• Advise wealth management, brokerage and advisory business of dually registered broker-dealer/investment adviser including digital advisory tools and financial planning. • Guide on corporate strategy matters including optimal legal structure of Wealth Management business.• Negotiate and execute M&A transactions involving sale of TIAA Bank and other TIAA-owned companies.• Close deals for TIAA general account regarding investments in Nuveen private funds and other U.S. and foreign private funds. • Advise on regulatory matters: SEC, FINRA and DOL/ERISA rules; examinations; policies and procedures.• Create and negotiate distribution arrangements with third-parties for investment products including mutual funds, CITs and variable annuities.

Served as counsel to ETFs and mutual funds, investment advisers and broker-dealers. Advised clients on corporate governance matters involving fund boards and independent trustees. Worked with various firms to enhance their compliance with complex securities regulations.

Advised newly acquired ETF business on a diverse set of legal and compliance matters. Guided the business through the resulting integration by renegotiating key contracts with service providers and working with established mutual fund board on their new oversight responsibilities. As a result of these efforts, launched 15 smart-Beta ETFs and developed distribution and technology arrangements to market and sell them.

I worked on the corporate, contracts and regulatory team covering various projects impacting OppenheimerFunds' mutual fund, ETF and advisory businesses. I established OppenheimerFunds as a CTA and CPO and ensured that related CFTC and NFA rules were being followed. I also implemented new SEC and FINRA rules. On the board team, I prepared and reviewed board materials and presented them to the board. As a member of the contracts team, I negotiated hundreds of corporate and IP contracts.

Advised on investment company and investment advisers' requests to operate novel processes and structures involving ETFs, funds of funds, manager of managers, cash sweep and securities lending arrangements. After reviewing and commenting on these requests, I issued exemptive orders or no-action letters. Reviewed registration statements, conducted compliance examinations of investment companies and investment advisers and assisted with enforcement matters.