Experience

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  Kelly,drye &warren, llp

  Jan 1982 - Jan 1985

  Associate

  Associate in Corporate Department serving Financial Institution clients with focus on M&A, bank and broker dealer regulatory advice and municipal finance.

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  Commerzbank ag

  Jan 1987 - Jan 1990

  Legal counsel

  Staff Attorney in Legal Department with primary focus on Corporate Lending, Treasury Products including Derivatives, regulatory reporting and capital markets activities. Created the Bank's first ever Medium Term Note Program in the United States and maintained program documentation, including PPM's, for two separate Commercial Paper Programs. Set up conduit structure to tap US capital markets to replenish Tier I capital through issuance of silent limited partnership certificates.

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  Banque indosuez

  Jan 1990 - Jan 1996

  Legal counsel

  Staff Attorney with prime legal responsibility for Private Banking Group and Corporate Lending. Expertly serve the legal needs of high net-worth clientele with special expertise in Islamic banking. Extensive bank regulatory practice to prepare the institution for possible debanking in the United States.

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  Unicredit bank ag

  Oct 1996 - Dec 2011

  General counsel and head of compliance

  Provided legal and compliance expertise in issues involving bank lending, including highly structured financial products, and merchant banking activities, including private placements. Expertly delineated complex financial product palette among bank, broker dealer and investment advisor subsidiaries to optimize capital and regulatory reporting relief.Managed retained counsel budget in excess of USD 10M. Favorably settled or won series of complex commercial law suits and Securites Class Action complaints resulting in nominal liability. Conducted corporate governance of more that 30 operating subsidiaries in the US and acted as trusted legal adviser to broker dealer and investment advisor Board of Directors. Built and managed effective Derivatives Documentation Team highly skilled in negotation of ISDA Master Agreements, CSAs, MSLAs and GMSLA. Developed proprietary library of legal forms and used same to effectively deploy transactional legal advice in domestic, cross border and international capital markets transactions. Effective policy advocacy for international bank interests in Washington, DC and in Europe as active Member of Institute of International Banking. Show less

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  China construction bank

  Jan 2011 - Jan 2012

  Head of regulatory compliance

  Managed Legal and Compliance matters at New York office of one of the largest banks in the world, leading a team of three professionals. Applied for legal relief under Bank Holding Company Act, paving the way for execution of multi-million dollars worth of trade finance deals previously prohibited under Fed's Exemptive Relief Order. Counselled institution on SEC and FINRA matters in connection with establishment of US Broker Dealer, including cross-affiliate transaction restrictions under Reg. W. Co-managed FINRA and SEC application process for de novo establishment of Broker Dealer. Counselled senior management on FATCA draft regulations, implications of extraterritorial application of Volcker Rule and "tailored" Resolution Planning under Dodd-Frank. Managed Subpoena responses and defense and developed library of legal and compliance forms, including internet banking platform. Show less

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  Commonwealth bank of australia, new york

  Mar 2012 - Mar 2013

  Head of compliance and regulatory risk

  In charge of legal and compliance risk management of US operations of largest Australian Bank, includings its US Broker-Dealer and non-US domiciled SEC registered Investment Advisers. Chief Compliance Officer for purposes of Group's AML/BSA/OFAC Compliance program. Spearhead Dodd-Frank implementation with current focus on Swap Dealer analysis and swaps push-out strategy, CFTC business conduct rules, Volcker Rule compliance preparation and tailored Resolution Planning.Create infrastructure for launch of Institutional Equities business of US Broker-Dealer. Manage FINRA and OCC examinations as well as SEC exams of registered Investment Advisers. Advise on JOBS Act and FHC status and provide ongoing litigation support in the United States. Show less

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  Haitong bank s.a and haitong securities usa, llc

  Apr 2013 - May 2016

  General counsel and chief compliance officer
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  Nordea markets, corporates & institutions

  Jun 2016 - Apr 2019

  Chief compliance officer
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  Self-employed

  Jul 2019 - now

  Attorney and compliance professional