Experienced executive with over 25 years of legal and compliance experience as general counsel, chief compliance officer and law partner at an AmLaw 100 law firm. Extensive experience working with boards of directors and senior executives, managing outside counsel and managing teams of attorneys, ...more

Experienced executive with over 25 years of legal and compliance experience as general counsel, chief compliance officer and law partner at an AmLaw 100 law firm. Extensive experience working with boards of directors and senior executives, managing outside counsel and managing teams of attorneys, compliance, and risk professionals. Deep knowledge of Securities, Asset Management, Broker-Dealer, Investment Advisory, Compliance, Hedge Funds, Commodity Pools, ETFs and Mutual Funds. Experienced with Corporate, Contracts, Privacy/Cybersecurity, Intellectual Property, AML and Employment law. Managed regulatory exams and inquiries conducted by the SEC, FINRA, CFTC, NFA, and state securities regulators.less