Responsible for all legal and compliance matters for an SEC registered investment adviser focused on OCIO services to high-net-worth individuals and families, foundations, and non-profits with ~ $9B AUM.

- Managed a team of compliance associates; administered compliance program of SEC registered investment adviser; maintained policies and procedures; prepared regulatory filings; conducted annual testing of the program; and acted as liaison to Compliance Committee for the purposes of providing updates on the compliance program. - Researched various regulatory issues pertinent to investment advisers to determine applicability to Firm and impact on compliance program. - Reviewed Firm marketing and advertising materials to ensure accuracy and compliance with U.S. and international regulatory requirements.- Responsible for the compliance programs for the Firm’s UK, Singapore, and Canadian-based operating units. - Member of the Firm’s inaugural Diversity, Equity and Inclusion Council, established in summer 2020

- Created, implemented, and maintained compliance programs, including drafting and revising compliance manuals, policies and procedures for registered investment advisers and registered funds.- Conducted annual review of policies and procedures pursuant to Rule 206(4)-7 and 38a-1, as applicable, for registered investment advisers and registered funds. - Responsible for compliance support to registered funds, advisers and broker-dealers by providing regulatory advice and guidance, assisting with regulatory filings, and managing regulatory exams.- Provided a range of legal services, including contract drafting and negotiation, researching securities and corporate law issues, and advising on regulatory matters, to broker-dealers and investment advisers.

Pershing LLC, a BNY Mellon Company, provides technology, operational, trading, investment and practice management solutions to financial services firms and advisors.- Negotiated, drafted and reviewed investment advisory, third-party service provider, vendor, and licensing agreements in connection with separately managed account and unified managed account platforms.- Conducted due diligence and prepared reports on broker-dealers and investment advisory firms for Executive Committee. - Provided general legal advice to various business units within Pershing, including sales, marketing, operations, and technology.