Declan Cleary
Chicago,IL
Summary
Detail-oriented compliance professional with extensive experience in regulatory response development. Proven track record in improving client outcomes for compliance programs and addressing complex financial regulations.
Overview
7
7
years of professional experience
Work History
Senior Associate
Kroll
Chicago, IL
05.2024 - Current
- Provided day-to-day advisory services addressing varied compliance objectives for private equity firms, hedge funds, broker-dealers, business development companies, and registered investment advisers.
- Conducted thorough regulatory risk assessments and mock examinations to identify potential vulnerabilities arising out of federal securities laws and developing financial markets.
- Developed and implemented strategic solutions to enhance client compliance programs to the highest standard of readiness to address client concerns and cooperate efficiently with any potential regulatory action.
Law Clerk Assisting the SEC's Enforcement Division
C2 Alaska
Chicago, IL
12.2021 - 05.2024
- Drafted and advised in the drafting of subpoenas, action memoranda, depositions questionnaires, and complaints arising in the course of investigations undertaken by the SEC
- Addressed targeted issues such as the sale of unregistered securities, forthwith suspensions, and fraudulent misrepresentations to the public regarding investment contracts
- Processed Matters Under Investigation throughout the process from the intake through the SEC's Tips, Complaints, and Referrals system through Commission approval
Judicial Law Clerk
Cook County Circuit Court
Chicago, IL
09.2018 - 12.2021
- Drafted and advised on a wide variety of legal topics, including employment discrimination, insurance coverage, business organization, tax, replevin, detinue, eminent domain, condemnation, workers' compensation, contract law, and collection of judgments
- Addressed both original and appellate standards of review, as would arise out of cases where the court reviewed decisions of administrative agencies under statutorily vested jurisdiction
- Assisted with administrative transition into online court efforts to effectively continue court procedures despite the difficulties posed by the COVID-19 pandemic
Education
J.D. -
UIC Law (formerly The John Marshall Law School)
Chicago, IL05-2018
Bachelor of Arts - Political Science
Elon University
Elon, NC05-2015
Skills
- Project Coordination
- Risk Management
- Financial Policy Analysis
- Cybersecurity Incident Response
- Proficiency with Financial Compliance Software and Web Services (BasisCode, ComplianceAlpha, MyComplianceOffice, FINRA Gateway, EDGAR)
- Client Management
Timeline
Senior Associate
Kroll
05.2024 - Current
Law Clerk Assisting the SEC's Enforcement Division
C2 Alaska
12.2021 - 05.2024
Judicial Law Clerk
Cook County Circuit Court
09.2018 - 12.2021
J.D. -
UIC Law (formerly The John Marshall Law School)
Bachelor of Arts - Political Science
Elon University