Jennifer Fromm Email and Phone Number
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Legal executive with broad experience in business and legal leadership roles in the financial services sector. Significant experience providing extensive business and legal counsel and leading business transitions. Excels in regulatory compliance, corporate governance, strategic planning and team engagement. Focuses on solutions, operational requirements, economic constraints, and long-term goals. Strategic and creative thinker, problem solver, and collaborative leader with a focus on transparency and clarity. Consensus builder skilled at navigating legal and regulatory challenges.
Virtus Investment Partners
View- Website:
- virtus.com
- Employees:
- 379
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Vice President And Senior CounselVirtus Investment Partners Dec 2007 - Present- Responsible for providing legal and regulatory input and recommendations on various strategic decisions, including engagement and oversight of outside counsel as necessary, as well as performing due diligence for potential mergers and acquisitions.- Lead legal resource for several boutique investment managers, responsible for drafting, negotiating and reviewing various agreements, including investment management agreements and other client account agreements, solicitation agreements and service provider agreements; assisting with development and implementation of various compliance policies and procedures; acting as primary contact for examinations by SEC; and drafting and reviewing communications with regulators.- Lead legal resource for broker-dealer and transfer agent, including assisting in development and implementation of operations, compliance and supervisory policies and procedures; drafting, negotiating and reviewing sales agreements, revenue sharing agreements, sub-transfer agency agreements and service provider agreements; and assisting with examinations by, and communications with, regulators.- Point person responsible for researching laws and regulations related to marketing of commingled investment vehicles and investment advisory services in various countries around the world and developing related marketing disclosure program, as well as organization and ongoing maintenance of Cayman entity. - Responsible for all legal tasks relating to family of approximately 80 mutual funds, including acting as Chief Legal Officer for several of those funds; drafting, reviewing and negotiating agreements; and drafting and reviewing Board and shareholder meeting materials, attending and presenting at meetings, and keeping minutes thereof; drafting and reviewing all regulatory documents.
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Vice President And CounselDimensional Fund Advisors Aug 2005 - Nov 2007- Provided advice and assistance in all aspects of investment management and mutual fund business, including corporate governance; drafting, review and negotiation of various agreements; review of shareholder disclosure documents; and reviewing and approving institutional marketing materials.- Responsible for researching laws and regulations related to marketing of commingled investment vehicles and investment advisory services in various countries around the world and developing related marketing disclosure program; drafting, reviewing and filing substantial shareholding notices in various countries; reviewing and revising documents relating to registration with UK Financial Services Authority and UK Companies House; and reviewing and revising various documents relating to registration and operation of Irish UCITS and UK open-end investment company. -
Vice President, Secretary, Chief Compliance Officer, Chief Legal Officer And Aml Compliance OfficerSa Funds - Investment Trust Aug 2000 - Feb 2005- Responsible for overall management of day-to-day operations of family of mutual funds, including oversight of fund service providers and reviewing and approving disbursements, as well as monitoring and addressing valuation issues.- Provided legal advice and support in all areas, including drafting, negotiating and reviewing various fund agreements and trust documents.- Managed compliance, including drafting, and monitoring compliance with, policies and procedures, including full compliance program pursuant to Rule 38a-1 and assisting development and implementation of Sarbanes-Oxley compliance policies and procedures.- Supported Board and committees, including drafting and distributing meeting materials, minutes, correspondence, etc., attending and presenting at meetings, and maintaining required records such as minute books.- Responsible for regulatory administration, including drafting, reviewing and filing registration statements, supplements, exemptive applications, and proxy statements.- Acted as primary contact for examinations by SEC, and drafted and/or reviewed all communications with regulators.- Conducted internal audits of various functions and reported results to Board.
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Associate General CounselLoring Ward Aug 2000 - Sep 2004- Provided legal and regulatory input and recommendations on all strategic decisions involving operations of firm, particularly in areas of product development, risk management, corporate structure and corporate governance- Engaged and managed outside counsel and consultants in various matters.- Monitored and managed litigation.- Provided advice and direction in human resources matters.- Performed corporate secretarial functions. -
Associate CounselState Street Bank & Trust Co. Aug 1999 - Aug 2000Greater Boston Area- Drafted, reviewed and filed registration statements, supplements, exemptive applications, shareholder proxy statements and applications for deregistration.- Drafted and reviewed Board and committee meeting materials, minutes, correspondence, etc., and attended and presented at Board and committee meetings. - Drafted, negotiated and reviewed various fund agreements and corporate/trust documents.
Jennifer Fromm Skills
Jennifer Fromm Education Details
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Doctor Of Law (Jd)
Frequently Asked Questions about Jennifer Fromm
What company does Jennifer Fromm work for?
Jennifer Fromm works for Virtus Investment Partners
What is Jennifer Fromm's role at the current company?
Jennifer Fromm's current role is Financial Services Attorney.
What is Jennifer Fromm's email address?
Jennifer Fromm's email address is je****@****nal.com
What is Jennifer Fromm's direct phone number?
Jennifer Fromm's direct phone number is +186026*****
What schools did Jennifer Fromm attend?
Jennifer Fromm attended Georgetown University Law Center, University Of California, Los Angeles, University Of California, Berkeley.
What skills is Jennifer Fromm known for?
Jennifer Fromm has skills like Investment Company Act, Investment Advisers Act, Regulatory Compliance, Corporate Law, Contract Law, Securities Regulation, Sec, Mutual Funds, Alternative Investments, Broker Dealer Compliance, Fund Administration, Corporate Governance.
Who are Jennifer Fromm's colleagues?
Jennifer Fromm's colleagues are Jeffrey Ragsdale, Mba, Schoettmer Jason, Hur-Ming (Ming) Wong, Caia, Jim Sena, Maria Oliveira, Mary Kelly, Denise Vernale.
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