Stephen Squire Email & Phone Number

New York, New York, United States

Helmed legal and compliance oversight for a financial services firm encompassing an institutional and retail broker-dealer in high-frequency trading, affiliated registered investment advisers, fintech providers, and a money services business, extending to domestic and foreign entities. Drove management strategies, leading a team of of compliance professionals to ensure compliance in specialized area of high-frequency trading, investment advisory and fintech offerings, including associated legal… Show more Helmed legal and compliance oversight for a financial services firm encompassing an institutional and retail broker-dealer in high-frequency trading, affiliated registered investment advisers, fintech providers, and a money services business, extending to domestic and foreign entities. Drove management strategies, leading a team of of compliance professionals to ensure compliance in specialized area of high-frequency trading, investment advisory and fintech offerings, including associated legal and regulatory frameworks for the firm and its affiliates.- Legal and Regulatory Leadership: Managed a diverse portfolio of legal and compliance activities across seven related entities, focusing on entity creation, maintenance, corporate legal support, and litigation, facilitating compliance with evolving legal and regulatory landscapes.- Entity Formation and Legal Counsel: Led legal structuring and creation of multiple entities, navigating acquisition of financial services entities, providing comprehensive legal and regulatory guidance to promote seamless integration and expansion of products and services.- Regulatory and AML Supervision: Served as principal legal and compliance contact for all regulatory inquiries, business expansion filings, and routine and special examinations; supervised anti-money laundering (AML), privacy and cybersecurity matters, and trade review staff, fortifying firm's compliance posture in critical areas. Show less

San Francisco, Ca

Established and enforced legal, compliance, and operational frameworks for fintech firms, broker-dealers, and registered investment advisors, aligning with all regulations and industry standards; integrated technology to elevate legal and compliance programs. Delivered regulatory, compliance and legal support, including periodic testing, annual reviews, policy updates, and guidance on regulatory changes and industry best practices.- Regulatory Compliance and Legal Strategy: Founded a… Show more Established and enforced legal, compliance, and operational frameworks for fintech firms, broker-dealers, and registered investment advisors, aligning with all regulations and industry standards; integrated technology to elevate legal and compliance programs. Delivered regulatory, compliance and legal support, including periodic testing, annual reviews, policy updates, and guidance on regulatory changes and industry best practices.- Regulatory Compliance and Legal Strategy: Founded a consultancy dedicated to legal and regulatory needs of registered broker-dealers and registered investment advisers, and fintech firms, navigating complex business formations, regulatory compliance, and providing legal counsel for hedge funds and traditional advisers, facilitating streamlined operations and enhanced regulatory adherence.- Private Offering: Masterminded and executed due diligence, creation, and dissemination of offering documents and disclosures for Reg D and Reg A private offerings, achieving rate of two offerings per month; amplified clients' market presence and fostered strict compliance with regulatory filing requirements and marketing guidelines. Show less

San Francisco, Ca

Pioneered creation and maintenance of a registered broker-dealer, tailor-made for hedge fund companies, offering blend of direct support and technology solutions for virtual compliance, supervisory products, and AML processes. Delivered legal and compliance services to registered investment advisers, encompassing traditional and hedge fund strategies, guaranteeing adherence to all relevant regulatory frameworks.- Broker-Dealer Establishment and Compliance Integration: Founded a new… Show more Pioneered creation and maintenance of a registered broker-dealer, tailor-made for hedge fund companies, offering blend of direct support and technology solutions for virtual compliance, supervisory products, and AML processes. Delivered legal and compliance services to registered investment advisers, encompassing traditional and hedge fund strategies, guaranteeing adherence to all relevant regulatory frameworks.- Broker-Dealer Establishment and Compliance Integration: Founded a new broker-dealer designed to furnish hedge funds with a compliance infrastructure to allow for marketing investments, seamlessly integrating regulatory and compliance protocols to support client objectives.- Technology Enhancement for Compliance Solutions: Instrumental in modification of automated compliance software, tailoring to address specific broker-dealer and registered investment adviser related challenges, offering more precise and relevant solutions to a diverse client base.- Regulatory Process Development: Developed and implemented processes/procedures for traditional securities-related activities, including anti-money laundering and regulatory reporting, fostering compliance and operational excellence in a dynamic regulatory environment. Show less

San Francisco, Ca

Directed legal, regulatory, contractual, and litigation matters for registered broker-dealers, fund administrators, and a technology affiliate; offered legal support to investment advisors and private fund clients. Created critical agreements and disclosures, headed policy development for compliance and risk management, and led the creation and maintenance of supervisory compliance processes and addressed all internal investigations.- Compliance Support: Offered compliance support for a… Show more Directed legal, regulatory, contractual, and litigation matters for registered broker-dealers, fund administrators, and a technology affiliate; offered legal support to investment advisors and private fund clients. Created critical agreements and disclosures, headed policy development for compliance and risk management, and led the creation and maintenance of supervisory compliance processes and addressed all internal investigations.- Compliance Support: Offered compliance support for a registered broker-dealer and affiliated on-shore and off-shore fund administrators, including all aspects of regulatory requirements and operational compliance, promoting seamless alignment with industry standards.- Regulatory Leadership: As sole legal and compliance employee, managed all legal and compliance matters for institutional and retail securities businesses, along with a fund administrator, exemplifying competence in navigating complex regulatory landscapes.- Agreement Negotiation and Drafting: Negotiated and drafted client and vendor agreements, non-disclosure agreements, and service arrangements for customers and vendors, ensuring legal soundness and strategic alignment with business objectives. Show less

Burbank, Ca

Led strategic, operational, and administrative management for a fintech broker-dealer in the electronic trading space, coordinating legal coverage and overseeing compliance program creation. Advocated for firm's interests in regulatory discussions, aligning with evolving legal and compliance landscapes, and collaborated with engineering and product teams to develop innovative financial products.- Legal and Compliance Leadership: Served as General Counsel and Chief Compliance Officer for… Show more Led strategic, operational, and administrative management for a fintech broker-dealer in the electronic trading space, coordinating legal coverage and overseeing compliance program creation. Advocated for firm's interests in regulatory discussions, aligning with evolving legal and compliance landscapes, and collaborated with engineering and product teams to develop innovative financial products.- Legal and Compliance Leadership: Served as General Counsel and Chief Compliance Officer for a fintech broker-dealer, managing evolving product lines and ensuring comprehensive compliance with regulatory, employment, corporate, intellectual property, and real estate laws.- Regulatory and Legal Oversight: Steered all firm’s legal affairs and compliance requirements, including supervision of external counsel and participation in development of compliance and supervisory systems, yielding fortified legal stance and enhanced regulatory compliance.- New Product Facilitation: Partnered with Engineering and Product teams to facilitate new product and service developments, addressing current and potential regulatory requirements, and guiding product testing and approval processes to expedite productive product launches.- Regulatory Proposal Analysis and Advocacy: Analyzed legal and regulatory trends to shape firm strategy and product evolution, addressing pending regulatory proposals to foster prompt adaptation to changes, particularly in anti-money laundering programs and enforcement actions, safeguarding firm's interests and compliance status. Show less

King Of Prussia, Pa

• Provided legal and compliance support to senior management, advising on regulatory requirements under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the rules of the SEC and FINRA and all applicable exchanges. • Created and reviewed firm procedures and practices for identification of compliance and risk management issues, including issues relating to new business, trading desk compliance, privacy, and administration… Show more • Provided legal and compliance support to senior management, advising on regulatory requirements under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the rules of the SEC and FINRA and all applicable exchanges. • Created and reviewed firm procedures and practices for identification of compliance and risk management issues, including issues relating to new business, trading desk compliance, privacy, and administration. • Conducted daily surveillance reviews of market making, retail and institutional sales, advisory business, as well as the oversight of regulatory inquiries and internal investigations. • Developed and maintained written supervisory procedures as well as supervisory tools, and was responsible for daily surveillance of sales activity, day-to-day compliance support, and identifying potential risk exposure to the firm. Show less

San Francisco, Ca

• Provided legal and compliance support to various business units within the firm. • Interpreted relevant regulatory requirements under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, rules of the NYSE, and FINRA, as well as other principal exchanges. • Managed a staff of compliance professionals responsible for the surveillance of the firm’s business units, identifying compliance risks, monitoring regulatory developments, and… Show more • Provided legal and compliance support to various business units within the firm. • Interpreted relevant regulatory requirements under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, rules of the NYSE, and FINRA, as well as other principal exchanges. • Managed a staff of compliance professionals responsible for the surveillance of the firm’s business units, identifying compliance risks, monitoring regulatory developments, and implementing policies and procedures in response to such developments. • Managed relationships with regulators, as well as regulatory examinations, and regulatory inquiries, when necessary.• Developed and negotiated clearing agreements and client brokerage and soft dollar documentation as well as contracts with other brokers and service providers. • Assisted in the creation of an affiliated broker-dealer and participated in significant product initiatives to ensure compliance with applicable legal requirements. • Assessed and advised regarding the impact of pending or approved regulatory proposals and developed policies and procedures with respect to the conduct of covered business units. Show less

San Francisco, Ca

• Conducted routine, enforcement and financial examinations of registered broker-dealers.• Addressed new member applications, staff and member training and related matters.• Led examinations of major U.S. broker-dealers, including Charles Schwab, E*Trade and other firms located on the West Coast.