I have nine years of experience providing legal advice and counseling, as well as compliance support, to an SEC-registered investment adviser and its affiliated FINRA-member broker-dealer and group of sponsored mutual funds. I am used to operating in a very demanding, fast-paced environment, ...more

I have nine years of experience providing legal advice and counseling, as well as compliance support, to an SEC-registered investment adviser and its affiliated FINRA-member broker-dealer and group of sponsored mutual funds. I am used to operating in a very demanding, fast-paced environment, necessitating an ability to adapt to changing priorities. I take a practical approach to problem solving, seeking always to understand the broader implications any matter has on the firm as a whole rather than treating issues as discrete. I take great pride in establishing and maintaining strong relationships at all levels, and across all departments of a firm, believing that such relationships are essential to effective communication, which fosters learning, understanding and ultimately, efficient operation of the firm. Core Competencies include: Mutual Funds • Investment Company Act • Investment Adviser Regulation • Investment Advisers Act • Broker-Dealer Regulation • FINRA • Compliance • Securities Regulation • Intellectual Property • Contractsless