Janelle Johnson
New York,USA
Summary
Senior legal professional with extensive experience in securities enforcement, regulatory investigations, and financial services law, supporting investment banking and capital markets businesses. Track record of advising senior stakeholders on regulatory risk, enforcement matters, and evolving financial regulations, with experience managing complex investigations and contributing to regulatory strategy across in-house and law firm environments. Recognized for sound judgment, strong cross-functional collaboration, and the ability to navigate high-stakes regulatory matters.
Overview
18
18
years of professional experience
Work History
Associate General Counsel
SIEBERT WILLIAMS SHANK & CO., LLC
New York, NY
01.2022 - Current
- Advise on legal and regulatory matters across investment banking, sales & trading, and advisory businesses, working closely with senior legal leadership and business stakeholders.
- Provide legal guidance on regulatory obligations and risk considerations impacting investment banking and capital markets activities
- Support senior management and Board-level discussions on governance, legal risk, and regulatory developments
- Manage and coordinate regulatory inquiries, internal reviews, and litigation matters, including engagement with outside counsel
- Collaborate with Compliance and Risk to address regulatory issues and enhance existing frameworks
- Analyze and interpret new and proposed regulations, advising stakeholders on implications for business practices
- Review, draft, and negotiate agreements related to municipal and corporate finance transactions
Senior Regulatory Counsel
ROBINHOOD FINANCIAL MARKETS, INC.
Menlo Park, CA
01.2021 - 01.2022
- Supported regulatory legal function across brokerage, cryptocurrency, and money services businesses, with a focus on financial crimes and regulatory compliance.
- Advised cross-functional teams on AML, sanctions, fraud, and anti-bribery regulations
- Contributed to regulatory strategy discussions related to new product development and business initiatives
- Assisted in preparing responses to regulatory inquiries, examinations, and filings, including interaction with regulators
- Partnered with Legal, Compliance, and Risk teams to identify control gaps and recommend enhancements
- Helped drive improvements to processes, systems, and compliance frameworks within the financial crimes space
Securities Enforcement & Litigation Associate
WILMER CUTLER PICKERING HALE & DORR LLP
New York, NY
01.2016 - 01.2021
- Represented financial institutions and corporate clients in regulatory investigations, enforcement actions, and complex litigation matters.
- Conducted key aspects of internal investigations involving SEC, DOJ, FINRA, and CFTC matters
- Developed factual records through document analysis and witness interviews, contributing to defense and compliance strategies
- Drafted memoranda, regulatory submissions, and Wells submissions
- Supported witness preparation and regulatory proceedings
- Performed regulatory risk assessments and reviewed compliance frameworks for clients
- Coordinated with internal teams and external stakeholders on discovery and document production efforts
Senior Paralegal / Certified AML Specialist
BANK OF NEW YORK MELLON CORPORATION
New York, NY
01.2008 - 01.2014
- Supported AML enforcement and investigations team in responding to regulatory and law enforcement inquiries
- Assisted in identifying potential legal and regulatory risks
- Coordinated with internal stakeholders and supported case development and documentation
- Provided guidance and oversight to junior staff on workflow and training
Education
J.D. -
St. John’s University School of Law
B.A. - Political Science & Environmental Studies
College of St. Benedict / St. John’s University
Skills
- Securities Enforcement & Litigation
- Regulatory Investigations (SEC, DOJ, FINRA, CFTC)
- Investment Banking & Capital Markets Advisory
- Regulatory Risk Assessment
- AML, Sanctions & Financial Crimes
- Governance & Compliance Frameworks
- Cross-Functional Collaboration (Legal, Compliance, Risk)
Websites
Affiliations
- Admitted to practice in New York
- Member, American Bar Association & NYC Bar Association
ADDITIONAL INFORMATION
Contributing author: CFTC and Global Anti-Bribery Year-in-Review Client Alerts
Timeline
Associate General Counsel
SIEBERT WILLIAMS SHANK & CO., LLC
01.2022 - Current
Senior Regulatory Counsel
ROBINHOOD FINANCIAL MARKETS, INC.
01.2021 - 01.2022
Securities Enforcement & Litigation Associate
WILMER CUTLER PICKERING HALE & DORR LLP
01.2016 - 01.2021
Senior Paralegal / Certified AML Specialist
BANK OF NEW YORK MELLON CORPORATION
01.2008 - 01.2014
B.A. - Political Science & Environmental Studies
College of St. Benedict / St. John’s University
J.D. -
St. John’s University School of Law