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Nicole Trudeau is a seasoned legal professional with over 15 years of experience working at the intersection of technology, finance, and law. She has a distinguished career in the financial services and securities regulatory sectors, with significant expertise in financial services, FinTech, cryptocurrency, and blockchain technology.Prior to joining Wave Digital Assets as its first General Counsel, Nicole most recently served as the functional General Counsel for Robinhood Crypto, LLC, a wholly-owned subsidiary of Robinhood Markets, where she played a pivotal role in guiding the company's legal and regulatory strategies in a challenging global crypto regulatory environment. Her leadership was instrumental in launching Robinhood Crypto's trading platform in Europe and obtaining key digital asset licenses across the European Union.Previously, she held the position of General Counsel at a global cryptocurrency exchange, where she provided strategic legal guidance on digital asset offerings and navigated complex regulatory frameworks. Her career also includes serving as Chief Legal Officer overseeing the Legal and Compliance Departments for a registered investment adviser and broker-dealer with more than $9 billion in assets under management. She also spent time in the investment management practices of various law firms, holding significant roles at Simpson Thacher and K&L Gates.Nicole holds a J.D. from the University of Michigan Law School and an A.B. in Rhetoric from the University of California, Berkeley. She has been recognized as a "Rising Star" in asset management and has held leadership positions in several legal and industry associations. Her expertise spans a wide range of areas, including securities law, corporate governance, ESG investing, and significant experience with international financial regulations.
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General Counsel And Chief Compliance OfficerWave Digital AssetsSeattle, Wa, Us
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General CounselWave Digital Assets Aug 2024 - PresentLos Angeles, California, UsWave Digital Assets (known as “Wave”), is an SEC-registered investment advisory firm that provides a unique combination of venture capital, fund, and private wealth management to the digital asset ecosystem. Founded in Los Angeles in 2018 by a team of highly experienced crypto natives and financial services professionals, Wave brings together smart capital strategies, deep institutional expertise, and cutting-edge ideas to help investors unlock the potential of digital assets. -
Director, Crypto And International LegalRobinhood Jul 2022 - Jul 2024Menlo Park, California, Us• Provided strategic legal advice on navigating the challenging crypto U.S. regulatory environment, leveraging relationships with the SEC and practicing securities law for over a decade.• Ensured compliance with U.S. and international laws associated with financial services, internet technology, and crypto, collaborating with Compliance and Marketing teams.• Managed the Robinhood Wallet from a corporate and product regulatory perspective, leading cross-functional efforts and streamlining approval processes for aggressive growth. -
General CounselCex.Io Dec 2021 - Jul 2022London, England, GbEstablished in 2013, CEX.IO is a regulated cryptocurrency exchange trusted by more than 5 million users. Hired to be a member of the executive leadership team to provide thought leadership and guidance on cryptocurrency product offerings within the confines of opaque global financial regulatory regimes, including:- Counseling the global digital assets exchange and financial product offerings during the full product life-cycle, including with respect to the trading of digital assets and derivatives- Ensuring product compliance with applicable U.S. and international laws and regulations associated with payments/financial services, internet technology, and crypto, including money transmission laws, NYDFS BitLicense, banking regulations, e- money issuance, SEC and CFTC developments and more in close collaboration with the Compliance and Marketing teams Advising on financial regulatory and securities law, as well as all other domestic and global legal implications for product development and launch- Designing efficient systems for legal approval of new digital asset product offerings for retail and institutional users Designing and advising on securities law issues associated with novel digital asset types- Developing the process for assessing DeFi models under the securities and other federal laws- Being a policy advocate by engaging with industry trade associations and providing input on comment letters responding to SEC Rule Proposals- Providing thought leadership and strategic direction on novel digital currency and blockchain technology legal and regulatory issues focused on the institutional space- Leading complex and global cross functional efforts, effectively collaborating with internal stakeholders and business teams (Business Development/Sales, Product/Engineering, Compliance)- Proactively streamlining approval processes for an exceedingly accelerated and aggressive global growth plan -
Chief Legal Officer And General CounselSaturna Capital Jan 2018 - Dec 2021Responsible for legal and compliance oversight of all applicable international, federal and state laws and regulations (including SEC, FINRA, CFPB, FinCEN, BSA, AML) and corporate governance serving as a member of an executive leadership team reporting to the Chief Executive Officer and President whose mission is to develop strategic business initiatives and financial services product development and prioritizing business objectives. Manage the Legal and Compliance Department with a mandate to provide support for all aspects of the business including: - Mergers and acquisitions, conducting risk assessments, policy development and implementation, product development and marketing, and designing and implementing employee training programs on privacy, ethics, as well as new and developing laws and regulations.- Provide oversight regarding all privacy-related matters (including GDPR and CCPA) working cross-functionally with the IT and HR departments on data security.- Negotiate and review all service provider contracts for privacy concerns.- Review advertising communications and related policies and procedures.- Responsible for all aspects of securities regulatory compliance, including making periodic filings with the SEC.- Serve as the corporate secretary for each corporate entity.- Prepare corporate documents and liaise with the Board of Directors.- Provide advice regarding regulatory developments and coordinate the Company’s response to new regulations, including direct and indirect advocacy with regulators and industry trade associations, and provide oversight of training programs regarding such regulatory developments.- Provide legal advice with respect to environmental, social, and corporate governance (ESG) matters.
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CounselSimpson Thacher & Bartlett Llp Jun 2017 - Dec 2017New York, Ny, UsRecruited to the Washington, DC office to support the regulatory initiatives of various clients of the Corporate and Financial Services Practice Group by interfacing with the SEC to develop and change various securities regulatory regimes. -
PartnerStradley Ronon Mar 2016 - Jun 2017Philadelphia, Pa, UsRecruited with a group of partners from my preceding firm, K&L Gates LLP, to expand the Corporate, Securities and Investment Management Practice Group. In that capacity, represented investment advisers, investment companies (including open- and closed-end funds, as well as ETFs), other pooled investment vehicles (such as BDCs and UITs), and independent board members on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940, as well as other U.S. federal securities laws. Such representation included:Organized and launched initial public offerings of investment companies, including closed-end funds and ETFs and provided legal advice with respect to the ongoing regulatory compliance and operation of such investment products.Organized and registered investment companies and pooled asset vehicles in various structures, including interval funds and business development companies (BDCs).Structured and conducted due diligence for mergers and acquisitions of investment companies and investment management organizations. -
PartnerK&L Gates Mar 2016 - Mar 2016Pittsburgh, Pennsylvania, UsInitially hired as a Summer Associate in the Washington, DC office for the summer of 2006, and then joined as an Associate in the Investment Management, Hedge Funds and Alternative Investments Practice Group in September 2007 and promoted to Partner in 2016. Participated in the firm's corporate governance by serving on the Hiring and Associate Governance Committees, and provided mentorship to junior attorneys. Client representation included:Prepared materials for, and attended meetings of, board members and shareholders.Advised independent board members on corporate governance and other regulatory matters.Lead client teams to complete complex corporate and regulatory projects. -
AssociateK&L Gates Sep 2007 - Feb 2016Pittsburgh, Pennsylvania, Us
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Law ClerkU.S. Department Of Justice Dec 2004 - Aug 2005Washington, Dc, Us -
Senior Program CoordinatorCouncil For International Exchange Of Scholars Oct 2002 - Oct 2004
Nicole Trudeau Skills
Nicole Trudeau Education Details
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University Of California, BerkeleyRhetoric -
University Of Michigan Law SchoolLaw
Frequently Asked Questions about Nicole Trudeau
What company does Nicole Trudeau work for?
Nicole Trudeau works for Wave Digital Assets
What is Nicole Trudeau's role at the current company?
Nicole Trudeau's current role is General Counsel and Chief Compliance Officer.
What is Nicole Trudeau's email address?
Nicole Trudeau's email address is ni****@****rna.com
What is Nicole Trudeau's direct phone number?
Nicole Trudeau's direct phone number is (617)-261*****
What schools did Nicole Trudeau attend?
Nicole Trudeau attended University Of California, Berkeley, University Of Michigan Law School.
What skills is Nicole Trudeau known for?
Nicole Trudeau has skills like Securities Regulation, Investments, Investment Company Act, Legal Research, Mutual Funds, Corporate Law, Investment Management, Securities, Legal Writing, Legal Advice.
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