The Bank of New York Mellon Corporation ("BNY") acquired PNC Global Investment Servicing Inc. ("PNCGIS") effective July 1, 2010. I continued employment after the acquisition in the Law Department of Pershing LLC, a wholly-owned subsidiary of BNY Mellon, and my office was moved from Wilmington, DE to Pennington, NJ, the location of the line of business for which I continue to provide primary legal support (Pershing X). Experience listed below includes experience while working within both the BNY Pershing Legal Department and the PNCGIS Legal Department.

Partner and advise with respect to legal, contractual, and regulatory issues related to the servicing of internal and external clients, including, but not limited to, drafting and negotiation of customer SaaS master services agreements and related product schedules, vendor agreements, service level agreements, and non-disclosure agreements. Advise with respect to information technology, federal, state and international privacy issues, information security, risk management, and project prioritization. Advise executive management in connection with the development of new SaaS products and services and the integration/reorganization of lines of business. Develop, maintain, and update client contract templates and provide related training to relationship managers and sales personnel. Serve as primary domestic subject matter expert within the Pershing Legal Department with respect to the European Union Global Data Protection Regulation and the California Consumer Privacy Act. Serve as Pershing Legal Department liaison to the BNY Mellon Digital Asset Council. Review incident reports and root cause analyses, marketing collateral, and responses to requests for information and requests for proposals. Assist in responses to requests from regulators. Member of the BNY Client Data Use Legal Pod, BNY Technology Practice Group, and Pershing Risk Management Council. Provide primary or substantial legal support to the following lines of business:Pershing X, Inc.: Provides SaaS applications for investment advisory, financial planning, wealth reporting, data warehouse, document management, and sales practice monitoring applications to broker dealers and registered investment advisers. Pershing LLC: Provides securities clearing and related technology services to broker dealers and investment advisers.Intermediary Analytics: Provides SaaS applications for investment company business intelligence, subadviser certification, and mutual fund compliance dashboard functionality.

Draft and review registration statements, annual and semi-annual reports and other investment company client SEC filings. Draft and revise board committee charters. Update and review trustee and officer questionnaires. Research issues involving compliance with state corporate and securities laws and the 1940 Act. Significant projects include:Drafted and revised an SEC exemptive application pertaining to the formation and operation of an ETF.Drafted and revised organizational documents, board materials, and compliance policies for newly-formed ETF.Assisted in drafting proxy statements for a complex-wide shareholder meeting of a major investment company complex seeking shareholder approval of multiple proposals.Assisted in the reorganization of registered investment companies from several state entities to Delaware statutory trusts.

Draft and review registration statements, annual and semi-annual reports and other investment company client SEC filings. Draft and revise board committee charters. Update and review trustee and officer questionnaires. Assist in negotiation of clearing broker agreements. Assist in preparation of quarterly legal opinions regarding director independence. Research issues involving compliance with the 1940 Act.Securities: Draft and file registration statements, prospectuses, offering memoranda and other offering materials, Form 8-K's, periodic reports and proxy statements. Assist insiders with the preparation and filing of forms and schedules under the 1934 Act. Mergers & Acquisitions: Advise clients in connection with acquisitions and dispositions of companies and assets. Negotiate and draft merger, asset purchase and related agreements. Conduct and coordinate due diligence review for buyers and sellers. Assist in drafting private equity investment documents.General Corporate: Draft charters, bylaws, resolutions and other organizational documents. Research issues involving compliance with the federal securities laws and NYSE and NASDAQ rules.