John A. Mooney, Jd Email & Phone Number

Serve as individual Secondment for large public corporations such as Assurant, Inc., Conagra Brands, and Blackstone. • Provide specialized advice across diversified spectrum of benefits-related regulations such as the Affordable Care Act, COBRA, HIPAA, ERISA, IRS Code section 409A and Consolidated Appropriations Act of 2021.• Team with Benefits team on the design, drafting, and implementation of welfare, wellness, and fringe benefit plans such as medical, (including account-based plans such as HSAs, HRAs, and FSAs), dental, vision, adoption assistance and surrogacy.• Provide advice on the operation and day-to-day administration of all plans, including responding to participant inquiries and employee benefit claims/appeals and reviewing Summary Plan descriptions, policies, employee communications, annual enrollment materials, and supporting content.• Offer counsel on plan governance matters, ERISA fiduciary obligations, prohibited transaction, reporting and disclosure rules applicable to benefit plans.• Ensure compliance with IRS and ERISA and day-to-day administration of qualified and non-qualified retirement savings and pension plans.

United States

I reviewed contracts ensuring the most favorable terms and key provisions such as service standards, termination and buyout clauses, and data and personal identifiable information protection. • Responsible for the proper functioning of the firm’s human resource department. Took lead on employment/labor issues such as employee terminations. • Guided internal supervisors on talent acquisition, employee relations, the performance management process, and on employee issues including disciplinary action and internal investigations, as needed. • Managed all ERISA compliance matters as it relates to Symmetry’s retirement offering to clients. Served as co-administrator to the firm’s own 401k retirement plan, overseeing the operations of the plan. • Established vendor due diligence process to allow internal stakeholders to properly screen new vendors and monitor the services provided ensuring contractual service requirements. • Created and maintained all organizational legal documents such as operating agreements, state registrations, and intra-firm documents ensuring compliance, clarity, and reduced risk.• Maintained all business-related insurance policies to meet regulatory requirements and fiduciary obligations, while identifying opportunities for cost savings and new business relationships.

United States

I created the firm’s regulatory compliance and risk program as mandated by the Investment Advisers Act of 1940 (“Advisers Act”). I provided the firm’s regulatory filings, drafted required disclosure documents such as ADV Part 1, ADV Part 2A, and ADV Part 2B, and acted as primary contact during routine exam inspections by regulators. • Developed compliance program for Apella Capital, LLC, (Symmetry Partners affiliate), which included mandating the firm's code of ethics requirements and established transactional, periodic, and forensic testing plan to ensure compliance to fiduciary obligations.• Reviewed and edited the most complex advertising material to meet standards mandated by Advisers Act and FINRA. • Key player in launching the firm’s proprietary mutual funds, the Symmetry Panoramic Funds, (“Funds”). Duties included — but were not limited to — serving as the Funds’ Chief Legal Officer, board material preparation, ensuring compliance with the Investment Company Act of 1940 and all applicable regulations, and assisting in the review and drafting of the Prospectus and Statement of Additional Information for filing with the SEC.

United States

• Collaborator and team player in providing tax services for employees, (“taxpayers”), of General Electric and Diageo, Inc., who were on international assignment.• Analyzed and organized taxpayers' files to effectively assimilate and comprehend data for the preparation of U.S. tax returns within defined budgets. • Utilized technology to identify and allocate respective tax responsibilities of taxpayer/corporation.• Researched statutes of law and prepared memoranda in response to tax notices issued by the IRS and taxpayers' inquiries regarding technical tax advice. • Conducted initial consultation with taxpayers to strategize tax preparation in order to minimize additional taxes to be incurred by the taxpayer due to the assignment. • Assisted with state tax audits by developing answers for state tax questionnaires sent to taxpayers and developing legal positions for discussion with tax regulators.

Master'S Degree, Strategic Human Resource Management.

Graduate Certificate, Human Resources Management

Doctor Of Law - Jd, Law

Bachelor Of Science - Bs, Business Administration And Management, General