Jennifer Welsh Email and Phone Number
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Jennifer Welsh is a General Counsel and Chief Compliance Officer at Public Trust Advisors, LLC at Public Trust Advisors, LLC. She possess expertise in risk assessment/ risk management, investment advisor compliance, investment company act, sec filings, investment advisers act and 4 more skills.
Public Trust Advisors, Llc
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General Counsel And Chief Compliance OfficerPublic Trust Advisors, Llc Jul 2022 - PresentDenver, Colorado, Us
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General CounselMyriad Asset Management Us Lp Jul 2021 - Jun 2022
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Attorney AdviserU.S. Securities And Exchange Commission Jan 2016 - Jun 2021Washington, Dc, Us -
Vice President, Deputy Chief Compliance OfficerAlps, A Dst Company Aug 2015 - Dec 2015Denver, Co, Us -
Vice President, Senior CounselAlps, A Dst Company Mar 2013 - Aug 2015Denver, Co, Us
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Chief Compliance Officer And Associate General CounselBoulder Funds Jun 2010 - Nov 2012- Administered the regulatory compliance programs for four closed-end investment companies and three SEC registered investment advisers, with assets under management of approximately $1 billion.- Directed the risk management program for the funds, advisers and administrator to efficiently and effectively identify legal and business risks, analyze the potential impact to the organization and collaborate with senior management to develop and implement risk mitigation strategies.- Counseled the advisers and funds regarding complex legal and regulatory issues, including issues relating to compliance, corporate governance, new product development, capitalization, service provider contracts, leverage, financing, and disclosure.- Oversaw fund corporate governance, develops board meeting agendas, coordinates preparation, compilation and dissemination of board materials, reviews minutes and resolutions, and maintains books and records. - Conducted internal investigations, coordinates regulatory examinations, prepares annual reviews of the funds and advisers, oversees outside counsel, and manages ongoing litigation. - Drafted and prepared board reports, SEC regulatory filings, policies and procedures, regulatory correspondence, shareholder reports, service provider contracts, and internal and external memos. - Oversaw third-party service providers by conducting onsite visits and meetings, compiling and reviewing due diligence materials, resolving legal, compliance, operational and issues, and acting as communication liaison on behalf of senior management. - Coordinated selection and implementation of automated compliance systems for personal trading and pre- and post-trade compliance testing.
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Associate AttorneyDavis Graham & Stubbs Llp Jan 2007 - May 2010Denver, Co, Us- Counseled open-end and closed-end investment companies on routine and non-routine matters, including fund formation, fund mergers and adoptions, fund liquidations and complex regulatory compliance issues under the Investment Company Act of 1940.- Drafted and reviewed investment adviser and investment company regulatory filings including registration statements, proxy statements, annual and semi-annual reports, quarterly holdings reports, Form ADV, Sch 13G, Sch 13F, etc. - Counseled hedge funds, private equity funds, investment advisers and broker-dealers on formation, securities offerings, general corporate matters and regulatory compliance issues, including registration, trading, litigation and raising capital.- Counseled public and private companies on general corporate matters, governance, disclosure and compliance under federal and state securities laws including the Securities Act of 1933, the Exchange Act of 1934 and the Advisers Act of 1940. -
Legal Intern, Enforcement DivisionFinancial Industry Regulatory Authority (Formerly Nasd) May 2006 - Nov 2006Washington, District Of Columbia, Us- Analyzed evidence and evaluated litigation risks associated with bringing charges against broker dealers for violations of the securities laws and NASD Rules. - Drafted complaints, motions, settlement documents, as well as corresponding memos requesting approval for the chosen course of litigation from the NASD Office of Disciplinary Affairs.- Routinely made recommendations to modify charges and/or change the focus of litigation; on numerous occasions, recommended legal strategy resulted in successful settlement.
Jennifer Welsh Skills
Jennifer Welsh Education Details
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University Of Denver - Sturm College Of LawDoctor Of Law (J.D.) -
Tulane UniversityMajor: Psychology; Minor: Business
Frequently Asked Questions about Jennifer Welsh
What company does Jennifer Welsh work for?
Jennifer Welsh works for Public Trust Advisors, Llc
What is Jennifer Welsh's role at the current company?
Jennifer Welsh's current role is General Counsel and Chief Compliance Officer at Public Trust Advisors, LLC.
What is Jennifer Welsh's email address?
Jennifer Welsh's email address is we****@****sec.gov
What is Jennifer Welsh's direct phone number?
Jennifer Welsh's direct phone number is +120255*****
What schools did Jennifer Welsh attend?
Jennifer Welsh attended University Of Denver - Sturm College Of Law, Tulane University.
What skills is Jennifer Welsh known for?
Jennifer Welsh has skills like Risk Assessment/ Risk Management, Investment Advisor Compliance, Investment Company Act, Sec Filings, Investment Advisers Act, Securities Exchange Act Of 1934, Investment Company Compliance, Corporate Governance, Corporate Law.
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