Norma Sabo, J.D., Ll.M. Email and Phone Number
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Collaborative key contributor with senior leaders to board and committees with subject matter expertise across regulatory compliance, risk management, business strategy, strategic planning, corporate governance, operations, litigation, and tax. Outstanding track record of achievement in the international and financial services industry. Maintains a deep understanding of regulatory directives and legislative changes on a global scale.Highly skilled negotiator who facilitates complex deals and provides support for closing multimillion-dollar transactions. Proactively advances initiatives while minimizing legal, regulatory, financial and reputational risk. Empowering and collaborative leader providing strategic direction and management oversight for the Legal department. Fluent Spanish. Recognized thought leader and specialist in: Federal Reserve Act, Securities Act of 1933, Securities and Exchange Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940, Bank Holding Company Act, Volcker Rule, Enhanced Prudential Standards, Bank Secrecy Act (BSA), anti-money laundering rules (AML), Office of Foreign Asset Control (OFAC), FinCEN Customer Due Diligence/Beneficial Owner Rules, Foreign Corrupt Practices Act (FCPA), & Gramm Leach Bliley Act (GLBA). Early career includes experience as an Associate in the securities litigation, regulatory and transactional practice areas and as a Law Clerk with the U.S. Securities and Exchange Commission. Competencies include:• Corporate, Banking, Securities, Investment Advisory, & Investment Company • Business Transactions/M&A• Litigation & Dispute Resolution• Regulatory Relations/Advocacy• Corporate Restructuring & Business Modeling• Legal & Operational Process Engineering • Corporate Initiatives & Due Diligence• Investment Products & Services• Corporate Governance, Policy Guidelines, Procedures & Internal Controls• Team Training, Development & MentoringI am open to relocation for the right opportunity. I can be contacted at normasabo@gmail.com
Banescousa
View- Website:
- banescousa.com
- Employees:
- 483
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Svp, General Counsel And Corporate SecretaryBanescousaFlorida, United States
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Svp, General CounselBanescousa Jul 2020 - PresentMiami, Florida, Us
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General Counsel, Corporate & Business Legal Strategist, Regulatory Attorney, Risk Management LeaderInfluential & Trusted Advisor To C-Suite Sep 2019 - Jun 2020
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Svp, General Counsel For Business StrategyBanco Santander International 2018 - 2019Boadilla Del Monte, Madrid, EsEvaluated business opportunities, strategies, models, regulatory requirements and risks to provide comprehensive input during the decision-making cycle. • Catalyzed revenue growth by developing and implementing a networking arrangement promoting increased cooperation between international private bank and wealth management, affiliated broker-dealer, retail, and corporate investment banking business lines.• Architected a major prospective organizational restructuring initiative to enhance centralization and synergy of the business line, functional roles, and regulatory compliance.• Developed a prospective platform providing banking, custody and investment services for international private banking and wealth management clients advised by independent financial advisors, allowing for the capture of new business and retention of clients moving to competing third-party advisors and multi-family offices. -
Svp, General Counsel & Corporate SecretaryBanco Santander International Mar 2017 - Dec 2018Boadilla Del Monte, Madrid, EsAdvisor to board of directors and senior management on regulatory compliance, risk management, business strategy, strategic planning, corporate governance, operations, new products and business activities, litigation and investigations. Member of executive level committees, including Chief Executive, Executive Risk, and Enterprise Risk Management. • Contribution to satisfactory results, and timely and complete response to corrective actions and remediation, in audit, compliance and regulatory reviews and examinations. • Strong aptitude for fostering working relationships with management, directors, and supervisory regulatory agencies to ensure ongoing compliance across all operations, transactions, products, and services. • Developed and implemented an alternative investment product platform, launching the first alternative investment program since the financial crisis, which expanded product offerings and increased assets under management. • Facilitated mergers and acquisitions of multinational banking and wealth management portfolios, including those with cross border and U.S. regulatory complexities, resulting in incremental growth or the divestiture of assets under management.• Provided strategic guidance and oversaw complex litigation, internal investigations, and multifaceted regulatory and law enforcement inquiries while mitigating risks, in conjunction with outside counsel.• Built, led and trained a team of six legal professionals to address the Bank's comprehensive operations and growing business initiatives. • Developed and administered a cost-effective budget and managed resources.
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Svp, Interim General CounselBanco Santander International Nov 2016 - Mar 2017Boadilla Del Monte, Madrid, EsAdvisor to board of directors and senior management. Member of executive level committees, including Chief Executive, Executive Risk, and Enterprise Risk Management.Supervised the legal services provided by in-house attorneys and external counsel on diverse and wide range legal issues responsive to regulatory requirements, compliance, operations, risk management and business initiatives related to international private banking and wealth management. • Advised Finance, Treasury and Credit Risk on the application of the U.S. Basel III capital framework for regulatory capital and liquidity, including Market Risk Capital Rule and Collateral Haircut Approach methodology.• Advised, developed and implemented policies, procedures, guidelines and training for compliance with regulatory standards, enterprise risk management and corporate governance.
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Svp, Senior AttorneyBanco Santander International Feb 2016 - Nov 2016Boadilla Del Monte, Madrid, EsProvided legal solutions and guidance in connection with fiduciary standards; capital markets; operations; cross-border transactions; audit reviews, regulatory examinations and inquiries; new products and business activities; finance; secured lending; employment; leases; and vendors. • Developed a deep understanding of tax/reporting requirements such as FATCA, 1042-S NRA Withholding and Reporting, and NRA U.S. Estate Taxation and established related processes to ensure a comprehensive regulatory tax compliance program.• Provided training on regulatory matters and best practices. • Mentored and supervised three attorney direct reports.
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Vp, Senior AttorneyBanco Santander International Dec 2007 - Jan 2016Boadilla Del Monte, Madrid, EsManaged and advised on legal aspects of investment offerings of offshore and U.S. affiliate issued medium term note programs, structured notes, equities, and fiduciary deposits. Drafted and negotiated securities transactional agreements, prospectuses, investment subscriptions, complex disclosures and marketing materials, and client account and service agreements in connection with private placements, private equity, hedge funds, financial intermediary and distribution, and custody. Advised on regulatory requirements, legal risks, and recommended course of action on AML, OFAC, SAR filings, sales practices, customer complaints and HR matters.• Established SICAV sub-funds/collective investment funds, and related investment management and investment advisory documents for a wealth management client family group with $2B in assets.• Concurrent responsibility as Legal Counsel for broker-dealer subsidiary in acquisition regulatory approval process, audits, clearing arrangements, FINRA and SEC regulatory examinations and actions, compliance, asset and client transfers, product offerings, corporate governance, and FINRA withdrawal and dissolution.• Advised on permissibility under the Federal Reserve Act and Bank Holding Company Act of potential structures, and extensive due diligence, in connection with a significant proposed acquisition by a sovereign wealth fund.• Litigated class actions, claims, arbitration, and responded to/defended law enforcement/administrative/civil subpoenas/letters rogatory/other legal process while accomplishing favorable resolutions (including extensive Madoff related matters, and a DOJ Petition for Remission granting $2M blocked by OFAC) and settlement agreements.• Negotiated multimillion-dollar special term credit facilities and collateral pledges secured by securities exchanged for shares of Madoff related investments. • Successful workout and orderly liquidation of ADRs pledged for significant loans of a family owned conglomerate.
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AttorneyMerrill Lynch 2003 - 2007New York, Ny, UsRepresented firm in connection with disputes and regulatory inquiries related to securities law, sales practices and fraud. • Investigated and evaluated allegations; interfaced with regulators; advised on risk; prepared regulatory filings and responses; determined resolution strategy; negotiated settlements.
Norma Sabo, J.D., Ll.M. Skills
Norma Sabo, J.D., Ll.M. Education Details
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University Of Miami School Of LawTaxation -
Nova Southeastern University Shepard Broad College Of LawDoctor Of Law - J.D.
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University Of MiamiPolitics And Public Affairs
Frequently Asked Questions about Norma Sabo, J.D., Ll.M.
What company does Norma Sabo, J.D., Ll.M. work for?
Norma Sabo, J.D., Ll.M. works for Banescousa
What is Norma Sabo, J.D., Ll.M.'s role at the current company?
Norma Sabo, J.D., Ll.M.'s current role is SVP, General Counsel and Corporate Secretary.
What is Norma Sabo, J.D., Ll.M.'s email address?
Norma Sabo, J.D., Ll.M.'s email address is ns****@****der.com
What is Norma Sabo, J.D., Ll.M.'s direct phone number?
Norma Sabo, J.D., Ll.M.'s direct phone number is (305)-539*****
What schools did Norma Sabo, J.D., Ll.M. attend?
Norma Sabo, J.D., Ll.M. attended University Of Miami School Of Law, Nova Southeastern University Shepard Broad College Of Law, University Of Miami.
What skills is Norma Sabo, J.D., Ll.M. known for?
Norma Sabo, J.D., Ll.M. has skills like Mergers And Acquisitions, Securities, Capital Markets, Legal Research, Banking, Corporate Governance, Due Diligence, Corporate Law, Securities Regulation, Legal Writing.
Who are Norma Sabo, J.D., Ll.M.'s colleagues?
Norma Sabo, J.D., Ll.M.'s colleagues are Paula Ruiz, Eric Luis, Zaide Sanchez, Pedro El Khaouli, Sira Gonzalez, Oscar Valdes, Aury I Trinidad, Cpa.
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