Deutsche Bank

Legal - OCS (Corporate Governance)

Vestwell

Director - Corporate Governance and Compliance

Confidential

Below are highlights not inclusive of full responsibilities (see resume):

Heavily involved in the 1933 Securities Act, 1934 Securities Exchange Act, 1940 Investment Advisers Act and 1940 Investment Company Act. 

Reviewed PPOs, DDQs, Investment Management Agreements, Form ADV and PF. 

Responsible for third party risk management, internal controls, RIA compliance, SEC OCIE audits, and serve as project liaison between examiners and internal stakeholders.  

SOC 1 and SOC 2 audits, SOX internal audits. 

Identified prospective target companies for M&A transactions (including heavy due diligence), reviewed and established Portfolio Companies, filed Form PE for private equities. 

Review, revise and filed Section 16 (Forms 3, 4, 5), Schedule 13 filings, 8-Ks, and Form D for both SEC and Blue Sky regulators.  

Corporate Governance/Secretary - form, qualify and dissolve entities, maintain good standing, review and revise bylaws, operating agreements, partnership agreements, create resolutions, consents, meeting minutes, organize and prepare presentations (PPT and Diligent) for board meetings, and contribution and service agreements.  

Heavy contract review and negotiations (NDAs, service agreements, consultant agreements, etc.).  UCC Article 9 filings, IP Security Agreement drafting and filing with USPTO, US Copyright Office, etc. Trademark searches, filings, extensions, assignments, etc.

Labor & Employment - Federal, State and local law review, review employment agreements, update cap tables (Certent and Carta), monitor vesting and grant issuance and repurchase. Update employee handbooks.

Corporate - Governance, M&A, Contracts & Compliance

Yieldstreet

Legal Team

BNP Paribas

Below are highlights not inclusive of full responsibilities (see resume):

Primary responsibilities include interacting with intermediate bank holding company's board of directors and group's legal team, heavy corporate governance, secretary and compliance responsibilities, extensive research on laws and rules applicable to foreign banking organization (e.g., rules and opinions of Federal Reserve, Basel Committee, New York State Financial Services, Delaware, etc.).

Assistant Vice President - IHC Assistant Corporate Secretary

Roivant Sciences, Inc.

Senior Corporate & Governance Analyst

UBS Securities, LLC

Below are highlights not inclusive of full responsibilities (see resume):

Risk Management - review enterprise policies and procedures; review internal controls; review and update risk appetite statements for various SBUs, review submissions of outside business activities and personal holdings, and update compliance manual. 

Worked with Publicly Registered Non-Exchange Traded REITs (Public Non-Traded REITs) and Exchange Traded REITS, mainly offering documents (prospectus, supplements, SEC disclosures and FINRA rules).
Monitored Non-Traded REITs ensuring <15% fee bracket and 90% taxable income distribution to shareholders.
Focused on private REITs and income generating portfolio properties (equity REITs and mortgage REITs).Prepared mutual fund board materials and conducted extensive due diligence for M&As.
Supported senior attorneys (Corporate Governance/Compliance/Secretary/Contracts/UCC Article 9 filings).

Heavy contract review and negotiations (NDAs, service agreements, consultant agreements, etc.).  UCC Article 9 filings, IP Security Agreement drafting and filing with USPTO, US Copyright Office, etc. Trademark searches, filings, extensions, assignments, etc.

Senior Legal Analyst

Goldman, Sachs & Co

Governance & Corporate Entity Management Paralegal

Fried Frank

Assisted litigation attorneys with bates stamping, responding to interrogatories, requesting or responding to bill of particulars, summons and complaints, discoveries, court filings, Blue Book research, cite checking, etc.
Used Concordance, LiveNote and CT Summation for litigation research, also checked PACER daily.
Used Lexis/Nexis or Westlaw to research case laws and/or statutes or reporters and summarized the same.
Organized interview memos, digests and other relevant documents for attorney review and case preparation.
Notarized documents and traveled to Department of State to authenticate (Apostille) documents for foreign use.
Gathered and prepared documents relevant to the deponent, organize exhibits, take notes and handle exhibits during the deposition, and digested transcripts to summarize highlights of a proceeding.
Worked with attorneys and the Managing Attorney's Office in the preparation and filing of all court documents. 
Created, bound and distributed both file and courtesy copies, and organized the briefs, exhibits and appendices.
Organized exhibits, files and all other supporting documents, coordinated trial set-up and logistics, assisted attorneys in the courtroom by taking notes, handling exhibits, and marking documents referred to by counsel, assisted in the preparation of witness testimony and served as liaison between trial attorneys and in-house staff.
Maintained minute books and corporate records relating to election and resignation of directors/officers.
Prepared forms pertaining to entity formation, qualification, dissolution and shareholders/board resolutions.
Responsibility included reviewing, commenting on and negotiating prospective clients' non-disclosure agreements and joinders against investment banking regulations and Securities Handbook and supplements.
Analyzed sales memorandum (primarily IPOs, Secondary Offerings, Private Placements, M&amp;As and other divestitures) against offering documents (prospectuses, PPMs or PPOs).

Corporate M&A Paralegal

Liberty Mutual Insurance Company

Involved in facilities relocation, expansion, HVAC issues and security set-up for the 8 Legal Field Offices, as well as the supervision of all legal office managers.  
Responsible for the Human Resource, Information Technology, Budgeting and Records Management.
Performed review of field offices work products and files to maintain policy compliance.

Assistant Regional Operations Manager

My extensive knowledge, skills and experiences in management, human resources, as a senior corporate analyst and as a project manager -- governance, secretary, compliance, regulatory (AML, KYC, etc.), hedge funds, private equities, etc. -- have allowed me to provide expert-level services to both large and small businesses in the advancement of their structuring, restructuring and strategic direction.

Specialties: Administration,  budgeting,  coaching, CRM,  recordkeeping,  Groupwise,  human resources,  HVAC,  IT,  ISDA,  Lexis/Nexis, Westlaw  Lotus 123,  Lotus Notes, MS Excel, Word, Outlook, Access, PowerPoint and Visio, Negotiation, Organizational skills, Project Management, Corel Office, Recruiting,  Research,  Sales,  Securities & Exchange Commission, FINRA, Department of Treasury and Department of Commerce (including subsidiary regulatory agencies), Business Planning,  Technical Support and Troubleshooting,  Typing 90 WPM.

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