Patrick Dennis Email & Phone Number

Los Angeles, Ca, Us

Responsible for administering the policies and procedures of the Wilshire Mutual Funds, a multi-manager series of funds

Santa Monica, Ca, Us

Dual-hatted position focusing on both legal and compliance issues and developments across state, federal, and international jurisdictions, including:- Advising executive management on in respect of large-scale company initiatives and working with senior management to achieve strategic goals within various regulatory regimes.- Developing, refining, and implementing policies and procedures, and ensuring internal compliance.- Acting as sole internal ’40 Act counsel for Wilshire’s proprietary and platform-based registered funds, including advising fund boards, preparing board materials, and advising on distribution-related matters.- Managing junior compliance officers, services providers, and outside counsel.

Providing subject-matter expertise on a variety of topics, including the 1940 Act, Advisers Act, and risk management.

New York, Ny, Us

- Managed day-to-day compliance oversight of Private Debt platform including: (i) identification of legal and regulatory risks across state, federal, and international jurisdictions; (ii) providing strategic legal and business advice and solutions on investments; (iii) management of information barriers and MNPI issues; (iv) maintenance and updating of compliance policies and procedures; and (v) implementing training program. - Established a cross-function working group to evaluate and enhance the U.S. Private Credit portfolio compliance and allocation process, including updating and documenting the overall allocation process.- Handled and managed conflicts review for complex transactions involving the various teams in the Private Debt platform. Specifically, provided oversight on general conflicts matters, fiduciary concerns, structuring and potential capital stack questions, and expense allocation.- Conducted a modernization project for the private advisory consultant program, including developing new training modules and on-boarding of third-party consultants and experts.- Developed and implemented a comprehensive investment tree policy across BlackRock’s alternative investment teams for multiple deal sponsor situations, including drafting the policy and team-specific procedures, as well as developing and conducting new training modules.- Collaborated with Marketing, Legal, Operations, and Investment personnel in the development and launch process for new ESG-focused transition products across the Private Debt platform.

Los Angeles, California, Us

- Sole internal '40 Act and UCITS fund counsel for a $100b international registered fund complex- Advised executive management on legal and regulatory issues and developments across state, federal, and international jurisdictions and managing related business risks. - Provided analysis and guidance in respect of large-scale company initiatives and working with senior management to achieve strategic goals.- Prepared, reviewed, drafted, and negotiated investment management, distribution, licensing, non-disclosure, administration, and other commercial agreements. - Developed, refined, and implemented policies and procedures, and ensuring internal compliance in partnership with the Chief Compliance Officer.- Worked daily with internal stakeholders, including operations, administration, accounting, compliance, communications, IT, and marketing, to respond to issues and inquiries.- Prepared and reviewed federal securities filings, including registration statements, annual and semi-annual reports, beneficial ownership filings, and other SEC-mandated reports.- Advised fund boards, acted as assistant secretary, and supervised the preparation of all meeting materials, resolutions, board communications, and shareholder meeting matters.- Consulted on marketing materials, website and video content, and investor communications.- Managed paralegals, assistants, service providers, and outside counsel.

Worldwide, Us

- Advised on legal and regulatory changes and aided managers and funds in maintaining compliance with relevant federal, state, and international regulations.- Launched new products for registered investment companies and exchange-listed financial products.- Drafted and negotiated service provider agreements, letters of intent, side letters, consulting and agency agreements, and non-disclosure agreements.- Consulted on and revised marketing materials, website disclosures, and investor communications.- Provided counsel for client’s business operations, including marketing, finance, and human resources.- Established and maintained domestic and offshore hedge funds, including drafting organizational and offering documents, and working with international counsel.- Managed junior attorneys and paralegals.

Philadelphia, Pa, Us

- Acted as counsel to offshore investment advisers and hedge funds, primarily regarding SEC registration matters and US regulatory compliance, including Advisers Act and CFTC matters.- Negotiated investment management agreements and service provider agreements.- Launched offshore hedge funds with a variety of structures and investment objectives.- Counseled clients post-2008 Credit Crisis on restructuring funds facing liquidity management issues, including drafting investor communications, and prospectus updates.

Philadelphia, Pa, Us

- Acted as counsel to mutual funds and their investment advisers concerning regulatory and compliance issues, including prospectus updates and annual reports.- Launched new US-registered funds and exchange-listed financial products.

Washington, Dc, Us

Worked in the Office for International Claims and Investment Disputes.Conducted background research, cite-checked materials for litigation and wrote memoranda for both the Iran-US Claims Tribunal in The Hague and for NAFTA arbitration.Evaluated and responded to administrative claims brought against the Department of State.In consultation with supervisor, crafted strategy and formulated United States position regarding specific contract dispute and payment claims before the Iran-US Claims Tribunal.

Washington, D.C., Us

In conjunction with the Department of State, researched, edited and compiled documents for the Digest of US Practices in International Law.

J.D., Law

Study Abroad Program, Early Modern European History

B.A., History, Political Science