Stuart Wexler Email & Phone Number

New York, New York, Us

New York, Ny, Us

Chief legal counsel for London Stock Exchange-listed company with 2000+ employees and $3 billion+ market cap, responsible for the direction of the legal, compliance, risk and government affairs functions globally. Experience and expertise in fixed income, equities, futures, commodities, FX, and swaps, as well as in trading and clearing market infrastructure and operations. --Counsel to the CEO, Board, and senior management team on the full range of legal and regulatory issues applicable to the business, including corporate and contractual matters, M&A, regulation, litigation, employment matters, IP, corporate communications, tax and real estate. Advised senior management and board on disclosure obligations, contingent liabilities and provisioning, corporate governance, and directors' duties.--Oversaw the design and operation of the firm's global compliance program, reorienting it towards a fintech business model, and leading the response to Mifid II, Brexit, GDPR, and new European trade reporting requirements.--Managed and directed firm response to high stakes legal and regulatory matters, including investigations by the DOJ, NYAG, SEC, CFTC, FINRA, UK FCA, as well as related private class action litigation.--Led the provision of legal guidance and support for two transformative M&A transactions, (1) the sale of the company to the CME Group, and prior to that, (2) the sale of the company's voice broking businesses to a competitor. Negotiated transaction documentation, secured regulatory and competition authority approvals, participated in due diligence, and directed the work of the in-house and external legal teams.--Managed the firm's legal, risk, compliance and government affairs functions globally, overseeing a team of 50+ professionals, providing guidance and direction on the effective and efficient provision of services, providing career development, mentoring and training, and managing an internal/external budget of $20+ million.

London, Gb

Head of Americas Legal and Compliance function, responsible for:--Rebuilding the Americas Compliance function through the infusion of stronger talent, enhanced policies, procedures, and practices, and deeper relationships with senior business management--Overseeing the provision of legal advice to the business in respect of the full range of applicable legal issues, including regulatory and compliance, litigation and government investigations, corporate governance, contracts, IP, real estate, M&A, tax, employment, corporate communications, and new product development--Responding to seminal Dodd-Frank legal and regulatory changes, including replatforming the firm's swaps brokerage activities within the new Swap Execution Facility framework

New York, Ny, Us

Head of Sales and Trading Compliance for Global Markets sales and trading business--Managed department of 50+ compliance professionals responsible for providing compliance advisory support to Merrill Lynch's Americas sales and trading businesses, including equities, fixed income, FX, commodities, prime brokerage, proprietary trading, sales, mortgage servicing, Latin America and Canada.--Rebuilt FICC compliance program by establishing strong relationships with senior management and desk supervisors, adding needed product compliance officers, securing senior FICC management's support and endorsement of an enhanced supervisory program and implementing that program, and establishing a strong and collaborative working relationship with product legal coverage.

Gogarburn, Gb

Provided legal advice to the Compliance Department, Sales and Trading, Investment Banking and Proprietary Trading on all legal and regulatory matters applicable to an institutional fixed income investment bank.--Designed and authored firm compliance, supervisory, and ethical policies, procedures and manuals.--Created and administered branch/desk examination program and continuing education program.

Provided compliance guidance to senior bankers in connection with control room requirements, including maintenance of the firm's watch list, firmwide trading restrictions, surveillance of firm and employee trading, and controls of firm research. Drafted bank regulatory training materials to prepare all employees for Citigroup/Travelers merger and new requirements as a Bank Holding Company.

New York, Ny, Us

Litigation associate, worked on cases involving insurance coverage, 10b-5, and real estate.

Doctor Of Law (Jd)

Ba, History