Mark Klein Email and Phone Number
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Mark is a deeply and broadly experienced General Counsel and Chief Compliance Officer. Since leaving private practice and working in-house, Mark has worked:- Across the spectrum of financial services firms from a bulge bracket global bank (UBS) to a US Registered Investment Advisor (Marketfield); and- Across the globe with work in countries including US, UK, Switzerland, Austria, Norway, Brazil and Australia.This range of experiences means that Mark:- Understands how financial services of all sizes work and thrive in the face of increasing global complexity and regulation; and- Drives business outcomes with a keen sense of how best to manage legal and regulatory risks.Mark is acutely aware that a General Counsel and Chief Compliance Officer's greatest value is to facilitate the lawful and prudent conduct of business. This is best achieved through a thorough understanding of that business coupled with the ability to command C-suite respect such that when it is necessary to say "No", it's understood and respected.
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Chief Administrative OfficerBurford Capital Jan 2020 - PresentNew York, Ny, Us -
General CounselBurford Capital Sep 2017 - PresentNew York, Ny, UsI am the General Counsel at Burford Capital. Burford Capital is a leading global finance firm focused on law and the largest provider of strategic capital to the legal market. Its businesses include litigation finance and risk management, judgment enforcement and a wide range of legal finance and advisory activities. Burford's equity and debt securities are publicly traded on the London Stock Exchange, and it works with law firms and clients around the world from its principal offices in New York, Chicago and London. -
General Counsel And Chief Compliance OfficerMarketfield Asset Management Jan 2014 - Sep 2017Zurich, ChGeneral Counsel and Chief Compliance Officer of Marketfield which is registered investment adviser to a 1940 Act Mutual Fund and listed Irish Qualifying Investor Alternative Investment Fund. In this role, Mark developed and implemented a comprehensive compliance program, including employee training modules and cybersecurity awareness. Mark has worked closely with the chief operating officer to build monitoring tools to track transaction cost analysis, statutory and prospectus trading limits and large shareholder filings.Responsible for: all Compliance matters for RIA and Funds, including reviewing and updating Compliance Manual, Code of Ethics and performing related monitoring and testing, Form ADV and other regulatory filings.Work with outside counsel to structure complex investments to be suitable for a 1940 Act Mutual Fund. Structured, managed and implemented complete reorganization of the Mutual Fund, including proxy and prospectus solicitations. Negotiated vendor contracts, ISDAs, Prime Brokerage Agreements, Participation Agreements and Dealer Agreements. -
General CounselNewglobe Capital Partners Apr 2013 - Dec 2013General Counsel and Chief Compliance Officer.Mark worked with the founders of NewGlobe to create and develop a niche business within the private equity secondaries space. Mark's accomplishments in this role include:- Identifying and analyzing investment opportunities- Managing due diligence review of funds and portfolio companies- Structuring and restructuring numerous types of fund vehicles and negotiating all documents- Structuring, negotiating and managing terms of relationship with seed investors.- Registering firm with the SEC, including preparing and filing Form ADV- Developing legal, compliance and governance structure, and policies and procedures for newly formed firm -
Managing Director And General CounselUbs 2008 - Apr 2013Zurich, ChGeneral Counsel, Infrastructure & Private EquityIn this role, Mark worked on all aspects of the business from structuring and marketing regulated funds through to executing the acquisitions on behalf of those funds. Key work:- Structuring and raising the USD 1.5 billion UBS International Infrastructure Fund I- Structuring and raising the USD 650 million UBS International Infrastructure Fund II- Acquiring a 50% stake in Northern Star Generation (USD 400m invested equity) - US- Acquiring a 16% stake in Southern Water (USD 400m) - UK- Acquiring a 30% stake in Saubermacher (USD 100m) - Austria- Acquiring a 60% stake in Collgar Wind Farm Project (USD 150m) - Australia- Acquiring an 8% stake in Gassled (USD 300m) - Norway- Working closely with fund managers on operating legal issues in each of the portfolio ompanies -
First Vice President And Executive DirectorUbs 2000 - 2008Zurich, ChUBS undertook a global acquisition program during 2000 to 2008. During this time, Mark worked across UBS as corporate counsel with a focus on:- strategic and own-account M&A including the acquisition of Pactual in Brazil;- merchant banking and private equity; and- 1933 Act offerings and 1934 Act reporting. -
AssociateWeil, Gotshal & Manges Llp 1992 - 2000New York, Ny, UsWeil Gotshal and Manges (today known as Weil) is a leading New York and international law firm. Mark spent his first eight years of legal practice developing deep and wide experience in:- public and private mergers and acquisitions;- debt and equity capital markets and securities law;- private equity;- special situations and distressed M&A; and- corporate governance.
Mark Klein Skills
Mark Klein Education Details
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New York University School Of LawLaw -
Georgetown University Law CenterLaw -
Yeshiva UniversityHistory
Frequently Asked Questions about Mark Klein
What company does Mark Klein work for?
Mark Klein works for Burford Capital
What is Mark Klein's role at the current company?
Mark Klein's current role is General Counsel and Chief Administrative Officer at Burford Capital.
What is Mark Klein's email address?
Mark Klein's email address is gl****@****ail.com
What is Mark Klein's direct phone number?
Mark Klein's direct phone number is +151655*****
What schools did Mark Klein attend?
Mark Klein attended New York University School Of Law, Georgetown University Law Center, Yeshiva University.
What skills is Mark Klein known for?
Mark Klein has skills like Due Diligence, Private Equity, Mergers And Acquisitions, Corporate Governance, Investments, Equities, Securities Regulation, Financial Services, Restructuring, Hedge Funds, Mutual Funds, Legal Compliance.
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