Brought on board to provide legal counsel and advice to business units and executive leadership on a wide array of day-to-day operational strategies, legal topics, commercial transactions, risk management, employment, and general business matters. Influence and implement long-term strategy.Draft, negotiate, and review third-party and commercial contracts for procurement, purchase, professional consulting and services, IT software/license, real estate/equipment lease, human resources, construction, and transportation agreements for all business units and functions.Create in-house process and procedures for IP patent program.Manage internal and external stakeholders (vendors, regulators, state/local legislatures, external counsel) on defining and adhering to project goals and timelines.

Provided legal and regulatory advice on Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934. Prepared regulatory filings, including SEC, Treasury Dept., and pay-to-play filings at the federal, state and municipal levels; assisted with regulatory filings in foreign jurisdictions.Drafted and implemented compliance policies, procedures and controls for an SEC-registered investment adviser. Led several firm-wide initiatives, including the socially responsible investing (SRI) considerations project that was delivered at a 50% cost savings.Created and administered companywide compliance training.Managed third-party vendor agreements, selection and on-boarding, and quarterly performance evaluations. Requested by several vendors to beta test new products and services.

Researched laws and regulations, prepared U.S. and Non-U.S. Regulatory Guidance books, and drafted a range of corporate policies and procedures that included Gifts and Entertainment and Personal Trading. Negotiated and drafted confidentiality agreements, services agreements and other commercial contracts. Approved all marketing materials.

Investment Funds Paralegal for the Corporate Department, involved in all aspects of private fund formation (hedge funds and private equity funds) including constitutive agreements, subscription agreements, SEC filings, corporate governance and coordination of closings.