Develop product solutions and govern new business initiatives for Fund Services asset management and asset owner clients. Responsible for end-to-end deal review, including liaising between the business and internal stakeholders.

Manage all aspects of 38a-1 program, engaging with in-house counsel and senior managementResponsible for six global SOC1/SSAE16 ReportsExecute annual Risk and Controls Self Assessment for seven global sites, including instituting COSO-standard controls testing methodologiesResponsible for recruitment, retention, and workshop programming for the Operational Analyst Development Program, which recruits top graduates and provides leadership training.Manage a team of up to five employees, including recruitment of top performing attorneys and CPAs.

▪ Project Manager for the SOC1/SSAE16/SAS70 report, responsible for reviewing and updating controls, managing deliverables from external auditors, and facilitating communication between the business lines, internal audit, and external auditors.▪ Conduct due diligence on sub-advisers and service providers for registered funds, including drafting questionnaires, conducting site visits, performing risk assessments and testing adequacy of controls.▪ Coordinate regulatory examinations, working directly with examiners and providing necessary reporting to executive committees and boards of directors.▪ Design and implement global compliance and monitoring programs ad hoc, particularly regarding Identity Theft Red Flags, conflicts of interest, exemptive relief, record retention, and anti-money laundering for registered funds.▪ Hire, manage, and supervise consultants, contract workers, and legal interns.▪ Co-Chair Legal and Compliance Roundtable discussions; responsible for planning monthly events for team discussions on relevant compliance topics.

▪ Worked directly with the Chief Compliance Officer to provide legal analysis on a variety of regulatory issues.▪ Member of the Conflicts of Interest and Mergers and Acquisitions Due Diligence Working Groups.▪ Created training materials and conducted workshops and training seminars for regulatory risk assessment methodologies, controls and testing topics, and the implementation of new or changing regulations.▪ Oversaw staff members of all levels in the documentation of internal controls, including evaluations of the design and operating effectiveness of controls.▪ Secondary responsibilities as the Regulatory Reporting Liaison included creating monthly Examining and Audit Committee presentations and quarterly board of directors presentations on regulatory examinations.

▪ Drafted complaints, motions, discovery requests, jury instructions, and other pleadings for civil and criminal cases.▪ Argued motions for summary judgment, complaints for contempt, motions for preliminary injunctions, etc.▪ Negotiated settlement agreements with the CFTC, FINRA, and the U.S. Attorneys Office, including drafting required compliance plans.▪ Cases included FINRA U4 arbitrations, foreign currency exchange, investment advertising violations, foreign private banking, and securities fraud.▪ Utilized forensic accounting techniques to present meaningful exhibits for federal trials and sentencing hearings that involved complex securities fraud.

▪ Drafted motions in limine and oppositions to motions to suppress, particularly for issues of exculpatory and destroyed evidence.▪ Made internal charging recommendations, addressing possible defenses and motions to suppress.▪ Worked with detectives on the consequences of digital evidence retention.

▪ Wrote detailed reports and summaries of United States regulations for internal Department of Justice use.▪ Evaluated settlement mandated compliance plans for effectiveness and evaluated the implementation of existing mandated compliance plans.▪ Communicated with regulatory and investigative agencies of the United States.▪ Wrote detailed reports and summaries of United States regulations for internal Department of Justice use.▪ Drafted an appellate brief on the issue of excusable neglect.

▪ Conducted interviews with refugees, often utilizing interpreters.▪ Prepared and reviewed affidavits and application criteria for resettlement of refugees.▪ Counseled refugees on their status, asylum application procedures, family sponsorship, and other resettlement issues.▪ Created and maintained databases, filing systems, and schedules for Resettlement Officer.