Timothy Welsh Email and Phone Number
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- Sr. Regulatory Counsel at Abra- I worked at TrustToken, the company behind TUSD and TrueFi- A leader of cross-functional teams devoted to the development of Legal and Regulatory Change Management programs for cryptocurrency startup, formerly for banks, broker-dealers, and investment advisers.- Collaborates with technology teams to implement GRC solutions for the fintech industry to manage regulatory risk and integrate with compliance testing.- Experienced corporate and securities law attorney focused on broker-dealer, investment adviser, and private fund regulation and compliance.Specialties: Financial Industry Regulatory Law Specialist. SEC, SRO and State securities law, broker-dealer and investment adviser regulation and compliance, regulatory risk management, cryptocurrency, blockchain regulation, MTLs and payments.
Bakkt
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Senior Director CounselBakkt Oct 2023 - PresentAlpharetta, Georgia, UsRegulatory counsel to industry leading crypto technology and custody provider.
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AttorneyAxiom Jun 2023 - Oct 2023New York, Ny, UsSeconded to financial services client focused on market making and crypto trading. Advised on regulatory and contract matters. -
Senior Counsel, Regulatory AffairsAbra Mar 2022 - May 2023Mountain View, Ca, Us -
Vp, Legal And Regulatory AffairsTrusttoken (Now Archblock) Feb 2019 - Mar 2022San Francisco, California, UsFinancial services regulatory expert with a focus on emerging products. Tim is a member of the Legal team at TrustToken, a blockchain startup that recently closed a $20MM funding round led by Andreessen Horowitz's blockchain fund a16z crypto for their asset tokenization platform. The first product released by TrustToken, TrueUSD, is a cryptocurrency stablecoin backed 1-for-1 with US dollars that has reached a market cap of over $200MM. -
Senior Manager | Compliance ConsultingEy 2016 - 2019London, GbSenior Manager in Financial Services Risk Management group, member of the Regulatory Compliance Advisory practice focused on Wealth and Asset Management and Broker-Dealer compliance.Subject matter expert on the compliance target operating models for diversified financial institutions that include the creation of legal and regulatory rules inventory management systems and ongoing data-driven compliance risk assessments/testing plans using rules inventory frameworks.Developed industry responses to new and changed regulatory requirements, including Dodd-Frank, Department of Labor Fiduciary Rules, and Covered Clearing Agency regulation.Leads efforts to integrate cross-border service delivery teams into regulatory compliance practice. -
Manager - Financial Services OfficeEy 2012 - 2016London, GbMember of the Asset Management and Enterprise-Wide regulatory risk management and compliance practices.Managed team that created a legal and regulatory rules inventory for the Corporate and Investment Banking division of a global Financial Services company, covering the rules of 7 countries and over 250 different business units and integrated the inventory into the Client's annual Compliance Risk Assessment.Experience managing a team of 40+ offshore attorneys from a legal process outsourcing firm to meet regulator-mandated compliance deadline.Designed an enterprise-wide legal and regulatory change management system for a global Investment Bank.Serves and subject matter expert to internal teams regarding Investment Adviser regulatory reporting.
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Associate - Capital Markets PracticeWhite & Case Llp 2011 - 2012New York, New York, UsAdvised U.S. and non-U.S. private equity and hedge fund managers on issues related to SEC, Federal Reserve, and FINRA regulatory and compliance matters, including drafting policies and procedures for new fund companies.Draft and negotiated Securities Industry Service Agreements.Regulatory and deal structure review for M&A and private equity transactions. -
Staff AttorneyBernstein Litowitz Berger & Grossmann Llp 2010 - 2011Investigate claims under Sections 10(b) and 20(a) of the Exchange Act and Section 11 of the Securities Act as part of a plaintiff’s class-action complaint.Review the internal risk-management controls of a failed financial institution.Prepare depositions and witness profiles of financial professionals engaged in commercial banking, internal audit and risk management functions.
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EditorPractical Law Company 2009 - 2010Toronto, On, CaEdited and drafted all resources related to broker-dealer and investment adviser regulation and compliance for a web-based legal publisher.Prepared daily legal news updates on new SEC rules under the Securities Act of 1933, Exchange Act of 1934 and the Investment Advisers Act of 1940.Wrote practice guides to and legal summaries of securities and regulatory law aimed at US and UK law firm subscribers. -
Associate - Financial Services GroupDavis Polk & Wardwell Llp 2007 - 2009New York, Ny, UsAdvised large financial institutions and broker-dealers on regulatory and compliance matters, including trading, customer accounts, research, margin, net capital, prime brokerage and reporting under federal, state and SRO rules.Drafted regulatory filings addressed to the SEC on behalf of financial industry trade groups and coordinated with Litigation group to handle no-action requests and responses to SEC and SRO inspections and enforcement proceedings.Managed regulatory component of cross-border financial institution mergers and acquisitions. -
AssociateSchulte Roth & Zabel Llp 2005 - 2007New York, Ny, UsDrafted new compliance policies and codes of ethics for investment advisers and hedge funds, including policies to comply Investment Advisers Act rules on personal trading, executions, valuations, soft dollars, allocation and custody.Reviewed and drafted hedge fund marketing materials, investor communications, confidentiality agreements, side letters and disclaimers in formation documents.Prepared and filed Adviser Forms ADV, 13D, F and G. -
Attorney - Division Of Trading & MarketsUs Securities And Exchange Commission 2004 - Nov 2005Washington, Dc, UsServed in the Office of Markets, managing SRO rule filings from submission through approval and publication.Reviewed filings for compliance with Securities Act and Exchange Act.Contributed to drafting of Regulation NMS.Summer Honors Intern - Division of Trading and Markets Summer 2003Served in the Office of Chief Counsel, reviewing no-action relief requests. -
Traders AssistantLehman Brothers, Inc 1999 - 2001Tracked traders' profit and loss reports and positions, coordinated trade settlement with clearance department and counterparties.Completed operations analyst training program, including training in corporate finance and investment banking, with rotations on stock-loan and municipal bond trading desks.
Timothy Welsh Skills
Timothy Welsh Education Details
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Syracuse University College Of LawLaw -
Fairfield UniversityHistory
Frequently Asked Questions about Timothy Welsh
What company does Timothy Welsh work for?
Timothy Welsh works for Bakkt
What is Timothy Welsh's role at the current company?
Timothy Welsh's current role is Regulatory Counsel | Senior Director | Focused on Securities, Digital Assets, and Custody.
What is Timothy Welsh's email address?
Timothy Welsh's email address is ti****@****ail.com
What schools did Timothy Welsh attend?
Timothy Welsh attended Syracuse University College Of Law, Fairfield University.
What skills is Timothy Welsh known for?
Timothy Welsh has skills like Securities Regulation, Corporate Law, Securities, Legal Writing, Private Equity, Hedge Funds, Corporate Governance, Mergers And Acquisitions, Financial Services, Securities Law, Legal Research, Joint Ventures.
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