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0000 xxxxxx xxxx , xxxx , xxxxx 00000 516-766-4091 abc@xyz.com
Senior Management Executive
Legal Operations Compliance Contracts Financial Services Consulting
Extensive expertise in legal oversight, regulatory compliance, operations, and business development.
Substantial career spans Institutional Broker Dealers, Registered Investment Advisors (RIAs), Private Market Transactions and Special Purpose Vehicles, and SEC and FINRA audits and inquiries.
Extremely skilled in interpreting and drafting complex legal documents, negotiating agreements and contracts, and preparing comprehensive audit reports for top-level management.
Persuasive and perceptive with solid judgment, problem solving abilities, and innovative thinking skills.
Proven success in training, data analysis, risk management, policy writing, and project coordination.
Demonstrated strengths in broad-based financial, market, and trend analysis and research.
Professional Experience
Strategas Research Partners, LLC. New York, NY, 2014 to 2018
General Counsel / Director of Operations
Spearhead full-scope daily operations for macro research firm and several affiliates.
Serve as General Counsel to Strategas Securities, as General Counselor and CCO to Strategas Asset Management, and as General Counsel to Strategas Capital Partners.
Collaborate with outside counsel in Washington, DC and United Kingdom to maximize cohesive efforts and achieve mutual business goals.
Championed multiple successful FINRA 1017 applications and materiality consultations.
Advise FINRA Broker Dealer in appropriately responding to SEC audit and FINRA inquiries.
Planned, coordinated, and completed purchase of competitor research firm to increase market share.
Guided regulatory filings throughout each phase to support sale of firm to Robert W. Baird & Co.
Strategically formed and implemented legal frameworks for exempt securities Private Market Transaction Group along with Registered Investment Adviser and sponsorship of Special Purchase Vehicles.
Played a pivotal role in acquiring New York State approval of SAM as a Registered Investment Adviser.
Prepared SAM's Managed Delivery Investment Adviser Agreements and compliance documents.
Steered seamless onboarding of SAMs on Envestnet, Schwab and Pershing trading platforms.
Investment Research Consortium Securities, LLC, New York, NY, 2008 to 2014
Chief Compliance Officer & Board Member
Recruited by founding members to establish, launch, and direct consortium comprising independent industry research analysts.
Defined goals and vision, shaped compliance strategy, and helmed collaborative effort in initial capital formation, corporate filings, and formation of parent company and operating limited liability companies.
Prudently advised Board of Directors, senior management, and employees on evaluating, mitigating, resolving, and preventing compliance issues pertaining to civil, criminal, and administrative laws.
Confidently negotiated complete process for purchase of Broker Dealer in state of Tennessee with full accountability for documentation, legal compliance, and stakeholder relations.
Filed and received FINRA approval of 1017 application to facilitate change in ownership, relocation, and smooth conversion of entity from C Corp to LLC.
Systematically examined, approved, and guided preparation of research reports from independent research analysts (members of consortium).
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Professional Experience continued
Rafferty Capital Markets, LLC, New York, NY, 2006 to 2008
Director of Compliance
Reporting to Founder and Chief Executive Officer, governed equity and trading and prime broker desks.
Directed, mentored, and supervised SEC Investment Adviser in development of Compliance Manual to standardize relevant policies, procedures, and requirements.
Ensured company compliance issues and concerns were appropriately and efficiently evaluated, investigated, and resolved in concurrent role as independent review and evaluation body.
GGET, LLC, Greenwich, CT, La Jolla CA, Chicago, IL, Boston, MA, 2000 to 2006
Chief Compliance Officer
Devised and introduced comprehensive compliance training program for newly-formed NASD Broker Dealer engaged in block trading for institutional clients, and proficiently oversaw all facets of compliance for main office and several branches.
Methodically responded to NASD, NYSE, and SEC inquiries to result in no exceptions.
Leveraged outstanding leadership, organizational, and documentation skills to effectively administer annual compliance training program.
Provided informative and influential guidance to founding partners on broad-scope regulatory, business, and compliance issues to control risk and liability while bolstering organizational performance.
Prior Background:
Legal Financial Expert, US Agency for International Development Kiev, Ukraine
Branch Manager, Garban (ICAP) Mortgage Backed Securities Department, World Trade Center
CCO / National Sales Manager, RMJ Securities (ICAP) New York, NY
Assistant District Attorney, New York County, Office of Robert Morgenthau, New York, NY
Special Agent, New York State Commission of Investigation, New York, NY
Non-Commissioned Officer, United States Army
Education
Juris Doctor
St. John s University Law School, Jamaica, NY
Bachelor of Arts in Economics
Hofstra University, Hempstead, NY
Memberships
Member, New York State Bar Association
Licensure
Series 7, 12, 24, 27, 55, 63, 65, 66, 72, and 87
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