked in the rain in Fiordland National Park, New Zealand. I took a 35 hour bus ride to view Uluru (aka Ayer’s rock) at sunset in the sparsely populated “red center” of Australia. I slept overnight in hostels, hotels, apartments, tea houses, guest houses, dorms, huts, tents, buses, trains, cars, and boats. I negotiated using hand gestures and broken English. I had a close encounter with a venomous flying tree snake in Sukotai, Thailand. I was conned by hustlers running tourist scams. I navigated road crossings and sidewalks teeming with hundred of motorcycles in Ho Chi Minh City, Vietnam. I was bitten by bed bugs and had travel plans thwarted by floods and pandemics. In new and dynamic contexts, I practiced professional skills, including negotiating, time management, project management, networking, writing, team building, and learning from mistakes. Show less

• Managed the compliance department for a $32B SEC-registered investment adviser with ultra high net worth clients, private equity funds, venture funds, a real-estate fund (a joint venture with Iron Point Partners, LLC) and multiple single-purpose investment vehicles. • Establish, mentored and managed a team of eight.• Engaged, negotiated with, oversaw and directed service providers to facilitate legal, compliance, and operational requirements.• Managed and mitigated regulatory… Show more • Managed the compliance department for a $32B SEC-registered investment adviser with ultra high net worth clients, private equity funds, venture funds, a real-estate fund (a joint venture with Iron Point Partners, LLC) and multiple single-purpose investment vehicles. • Establish, mentored and managed a team of eight.• Engaged, negotiated with, oversaw and directed service providers to facilitate legal, compliance, and operational requirements.• Managed and mitigated regulatory risks and conflicts of interest.• Served on the following committees: Best Execution, Business Continuity, and Conflicts. • Evaluated insurance needs and maintained professional liability and casualty policies.• Managed through the first SEC examination, including responding to the deficiency letter and implementing remediation procedures.• Managed defense and settlement of meritless lawsuit against the firm for $0. • Managed legal and regulatory requirements for expansion into APAC region, including implementation of an international compliance program for newly formed Singapore subsidiary. • Oversaw regulatory filings, including Form ADV, Form PF, 13F, blue sky, 13D/G, and international exemptions.• Directed implementation of new procedures and use of outsourced service providers to facilitate 24-hour turn around time for first round comments on more than 700 confidentiality agreements per year.• Managed the department budget.• Implemented new LLC structure to reduce legal risk and provide better customer service experience for clients.• Implemented novel transaction management procedures and a review and approval process to mitigate against potential fraud and errors for teams processing an average of sixty to eighty client money movement requests per day. Show less

• Directed firm operations, including currency hedging for investment funds, investor reporting, controlling cash movement, soft dollar budgeting, attribution reporting, and portfolio reconciliation. • Implemented and supervised the firm's compliance program, including code of ethics, best execution, and investment valuation. • Registered the firm as an investment adviser with the U.S. Securities and Exchange Commission and the Ontario Securities Commission. • Reviewed and approved… Show more • Directed firm operations, including currency hedging for investment funds, investor reporting, controlling cash movement, soft dollar budgeting, attribution reporting, and portfolio reconciliation. • Implemented and supervised the firm's compliance program, including code of ethics, best execution, and investment valuation. • Registered the firm as an investment adviser with the U.S. Securities and Exchange Commission and the Ontario Securities Commission. • Reviewed and approved contracts. • Managed service providers, including fund administration, accountants, research and auditors. Show less

• Advised clients on formation and structure of domestic and offshore investment funds, separately managed accounts, registration of investment advisers, as well as regulatory and compliance matters.

• Served as the Chief Compliance Officer for two SEC-registered investment advisory firms. • Evaluated regulatory and business risks and structures and implements compliance programs and procedures to mitigate those risks.• As outsourced CCO, managed two SEC exams, including responding to deficiencies and implementing remediation procedures.

• Drafted petitions, proposed orders, memorandums of points and authorities, and answers.• Prepared Judicial Council Forms for probate, conservatorship, and estate proceedings.

• Analyzed securities trading data, phone and banking records, transcripts, and brokerage statements for SEC investigations and enforcement actions.• Researched legal issues and drafted memorandums recommending courses of action.

• Customized, implemented, and monitored compliance programs and Codes of Ethics for Conifer’s hedge fund manager clients, including SEC registered Investment Advisers.• Managed and prepared regulatory filings for hedge funds, including Schedule 13-F, Schedule 13-G, and blue-sky filings to comply with varying state requirements.• Supported clients during regulatory exams and inquiries by researching requests, gathering and preparing documents, responding to examiners’ questions, and… Show more • Customized, implemented, and monitored compliance programs and Codes of Ethics for Conifer’s hedge fund manager clients, including SEC registered Investment Advisers.• Managed and prepared regulatory filings for hedge funds, including Schedule 13-F, Schedule 13-G, and blue-sky filings to comply with varying state requirements.• Supported clients during regulatory exams and inquiries by researching requests, gathering and preparing documents, responding to examiners’ questions, and drafting and reviewing responses.• Reviewed trading activity for compliance with trading restrictions and trade approval procedures.• Developed and supervised new Customer Identification Procedures for Conifer’s Anti-Money Laundering Compliance Program.• Reviewed investor letters and informational materials for regulatory compliance.• Conducted annual compliance program reviews and testing for SEC Registered Investment Advisers. Show less