Manages a team of legal professionals including attorneys and non-attorneysEnsures compliance with federal securities laws and NASDAQ listing requirements.Draft/reviews SEC filings, earnings materials and other public communications.Supports the Board of Directors and its committees corporate governance, including updating policies and procedures, preparing minutes, and reviewing other Board materials.Leads mergers and acquisitions transactions, including drafting confidentiality agreements, performing due diligence, and negotiating and drafting term sheets and definitive agreements. Lead attorney on the $275 million acquisition of Power Finance by Marqeta.Advises the People/ Human Resources team on global executive compensation and broad-based equity compensation matters, including equity compensation plans, cash incentive plans, the long-term performance program, compensation and governance policies. Supports global mobility and workforce planning.Closely collaborates and supports the Compliance Function and the compliance programs for relevant topics such as conflicts of interest, Regulation FD and Regulation G, insider trading and other matters.Formalizes the company’s strategic approach to environmental, social, and governance (ESG) matters and stakeholder engagement.Supports general corporate matters, including Delaware law, international subsidiary maintenance, and inter-company transactions.Partners with Tax, Accounting and Controllership on all treasury management and legal entity needs.Manages a team of legal professionals.

Private and public companies from the United States and around the globe rely on Lumen Worldwide Endeavors for sophisticated, innovative solutions to their most difficult decisions. As the CEO, I am responsible for managing Lumen's resources, promoting the enterprise to its stakeholders, recommending an annual budget, and implementing strategic plansAt Lumen we also provide:• Chief Compliance Officer Services. Let Lumen Worldwide Endeavors develop the framework and implement the programming that will position your new business for success well into the future. Choose the services you need or the interim support and transition services required.• Privacy Programs. Lumen Worldwide Endeavors regularly implements the privacy, records management and data governance programming that forward-looking organizations need. • Corporate Secretary and Corporate Governance Advisory Services. Lumen is uniquely positioned to offer corporate governance and corporate secretarial support including for streamlining and enhancing effectiveness of subsidiary management.• Program Development and Implementation of Foundational Elements. Lumen Worldwide Endeavors will develop and implement all or a portion of your program needs.• Third Party Oversight (including Third-Party Service Providers) and Supply Chain Compliance. We have deep experience in developing a sustainable third-party oversight process including monitoring and auditing.• Environmental, Social and Governance (ESG) Advisory Services. Extensive work supporting ESG initiatives working with Ecovadis and other rating agencies as well as stakeholders.• On-site Training & Communication. Training delivered in person and virtually in English and Spanish

We are an independent, invitation-only, peer community where in-house legal counsels share knowledge / best practices and support each other throughout our lives and careers.

I also served as an Assistant General Counsel supporting the business in a variety of endeavors for a publicly traded company that provides a suite of B2B and B2C solutions including fintech. I provided legal support and advice in connection with various banking, compliance, and privacy matters, including many international obligations. To do this I drove the definition and development of corporate, policies, procedures, and programs that mitigate risk while aligning organizational resources. This also required me to anticipate operational challenges and estimate risks strategically while leveraging excellent communication skills to guide business units in evolving complex multinational transactions.Some highlights from this capacity at Deluxe included:- Provided legal advice and support on a range of matters including data driven marketing, consumer protection, privacy, international regulatory regimes and other critical legal activities.- Stepped in to provide labor law and securities law support as needed during transitions.

As the Chief Compliance Officer, I reported to the General Counsel and lead the compliance function which has had up to 20 reports. To do this, I worked closely with senior leaders and executives, developed strategic plans, and reviewed compliance reports. I leveraged these relationship while providing compliance and ethics leadership in connection with multiple programs such as FCPA, FCRA, GDPR, GLBA, OFAC and many others.I also regularly spoke at external functions within the compliance industry to facilitate the strong brand of the organization. I used these same skills and knowledge as an internal resource to spearheads compliance training and exercises for all personnel throughout the enterprise.Some of my achievements in this capacity at Deluxe included:- Built an ethics program from the ground up starting with new, graphically pleasing Code of Conduct, established independent anonymous hotline and led investigations into complaints relating to compliance.- Evaluated third party providers and conducted multiple RFPs for cost savings and improved service, created innovative communications for employees including digital strategies, and engaged with regulators and law enforcement relating to compliance issues.- Reorganized the compliance function by assessing skills and redeploying talent as needed to suit changing business needs.- Developed clear mission, vision and purpose to connect the team by investing in leadership at multiple levels to promote culture with a cohesive business-focused approach resulting in increased employee engagement and customer satisfaction.- Coordinated business team and internal subject matter expertise to support FFIEC examination and address findings for remediation with quarterly updates to FFIEC team comprised of OCC, Federal Reserve and FDIC.- Partnered with IT/Information Security, HR, and other departments to investigate and respond to data and security incidents.

I volunteered to serve as half of the General Counsel role while a full search was conducted for the next General Counsel. I did this successfully while balancing my existing internal compliance and legal responsibilities.In this role, I acted as the Corporate Secretary and advised the Board of Directors in their fiduciary capacities as to compliance with statutory and regulatory considerations. I also utilized my extensive knowledge and understanding of the operations and the business units to serve as a business partner on multiple strategic initiatives. I found success in this role by applying my effective negotiation and persuasive skills to build buy-in from the key stakeholders and the C-Suite.Some of my achievements in my tenure:- Handled significant securities work including the annual proxy statement, supplemental listing application, Form S-8 equity plan registration statement, and corporate governance.- Negotiated, drafted and managed teams responsible for multiple sophisticated commercial contract matters requiring compliance to regulatory standards.- Worked closely with human resources business partners and employee relations on matter including benefits, compensation, wage and hour claims, ADA, EEOC remediation, background checks, immigration and diversity equity and inclusion initiatives.

As the VP of Global Compliance, I reported to the Executive Vice President and General Counsel while leading a team of 8 direct reports with responsibility for all enterprise compliance programs. This included developing, deploying, and managing a multitude of programs including OFAC, GDPR and other privacy programs, human trafficking and other regulatory and travel requirements. I also spearheaded a number of internal investigations while managing the response to the applicable regulatory authorities.Some notable achievements in this role include:- Development of the Code of Business Ethics and Conduct as well as the training programs relating to compliance with law and establishment of a risk assessment process.- Oversaw the operations functions performed by TS in connection with sanction screening, monitoring, investigations and suspicious activity reporting.- Advised senior leaders and the board on regulatory and risk management issues related to global compliance matters.- Provided governance and oversight of CWT Compliance programs in all regions and functions.- Partnered with other control functions, including Audit, to ensure the effective operation of the global program. Liaised regulatory with regulatory officials, law enforcement and intelligence agencies where appropriate.

As a Senior Corporate Counsel at a Fortune 50 retail company at the time, my practice primarily focused on: securities, compliance, corporate governance, executive compensation, and social responsibility. I regularly engaged with cross-functional teams, investors, department heads, and leaders throughout the enterprise. I also managed a team of 5 professionals with responsibility over all SEC reporting, legal entity management and executive compensation legal support.Some of my big wins in this role include:- Aided in the support of two $2.5 billion revolving credit facilities.- Provided legal support for a $3 billion accelerated stock repurchase.- Provided representation for $500 million Note offer.- Streamlined benefits and compensation work. Engaged with team on novel benefits initiatives and principles of executive compensation.- Organized transition to new web-based solution to manage entities while also serving as the Assistant Secretary to many domestic and international subsidiaries.- Developed the Office of Subsidiary Governance and established multi-function committee.

Transactional- High level of complex transactional-focused work. Experience reviewing 1933 and 1934 Act filings. M&A experience including tender offers, mergers, acquisitions, exchange offers and proxy solicitation. Participation as member of the Shareholder Proposal Task Force. Preparation of no-action letters. Extensive knowledge of exemptions, venture-type deals and small business issues. Some exposure to’40 Act. Knowledge of various industries including retail. Litigation- Extensive meetings with Enforcement, Market Regulation and International Affairs. Prepared as expert witness for testimony in DOJ trials. Provided expert assistance to Enforcement Policy exposure- Assisted in the preparation of new telephone interpretations. Collaborated on white paper on Small to Medium Enterprise capital formation within the Western Hemisphere for COSRA. Traveled internationally with Commissioner Campos to attend COSRA meeting. Prepared speech.