Valerie Bailey Email & Phone Number

Princeton, Nj, Us

New York, Ny, Us

New York, Ny, Us

Performed various legal and compliance functions.

San Antonio, Texas, Us

Review all marketing, communication and advertising materials for investment adviser and broker dealer to ensure compliance with all regulatory and company standards for communications with the public and employees.

Successfully delivered alternative dispute resolution services to parties involved in commercial disputes. Counseled businesses on transactional matters. Analyzed the sufficiency of allegations and defined the discovery parameters in institutional securities disputes, involving ABS, CDO, RMBS, as well as other derivatives, ISDA agreements, order tickets and confirmations.

Lawrenceville, Nj, Us

Taught business law courses at the graduate level.

West Windsor, Nj, Us

Taught business law course at the undergraduate level.

New York, Ny, Us

Sole management of the Business Governance Group, a regulatory division within the firm's investment and wealth management area. Led the group's efforts concerning all aspects of wealth management product and employee compliance with applicable rules and regulations. Key member of corporate working group that established corporate policies and procedures relating to Anti-Money Laundering, annual compliance training, gifts and gratuities and e-communication.Coordinated all efforts in responding to SEC and other regulatory examinations and inquiries.Led all efforts in connection with the following regulatory processes: annual FINRA 3012/3013 review, investment advisers testing, Form ADV and Disclosure Statement updates, operational risk management, identifying and mitigating risks, and RFP process.Established a lunch and learn series to increase staff knowledge about investment advisory products.Instituted and developed policies and procedures for all phases of the Business Governance Group processes to ensure continuity and increase staff knowledge.Effectively negotiated new and renewal contracts, saving the firm thousands of dollars.

New York, Ny, Us

Sole responsibility for establishing firm-wide procedures for identifying disclosure obligations, preparing disclosure language, and coordinating the timely and complete reporting of matters for all affected entities to federal, state, and other regulators, as well as updating the Disclosure Statements. Effectively managed outside counsel.Developed standardized procedures for reporting matters on the Form U5, including templates for routine disclosures and established procedures for managing licensing and registration update process to ensure consistency in reporting. Delivered training to attorneys on these issues.Prepared procedures outlining the firm's obligations under the Class Action Fairness Act of 2005 to increase attorneys' knowledge about impact of new regulation.

Washington, District Of Columbia, Us

Developed and delivered staff training nationswide, concerning new and proposed rules affecting dispute resolution in the financial services industry. In addition to reporting to the director, prepared presentation materials and president's monthly report to the CEO.

Performed responsibilities in a confidential manner to a Civil Court judge. Prepared jury charges in all trials over which the judge presided. Researched and wrote decision on all motions before the Court.

Jd, Law

Ba, Political Science

Diploma

Education record