Description
SUMMARY Experienced Business and Capital Markets Lawyer with Substantial Transactional, Regulatory and Compliance Experience and Capabilities - Trusted Legal Advisor to Businesses, Control Groups and Management with Demonstrated Communications, Analytical, Drafting, Negotiating, Managerial and Leadership Skills Structured, negotiated, documented and closed numerous business, commercial and capital markets transactions including swaps and derivatives transactions, repurchase transactions, securities lending transactions, investment agreements, forward transactions, structured products, mergers and acquisitions, public offerings, private placements, private equity investments, loan transactions (secured, unsecured, mezzanine and subordinated debt), commercial real estate transactions and project finance, leasing transactions, employment agreements, engagement agreements, confidentiality and non-disclosure agreements and cross-border transactions and products Drafted and negotiated documents for the establishment of corporations, limited liability companies and limited partnerships and provided ongoing advice in connection with governance, legal compliance and regulatory matters and transactions, and drafted and provided advice in connection with the development and implementation of business plans Provided critical legal, compliance and regulatory guidance and services to successfully launch many new capital markets businesses and products and closed billions of dollars of complex capital markets transactions while successfully managing ongoing related legal and regulatory issues including '33 Act, '34 Act, Investment Advisors Act, '40 Act, AML, Sarbanes Oxley and Dodd Frank Drafted and reviewed numerous contracts including capital markets agreements, stock and asset purchase agreements, loan and security agreements, swap and derivatives agreements, employment agreements, investment agreements, underwriting and placement agency agreements, pooling and servicing and trust agreements, employment agreements, non-disclosure agreements, licensing agreements, commercial contracts, lease agreements and commercial agreements and drafted and negotiated '33 and '34 Act documentation Managed legal and regulatory issues and worked closely with Compliance, Credit and Risk Management to successfully develop and manage financial products and businesses in highly regulated, high pressure capital markets environments Drafted and successfully implemented and managed compliance policies and procedures and internal controls for broker dealers (including for trading desks, sales and investment banking and research groups), hedge funds, investment advisors and complex capital markets businesses and products provided ongoing critical legal, compliance and regulatory advice Proven ability to get business and transactions closed and capital markets products launched on time, correctly and without legal or regulatory problems Able to successfully conceive, draft and implement business plans and internal policies, procedures and controls for new businesses and capital markets products which grew into large, efficient and profitable businesses and products Effectively managed ongoing legal, compliance and regulatory risk for capital markets Acted as a trusted legal adviser to the line and to compliance, credit, risk management and other control groups, and senior management and committees in connection with new complex capital markets products, businesses, transactions and projects Effectively managed internal and external lawyers and legal staff (domestic and international) Handled ongoing corporate governance and corporate secretary and human resource and employment matters
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