Steven Rosen Email & Phone Number

Us

Miami, Florida, Us

New York, Ny, Us

Manage all day-to-day legal and compliance activities of international primary research firm. Responsibilities include providing legal and compliance counsel to all business areas including Board of Directors, Chief Executive Officer, Chief Financial Officer, and other members of senior management. Notable activities include:*Compliance: Manage industry-leading global compliance program, including overseeing and directing activities of four-person international compliance team, to assess and address risks such as insider trading, Foreign Corrupt Practices Act, UK Bribery Act, and associated reputational risks. Formulate and conduct internal compliance training.*Risk Assessment and Policy Drafting: Identify and evaluate legal risks and counsel internal business clients accordingly. Institute appropriate policies and procedures to address and mitigate such risks. *Contracts: Negotiate, draft, and manage agreements governing the global delivery of the company’s services, revenue sharing agreements, vendor agreements, and confidentiality agreements. *Human Resources: Negotiate and draft employment contracts, severance agreements, and employee compensation plans. Provide counsel related to a wide range of employment issues, including restructuring resulting in significant workforce reductions. Manage employment related complaints and litigation. *Client Relations: Educate clients and prospective clients concerning the company’s compliance program through formal presentations. Maintain day-to-day contact with client compliance professionals to address issues. *International: Manage on-going corporate governance and reporting requirements for international operations in Hong Kong, Beijing, and London. Provide counsel concerning global employment issues, including work authorization, benefits, and employment policies.

Zurich, Ch

Represented wealth management firm and employees in investigations and examinations by federal and state regulators and self-regulatory organizations. Responsibilities included formulating and executing defense strategies, preparing and defending witnesses at regulatory testimony, managing outside counsel, acting as primary contact with regulators including negotiating the resolution of matters and other issues, drafting Wells submissions, managing document productions, and overseeing implementation of remedial measures. Also counseled business partners concerning regulatory issues, including estimating regulatory risks associated with particular business practices, drafting policies and procedures, and advising legal department heads and business clients concerning significant developments and risks.Notable matters include:* Investigations by the Securities and Exchange Commission into potential insider trading in customer accounts.* Investigations by multiple regulators into issues related to the marketing and sale of structured products issued by Lehman Brothers prior to its bankruptcy.* Investigations by the Securities and Exchange Commission and the U.S. Attorney’s Office into alleged fraudulent scheme by a hedge fund that was a prime brokerage client.* Investigation by FINRA into alleged failure to make appropriate and timely regulatory filings related to customer complaints and other reportable events.

Washington, District Of Columbia, Us

Represented clients in internal investigations and investigations by federal and state regulators and self-regulatory organizations into possible violations of securities laws, including financial fraud, insider trading, structural conflicts of interest, and improper sales practices. Responsibilities included acting as primary contact with regulators, drafting Wells submissions and other presentations to regulators, preparing and defending witnesses at regulatory testimony, supervising teams of associates, interviewing fact witnesses, and managing large-scale document productions. Notable matters include:* Representing a leading asset management firm in an insider trading investigation by the Securities and Exchange Commission.* Representing the Special Committee of the Board of Directors of Enron Corporation in an internal investigation into the company’s accounting practices.* Representing Salomon Smith Barney in investigations by the Attorney General of New York and other securities regulators into alleged conflicts of interest between investment banking and equity research business units.* Representing an insurance company in investigations by the Securities and Exchange Commission and the Attorney General of New York into the use of variable products for market timing and late trading. Represented clients in civil litigations. Responsibilities included drafting pleadings, affidavits, and briefs, handling all aspects of discovery, including managing document productions and assisting with the defending and taking of depositions, interviewing fact witnesses, preparing attorneys to argue motions, and assisting with settlement negotiations. Notable matters include:* Representing the State of Wisconsin Investment Board in litigation in Delaware Chancery Court challenging corporate governance practices of a public corporation. * Representing entertainer in a high profile insider trading litigation.

Us

Jd, Law

Ba, American Government