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Experienced senior counsel with a demonstrated history in the banking, securities and derivatives industry. Strong analytical and people skills with the ability to envision complex projects and bring them to completion correctly, within budget and on time. Significant roles as lead attorney in regulatory matters, transactions and litigations.
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CounselBallard Spahr Llp May 2022 - PresentPhiladelphia, Pennsylvania, UsAs a member of the firm's Finance Department, I bolster the team's expanding focus on derivatives and securities. I counsel clients on tax exempt and taxable secondary market structures, complex structured products such as tax-exempt energy prepay transactions and matters involving commodities and rates, swap dealers, broker dealers, regulation and compliance. -
CounselInvestec Usa Holdings Corp. 2021 - 2022Senior counsel and compliance role in U.S. operation of multinational banking organization. Focus on SEC Rule 15a-6, delineation of banking activity and securities activity, general compliance and general business operations and management
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CounselSumitomo Mitsui Banking Corporation 2007 - 2021Tokyo, JpManaging Director, Deputy General Counsel, Joint General Manager and Head of Investment Banking Legal Group. Manage team of attorneys and paraprofessionals to deliver top quality legal advice to bank. Focus on securities law and derivatives law. Work closely with bank treasury group and financial institutions group to maximize revenue while minimizing losses. -
CounselSmbc Capital Markets, Inc 2007 - 2021Lead counsel to CFTC registered swap dealer. Represented company through the financial crisis and managed substantial litigation involving claims against the Lehman estate and monoline insurers, including cases involving structural subordination. Then oversaw implementation of Dodd-Frank CFTC registration, relying on key contacts with CFTC and NFA. Then managed Volcker rule implementation and finally LIBOR discontinuance. Managed increase in revenue and staff without any negative regulatory findings.Brought entity from unregulated OTC swap dealer to fully compliant with Dodd-Frank rules.
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CounselSmbc Nikko Securities America, Inc. 2007 - 2021New York, Ny, UsLead counsel for registered broker-dealer. Focused on generating income through bond economics underwriting and related debt capital markets activities. Worked to create research department and ultimately globally branded equity research with SMBC Nikko Securities in Japan. Represented fixed income sales and trading as well as M&A advisory in all phases. Assisted structured finance group in maintaining ABCP platform and growing ABS business. Material growth without negative regulatory events. -
Futures And Derivatives CounselPrudential Financial Derivatives 1996 - 2007
Scott Diamond Education Details
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American University Washington College Of LawLaw -
University Of Colorado BoulderBachelor Of Arts (Ba)
Frequently Asked Questions about Scott Diamond
What company does Scott Diamond work for?
Scott Diamond works for Ballard Spahr Llp
What is Scott Diamond's role at the current company?
Scott Diamond's current role is Counsel - Finance.
What is Scott Diamond's email address?
Scott Diamond's email address is sl****@****ine.net
What is Scott Diamond's direct phone number?
Scott Diamond's direct phone number is +121222*****
What schools did Scott Diamond attend?
Scott Diamond attended American University Washington College Of Law, University Of Colorado Boulder.
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