Sylvia Harris Email & Phone Number

Oakland, California

Managed, drafted and negotiated a wide variety of complex commercial contracts, including Technology and SaaS Agreements, Services Agreements, Sales Agreements, and Supply Agreements. Lead Global Strategic Sourcing organization on legal and business matters and advised on supply chain sourcing issues across North America and EMEA regions. Managed accruals process, inclusion and equity strategy for legal. Managed legal business continuity and developed crisis management plan.

San Francisco, California

California

Oversaw organization’s internal controls and risk-management procedures. Reviewed financials and form 990 filings. Analyzed significant risks and exposures facing the organization.

San Francisco Bay Area

Serve as Chief Compliance Officer of alternative investment fund manager. Create compliance programs for registered and unregistered investment advisers. Draft policies and procedures, code of ethics, cybersecurity policies, anti-money laundering policies and other relevant policies and procedures to ensure compliance with federal and foreign securities laws and regulations. Conduct ongoing risk assessments of investment adviser operations and provide gap analysis on how to ensure compliance with the federal securities laws and regulations. Draft and prepare monthly, quarterly and annual regulatory filings. Oversee employee brokerage account usage to ensure compliance with federal laws. Advise venture capital fund investment advisers on how to structure compliance program and provide ongoing monitoring of compliance program. Develop and create internal policies and procedures for Gordian Compliance Solutions operations and audit current internal operations processes. Draft and publish quarterly newsletter for investment adviser and broker dealer clients.

Los Angeles

Counseled board on non-profit operations. Developed strategic plan to engage new corporate partners and strengthen existing corporate partnerships. Conducted outreach to strategic corporate partners. Conducted research on state law requirements in connection with fundraising sales.

Counseled clients on a wide range of legal and business matters, including general corporate and securities matters, regulatory and securities filings, corporate governance and compliance issues, fiduciary responsibilities and other related matters. Represented issuers and underwriters/placement agents as the lead associate on public and private multi-million dollar offerings for equity and debt, including the drafting, negotiation and review of documents related to the offerings and filings with the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority Inc. (FINRA). Drafted and reviewed documents for filing with and approval by the SEC, including registration statements and related exhibits and ongoing public company securities filings under the Securities Exchange Act of 1934 and the Investment Company Act of 1940. Counseled immigrants and asylum seekers before immigration authorities and represented human trafficking victims in immigration law proceedings. Coordinated and administered the Sutherland Junior College Program, a public partnership that provides inner-city high school students with college prep training.

Washington D.C. Metro Area

Created economic models for non-profit partners to support the implementation of initiatives to close the home ownership gap. Managed translation of proprietary software's consumer interface documents and tools. Led analysis and implementation of overall Latino homeownership initiative via use of proprietary software and key partnerships. Led team in developing policy for transitioning second year analysts to full time employees at Fannie Mae, serving as a liaison between analysts and management.

New York, Ny

Assisted attorneys in drafting, proofreading, and editing agreements, filings and other corporate documents. Researched and created corporate profiles of public companies. Arranged and oversaw client conferences.

New York, Ny

Consolidated two years of global financial statements for three of the company's international offices. Posted year-end assets and liabilities into Lazard's PeopleSoft Version 8 database.

Jd

Activities and Societies: Journal of Legislation and Public Policy

Bachelor Of Arts, Economics

Activities and Societies: Omicron Delta Epsilon (International Economics Honors Society)

Political Science, Spanish, History