William Nelson Email and Phone Number
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William currently serves as Director of Public Policy and Associate General Counsel at the Investment Adviser Association and an Adjunct Professor at the University of Denver Sturm College of Law. He also currently serves as Chair for the DC Bar’s Corporation, Finance and Securities Law Community. Prior to joining IAA, William served as Assistant General Counsel at CFP Board, where he was responsible for assisting with the development of CFP Board’s Code of Ethics and Standards of Conduct, Sanction Guidelines, Fitness Standards, and Procedural Rules. William also developed guidance materials concerning CFP Board’s standards and assisted with corporate governance matters.Prior to joining CFP Board, William served as Chief Compliance Officer for Mercer Advisors, one of the largest independent SEC-registered Investment Advisers. In this role, William redesigned the firm’s entire compliance program, including the creation of a comprehensive compliance program to assist the firm in preventing, detecting, and correcting violations of securities laws. William served as Legal Advisor to Mercer Advisors’ Investment Committee and ERISA Committee and served as a subject matter expert for the organization on questions concerning legal and regulatory compliance. William previously served as the Public Policy Counsel for CFP Board, where he drafted Amicus briefs in the Department of Labor (DOL) fiduciary cases in the Northern District of Texas and the Fifth Circuit Court of Appeals and drafted several regulatory comment letters submitted to the DOL and Securities Exchange Commission (SEC) in support of investor protection issues. He has also held multiple roles as an attorney with both the U.S. Department of Justice and the U.S. Department of Veterans Affairs. William serves as an Adjunct Professor at the University of Denver Sturm College of Law where he teaches Securities Law and previously served as an Adjunct Professor at the George Washington University Law School where he taught Legal Research and Writing. William has been published in several scholarly law journals across the country and his work has been cited in legal treatises and state and federal court decisions. William received his undergraduate degree from the University of Tulsa, his Juris Doctorate (J.D.) degree, with Honors, from the University of Tulsa College of Law and his Master of Laws (LL.M.) degree from the George Washington University Law School.
Investment Adviser Association
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Director Of Public Policy And Associate General CounselInvestment Adviser Association Sep 2024 - PresentWashington, Dc, Us● Responsible for IAA's legislative advocacy● Develops annual Adviser Advocacy Day program and ongoing grassroots efforts and initiatives● Serves as Treasurer, IAA PAC and works with PAC Board● Engage in written and oral advocacy with respect to federal, state, and international laws and regulations affecting SEC-registered investment advisers, with the primary responsibility for ERISA, proxy voting, and ESG issues.● Develop and update compliance materials to assist members in understanding and complying with relevant laws and regulations.● Communicate with members on legal, regulatory, and compliance information and developments, both individually and through written publications.● Organize and participate in educational events, including conferences and webinars.● Work with member committees and working groups.● Analyze corporate and other legal matters affecting the association.
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Associate General CounselInvestment Adviser Association Nov 2021 - Sep 2024Washington, Dc, Us● Engage in written and oral advocacy with respect to federal, state, and international laws and regulations affecting SEC-registered investment advisers, with the primary responsibility for ERISA, proxy voting, and ESG issues.● Develop and update compliance materials to assist members in understanding and complying with relevant laws and regulations.● Communicate with members on legal, regulatory, and compliance information and developments, both individually and through written publications.● Organize and participate in educational events, including conferences and webinars.● Work with member committees and working groups.● Analyze corporate and other legal matters affecting the association.
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Adjunct Professor, Securities LawUniversity Of Denver - Sturm College Of Law Apr 2021 - PresentDenver, Co, Us -
Adjunct Professor, Securities LawUniversity Of Denver - Sturm College Of Law Jul 2020 - Jul 2021Denver, Co, UsAdjunct Professor of Law Teaching Securities Law.
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Chair, D.C. Bar'S Corporation, Finance And Securities Law CommunityD.C. Bar Jun 2022 - PresentWashington, District Of Columbia, UsCo-Chair of DC Bar’s Corporation, Finance and Securities Law Community’s steering committee. Serve 3,000 members, manage seven subcommittees, and direct outreach and programming. -
Articles ReviewerThe American Business Law Journal Aug 2022 - PresentWashington, D.C., UsIn this role, I help support the American Business Law Journal, a premiere, double-blind, peer-reviewed Wiley publication with a global emphasis on #business and #law, to publish original, timely, and impactful works of scholarship at the interdisciplinary frontiers of business and law. -
Assistant General CounselCfp Board Jan 2021 - Nov 2021Washington, Dc, Us• Assist the General Counsel with the development of standards, including CFP Board’s Code of Ethics and Standards of Conduct, Sanctions Guidelines, Fitness Standards, and Procedural Rules• Assist the General Counsel with the development of guidance materials concerning CFP Board’s Code of Ethics and Standards of Conduct, including formal guidance materials and responses to individual requests for guidance• Provides occasional assistance with the adjudication of alleged violations of the Code and Standards, including issuing relevant notices and materials, developing advice to hearing panels and to the Disciplinary and Ethics Commission (DEC), and drafting press releases and Case Histories (ACH) • Collaborates with CFP Board’s Continuing Education department to review ethics CE materials for alignment with the Code and Standards• Provide legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents and other financial professionals • Provide assistance with corporate governance matters, Board of Directors meeting materials, and the review of contracts -
Chief Compliance OfficerMercer Advisors Jun 2017 - Jan 2021Denver, Colorado, Us• Served as Chief Compliance Officer for an SEC-registered Investment Adviser with 47 branch offices nationwide, over 450 employees, and $21 Billion Assets Under Management (AUM)• Served as Legal Adviser to Mercer Global Advisors’ Investment Committee and ERISA Committee• Served as a Corporate Officer and function as a member of Senior Management• Redesigned the overall Compliance program, including creation of a comprehensive Compliance Manual and Code of Ethics drafted to assist the firm in preventing, detecting and correcting violations of securities laws and regulations• Designed, managed, and implemented an effective compliance testing regimen ensuring compliance with various federal and state regulations which result in mitigating any regulatory risks• Served as a subject matter expert for the organization on questions concerning regulatory compliance, including interpretations of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, and the Employee Retirement Income Security Act of 1974 (ERISA) • Was responsible for all SEC filings, including Form ADV, Part I & II, and lead all SEC and external and internal compliance audits• Led in-house compliance education efforts across the organization minimizing risk exposure• Served as a member of UN PRI's Global Policy Reference Group -
Public Policy CounselCfp Board Jul 2013 - May 2017Washington, Dc, Us• Drove the public policy agenda for an organization that certifies over 76,000 CFP® professionals• Prepared policy and advocacy documents and written and oral testimony for Congressional committee hearings that are consistent with CFP Board’s core public policy objectives • Served as a subject matter expert for the organization on questions concerning regulatory compliance, including interpretations of standards of conduct under securities laws and ERISA• Drafted regulatory comment letters submitted to the Securities Exchange Commission, focusing on implementation of Dodd-Frank rulemakings and regulatory reform efforts, and the Department of Labor, focusing on protection of retirement assets• Drafted amicus briefs for federal court cases in the Northern District of Texas and Fifth Circuit Court of Appeals in support of the Department of Labor’s fiduciary rulemaking• Managed the direct and grassroots advocacy initiatives conducted by CFP Board before Congress and government agencies
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Adjunct ProfessorGeorge Washington University Law School Jul 2010 - May 2017Washington, D.C., Us• Professor of Legal Research and Writing for Foreign-Trained Master of Laws (LL.M.) Students; lecture topics include Legal Research and Writing, Constitutional Law, Civil Procedure, and the U.S. Court System• My approach to teaching focuses on the construction of knowledge, rather than the absorption of facts. I feel that teaching law is less about the answers themselves than it is about a paradigm for solving problems; this approach develops the critical thinking skills necessary to become a successful attorney.• I employ a modified form of the Socratic method that creates a balance between exposing students to significant areas of law and developing lawyering skills; this approach requires students to grapple with the difficulty of making legal arguments to support various outcomes in hypothetical situations and encourages students to engage in analysis which must then be communicated in a persuasive manner -
Associate CounselBoard Of Veterans' Appeals, U.S. Department Of Veterans Affairs Jun 2009 - Jul 2013• Drafted over 450 high quality decisions for Veterans Law Judges regarding Veterans’ claims which required legal research and analysis, application of the Code of Federal Regulations and case law, and analysis of medical and service department records • Drafted legal opinion requests for VA’s Office of General Counsel requesting guidance on unresolved legal questions for cases before the United States Court of Appeals for Veterans Claims• Received multiple Board of Veterans’ Appeals Exceptional Achievement Awards for outstanding workmanship in preparing decisions that served as models for addressing multi-issue and complex cases
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Managing Associate EditorThe Wealth Strategies Journal Jun 2011 - Apr 2013Washington, UsOversaw a team of writers submitting articles for publication, addressing topics such as estate planning, taxation, and asset protection; management includes the quality control of articles, topic creation, and pipeline management -
AttorneyEnvironmental And Natural Resources Division, Us Department Of Justice Oct 2008 - Jun 2009• Conducted trial preparation for litigation of claims by Indian tribes alleging the Federal Government failed to properly manage tribal trust funds and did not comply with other inherent and statutory fiduciary duties as trustees
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Law ClerkLyons, Clark And Mensching May 2006 - Jul 2007- Prepared portions of legal documents including court pleadings, informal and formal discovery requests, and a range of motions and legal correspondence - Researched and drafted portions of briefs submitted to the Supreme Court of Oklahoma and 10th Circuit Court of Appeals
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Risk Analyst / Legal InternMatrix Service Company Mar 2005 - Jun 2006• Analyzed a variety of sales and construction contracts for specificity and validity• Assisted In-House Counsel with Sarbanes-Oxley compliance, specifically helped re-write company policy regarding the adequacy of the company’s internal controls over financial reporting• Researched and drafted legal memoranda regarding domestic and international contract law, specifically issues arising under the Uniform Commercial Code and UN Convention on the International Sale of Goods
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Volunteer Legal InternTulsa County District Attorney'S Office Apr 2004 - Aug 2004• Reviewed case files in preparation for hearings; drafted memoranda, legal documents and case filings
William Nelson Skills
William Nelson Education Details
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The George Washington University Law SchoolInternational Business/Trade/Commerce -
The University Of Tulsa College Of LawLaw
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The University Of TulsaManagement Information Systems
Frequently Asked Questions about William Nelson
What company does William Nelson work for?
William Nelson works for Investment Adviser Association
What is William Nelson's role at the current company?
William Nelson's current role is Director of Public Policy and Associate General Counsel - Investment Adviser Association.
What is William Nelson's email address?
William Nelson's email address is tu****@****ail.com
What is William Nelson's direct phone number?
William Nelson's direct phone number is +180556*****
What schools did William Nelson attend?
William Nelson attended The George Washington University Law School, The University Of Tulsa College Of Law, The University Of Tulsa.
What skills is William Nelson known for?
William Nelson has skills like Legal Research, Legal Writing, International Law, Corporate Law, Corporate Governance, Trials, Litigation, Public Policy, Civil Litigation, Commercial Litigation, Criminal Law, Westlaw.
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