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RssAccomplished legal & compliance executive for registered investment advisory firms

Accomplished legal and regulatory executive with experience designing, implementing and maintaining US and Global compliance programs for equities investment advisory firms, managing global compliance teams, managing SEC regulatory exams, registering firms and private funds with various international jurisdictions, managing the acquisition and integration of other investment advisory firms, negotiating corporate agreements, and performing due diligence on counterparties and third party service providers.

Lawyer

About Me

Industry:

Legal Services

Occupation:

Lawyer
 

Education level:

Law Degree

Will Relocate:

Yes