COS Engagements and Work Experience

  • Exclusive consultant to U.S. Bancorp to create its compliance and risk management infrastructure for the de novo establishment of their municipal trading, sales and underwriting platform.
  • Developed operational risk procedures, assessment and testing for U.S. Bancorp’s investment grade and municipal businesses.
  • Facilitated and managed all aspects of FINRA’s new member application (“NMA”) process including
    policies and procedures, supervision, compliance, business plan, and financial requirements for new member applicants.
  • Addressed firm expansion by managing 1017 filings with FINRA including related policies and procedures, FINRA presentations, compliance infrastructure, due diligence and business integration for existing FINRA members.
  • Hired to consult member firms on complex SEC and FINRA broker dealer examinations or regulatory inquiries.
  • Conducted independent compliance report addressing supervision and activities involving Special Purpose Acquisition Companies (“SPACS”) for an investment banking firm in New York.  Subsequently hired to address all remediation efforts.
  • Acted as Chief Operating Officer from 2008 through 2012 for Legend Merchant Group, LLC, a boutique investment banking firm in New York City.
  • Developed policies and procedures for private placements and M & A activities including commitment committee processes, conflicts of interest, due diligence, supervision, suitability and insider trading for a boutique investment banking firm in Washington D.C.
  • Engaged to develop procedures for private investments in public equity (“PIPE”) procedures that encompassed, Regulation D, client solicitations and related “over the wall” procedures, watch and restricted list implications, Regulation M and FINRA filing requirements.
  • Engaged to lead due diligence efforts for a large bank holding company regarding their acquisition of a publicly traded broker dealer.
  • Conducted mock SEC examinations for registered investment advisors in the private fund sector as well as those with separately managed accounts.
  • Facilitated Concerto Asset Management’s approval and registration process with the Securities and Exchange Commission as a Registered Investment Advisor. Currently, acting as CCO for Concerto.
  • Conducted annual risk assessments and compliance reviews for numerous RIA’s as required under Rule 206(4)-7 under the Investment Advisers Act.
  • Engaged by several RIA clients to evaluate the impact of recent regulatory changes imposed by Dodd-Frank.  This included “mid-sized” advisors and their required state registration as well as implications to private funds.
  • Facilitated the preparation and filing of ADV Part 1, Part IIA, and Part IIB for state and SEC registered investment advisors.
  • Developed AML programs for NewCo broker dealers including relevant procedures for FINCEN, customer identification programs and know your customer provisions under the USA Patriot Act.