Rochelle Levy Email & Phone Number

Austin, Tx, Us

Los Angeles, Ca, Us

New York, Ny, Us

New York, Ny, Us

New York, Ny, Us

New York, Ny, Us

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.

New York, Ny, Us

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.

Boston, Massachusetts, Us

▪ 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.

Boston, Massachusetts, Us

▪ 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.

Us

▪ 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.

New York, Ny, Us

▪ 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.

Juris Doctor, Law

Certificate, Forensic Accounting

Bachelor Of Arts (B.A.), Political Science; Religion; Minor In African Studies