Jon Sprole Email & Phone Number

United States

Stamford, CT / Nashville, TN

• Lead Legal and Compliance teams and serve as Corporate Secretary.
• Advise senior leadership and Board on strategic, legal and regulatory matters.
• Worked with senior leadership and Board to complete the acquisition and integration of six companies.
• Oversight of corporate governance and liaison with controlling shareholders.
• Management and oversight of product liability and class action litigations and product safety recalls.
• Management of commercial agreements and disputes and labor and employment and union activities.

Philadelphia, PA

• Legal oversight for overall investment, financing and dispositions of private investment portfolio as well as administrative and legal responsibility for management company activities.
• Manage overall transaction process including CA/NDAs, oversight of legal and risk due diligence, structure and documentation and management of outside counsel.
• Oversight of accounting, reporting and treasury functions, insurance programs, human resources, general fund management.
• Responsible for regulatory compliance including training, policies and investigations.

New Canaan, CT

Providing strategic regulatory and business advice and serving as board member to early stage and start up companies in a wide range of industries, including infrastructure finance, security technology, alternative energy and pharmaceutical development.

New York, NY

• Served as Chief Compliance Officer establishing coordinated global compliance organization (150 employees: 12+ attorneys, 100 direct/50 indirect). Member of Management Executive Committee.
• Successfully worked with Federal Monitor under Deferred Prosecution Agreement; addressing his compliance concerns, providing updates monthly to chairman of the board and quarterly to board finance committee.
• Assisted in achieving a civil settlement of long standing investigation by U.S. Attorney and negotiated Corporate Integrity Agreement with Office of Inspector General of HHS.
• Implemented global compliance auditing programs, established global Privacy and Environmental programs, conducted investigations of all compliance related matters and assisted in developing FCPA policies and training.
• Supervised global compliance policy development and ethics training, developed industry leading sales compliance training program.

Stamford, CT

• GENERAL COUNSEL AND MANAGING DIRECTOR – GE EQUITY (March 1994 - October 2003)Initial member of senior leadership team and investment committee which founded GE Equity, approved investments and provided strategic.
• Supervised global legal team (5 attorneys based in U.S., Asia and Europe) and managed broad array of global outside counsel in cost effective manner.
• Worked closely with business partners to provide legal support for portfolio that grew to over 300 global investments with a book value of $5 billion.
• Responsible for initial implementation and compliance with Sarbanes-Oxley regulations and GE Capital’s securities filingsGENERAL COUNSEL / DEPARTMENT COUNSEL - CORPORATE FINANCE GROUP (October 1988 - March 1994)
• As part of senior leadership team, provided legal support for $5 billion LBO/HLT portfolio and $2 billion restructuring portfolio.
• Led legal group (2 attorneys) in negotiating and documenting all new investments in a timely manner.

New Canaan, CT

Corporate/Securities matters; organization and corporate secretary duties, employment contracts, shareholders’ agreements, issuance of stock, options and warrants, partnerships and joint ventures.

El Paso, Texas Area

Annual reporting for publicly held clients; public offerings of common stock and debentures; private placements of preferred stock and bonds; stock and asset acquisitions.

Doctor Of Law (J.D.)

Bachelor Of Arts (B.A.), Classics And Classical Languages, Literatures, And Linguistics

High School Diploma