Provided counsel on a variety of legal and compliance matters in the equities, futures, and derivatives markets. Drafted and implemented compliance policies and procedures for broker-dealers, SEFs, DCMs, swap dealers and other registered entities. Assisted clients on developing business plans to navigate complex regulatory environments.• Contributed to the development and implementation of internal supervisory programs that allow entities to trade on SEFs, in accordance with applicable regulations and SEF Rules.• Advised clients on enhancing the Title VII swap dealer compliance report required to be submitted to the CFTC on an annual basis.

Led compliance for CFTC registered swap execution facility (SEF), and collaborated with CFTC and NFA personnel on complex issues relating to the proper operation and interpretation of specific regulations impacting a registered SEF. Provided cross-functional leadership by communication and implementing regulatory policies with business, operational, and technology personnel.• Due to compliance acumen, advised senior management and personnel on a variety of issues concerning compliance rules and regulatory requirements affecting the global derivatives industry.• Created the Firm’s annual compliance report, consisting of descriptions of all SEF written policies and procedures, as well as, a review of CFTC regulations applicable to SEF.• Guest speaker at several industry discussion panels with regulators regarding industry issues.• Developed a SEF platform and compliance program, by fostering a relationship with the CFTC.

Directed the compliance functions for the Structured Capital Markets Group, which included analyzing and approving all Structured Capital Market (SCM) transactions prior to closing. Advised SCM personnel on trading requirements for both OTC derivative and cash-related products. Additionally, provided counsel on various Firm policies, such as Chinese Walls, Mandatory Block Leave, Gifts and Entertainment, and Outside Business and Affiliations. • Contributed to the Barclays US Rule-Writing Steering Committee which oversaw the implementation of all Title VII rules and regulations affecting the firm pursuant to the Dodd-Frank Act.• Collaborated with SCM senior management to develop and implement policies and procedures relevant to the SCM business, including written supervisory and trading procedures, as well as detailed compliance manuals.• Cross-collaborated with various business units to ascertain whether each group was involved in proprietary trading and if so the potential implications as part of the Volker Rule Compliance Working Group.

Recruited to the role to provide compliance oversight, training, and guidance on rules and regulations impacting institutional sales and trading activities in listed securities and OTC derivatives. Developed and drafted policies and procedures for sales and trading personnel, in addition to marketing material and term sheet content. Assisted legal staff with issues relating to derivative products, including proper filing of free writing prospectuses and inventory tracking of secondary offerings. Furthermore, prepared and presented multiple compliance training sessions, which encompassed annual compliance training with sales and trading staff.• Served as the Compliance Representative on the Privacy Working Group, which implemented privacy regulations for retail clients, and the Retail Structured Products Working Group, which ensures all applicable disclaimers and disclosures were used on materials for retail customers.• Selected by key stakeholders to participate in FINRA rule 3130, the mandatory annual certification of compliance and supervisory processes.• Drafted annual updates to the Compliance Manuel to ensure compliance with rules and regulations.

Responsible for company compliance and legal matters in order to support a fully electronic, internet-based designated contract market and registered derivatives clearing organization subject to regulatory oversight by the Commodity Futures Trading Commission.Acted as legal counsel by managing various legal issues for a venture-funded start-up company, reviewed licensing agreements, handled all regulatory matters to ensure compliance with the Commodity Exchange Act and applicable regulations as well as worked with outside counsel on trademark and patent related matters. Drafted and implemented all rule and product changes for HedgeStreet.Developed all policies and procedures to ensure compliance with the applicable laws and regulations necessary to properly operate a designated contract market and derivatives clearing organization, including but not limited to the firm’s privacy policy and communications with the public procedures as well as the rule and instrument listing procedures.Served on Board-appointed committees including the Instrument Committee and Rule Committee.Functioned as principal liaison with regulators, including the Commodity Futures Trading Commission and National Futures Association.Reviewed and approved all advertising materials.