Valerie Bailey Email and Phone Number
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Valerie Bailey is a seasoned transactional attorney with experience with a regulator, broker/dealers and investment advisory firms. Knowledgeable in regulatory reporting, AML/BSA, KYC, FCPA, gift and entertainment, advertising regulations, annual testing FINRA Rules 3012/3013) compliance matters. Held FINRA (NASD) Series 7 license. Excellent in developing compliance policies and procedures. Excellent managerial skills with an ability to multi-task and supervise and collaborate with staff at various levels and in various fields and projects. Very competent, motivated, and proactive manager with demonstrated track record of exceptional results in uncharted areas. Works well with all levels of management, earning the responsibility of preparing a president’s monthly report to the chief executive officer as well as other presentation documents. Valerie has spoken regularly at industry conferences, law schools, and bar associations on securities dispute resolution issues, as well as before employees on securities compliance issues.Valerie possesses a strong background in developing curriculum as an adjunct professor, coupled with deep experience in developing training materials and delivering training to professionals.Specialties: Held Series 7 licensed with FINRA. Juris Doctor; securities arbitration and mediation; securities regulation
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Vice President & Associate General CounselNeuberger Berman Feb 2013 - PresentNew York, Ny, Us -
ContractorNeuberger Berman Jul 2012 - Jan 2013New York, Ny, UsPerformed various legal and compliance functions.
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Compliance - Contract WorkerUsaa Dec 2011 - May 2012San Antonio, Texas, UsReview 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. -
Consulting AttorneyValerie Bailey, Esq. Jan 2009 - Dec 2011Successfully 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.
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Adjunct Professor Of Business Law - Graduate SchoolRider University Sep 2009 - Jun 2010Lawrenceville, Nj, UsTaught business law courses at the graduate level. -
Adjunct Professor - Business LawMercer County Community College Sep 2009 - Jun 2010West Windsor, Nj, UsTaught business law course at the undergraduate level. -
DirectorMerrill Lynch Feb 2007 - Mar 2009New York, Ny, UsSole 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. -
DirectorMorgan Stanley May 2005 - Feb 2007New York, Ny, UsSole 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. -
Associate DirectorFinra Dec 1988 - May 2005Washington, District Of Columbia, UsDeveloped 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. -
Law ClerkNew York City Court Administration Apr 1986 - Dec 1988Performed 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.
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Law ClerkJustice Yvonne Lewis Jan 1987 - Jan 1988
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Law ClerkJustice George E. Wade Jan 1986 - Jan 1987
Valerie Bailey Skills
Valerie Bailey Education Details
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Brooklyn Law SchoolLaw -
Fairleigh Dickinson UniversityPolitical Science
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Ewing High SchoolDiploma
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Staths
Frequently Asked Questions about Valerie Bailey
What company does Valerie Bailey work for?
Valerie Bailey works for Neuberger Berman
What is Valerie Bailey's role at the current company?
Valerie Bailey's current role is Vice President.
What is Valerie Bailey's email address?
Valerie Bailey's email address is vb****@****aol.com
What is Valerie Bailey's direct phone number?
Valerie Bailey's direct phone number is +160979*****
What schools did Valerie Bailey attend?
Valerie Bailey attended Brooklyn Law School, Fairleigh Dickinson University, Ewing High School, Staths.
What are some of Valerie Bailey's interests?
Valerie Bailey has interest in Reading And Travelling, Tennis.
What skills is Valerie Bailey known for?
Valerie Bailey has skills like Compliance, Securities, Series 7, Investment Advisory, Finra, Securities Regulation, Risk Management, Arbitration, Aml, Investments, Corporate Law, Mediation.
Who are Valerie Bailey's colleagues?
Valerie Bailey's colleagues are Cyril Bosse-Platiere, Julia Seong, Cpa, Caia, Kaitlyn Felicetti, Mccoy Jen, Cfa, Nick Kremer, Ammar Khaled, Spencer Van Wagoner.
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