Dynamic and results-driven General Counsel with 20+ years of experience in financial services, specializing in broker-dealer and investment adviser regulations, M&A transactions, corporate governance, and global regulatory oversight. Proven ability to lead legal teams, manage complex regulatory frameworks, and drive strategic business growth. Adept at navigating SEC and FINRA regulations, structuring transactions, and overseeing litigation and compliance matters.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Deputy General Counsel
ACA Group (formerly Foreside Financial Group)
01.2017 - Current
Lead legal, risk, corporate governance, and due diligence teams, providing strategic counsel on regulatory compliance, M&A, and corporate governance
Oversee global corporate governance, intellectual property, and insurance, ensuring compliance with international regulatory requirements
Directed more than a dozen asset and equity acquisitions, including a complex merger between Foreside Financial Group and ACA Group
Spearheaded the implementation of a contract management system housing 40,000+ client agreements, improving turnaround time by 100%
Managed multi-year, billion-dollar class action litigation and regulatory examinations with the SEC, FINRA, and FCA
Established and governed various subsidiaries, including an investment manager and broker-dealer
Developed and implemented GDPR and privacy compliance programs
Served as Chief Compliance Officer of subsidiary investment adviser
Senior Director & Corporate Counsel
NRECA / Homestead Funds
01.2007 - 01.2017
Advised the board and senior leadership on mutual fund, investment adviser, and broker-dealer regulations
Served as Corporate Secretary for the mutual fund board
Led SEC and FINRA examinations, ensuring compliance with evolving regulations
Developed and executed complex regulatory implementations, including money market reform and DOL fiduciary standards
Associate
Bell, Boyd & Lloyd
01.2005 - 01.2007
Provided legal counsel on investment management matters, servicing mutual funds, ETFs, hedge funds, investment advisers, and broker-dealers
Associate
Seward & Kissel LLP
01.2003 - 01.2005
Provided legal counsel on investment management matters, servicing mutual funds, ETFs, hedge funds, investment advisers, and broker-dealers
Education
MBA -
Florida State University
01.2010
JD -
University of Virginia
01.2003
BA - Comparative Literature, Minor in Latin
University of Virginia
01.2000
Skills
Broker-Dealer, Investment Adviser, and Mutual Fund Regulation
SEC & FINRA Compliance
Mergers and Acquisitions
Corporate Governance & Board Advisory
Global Insurance and IP Oversight
Contract Negotiation & Risk Management
Litigation & Regulatory Enforcement
Strategic Leadership & Team Management
Affiliations And Leadership
Director & Secretary, Association of Corporate Counsel, Northeast Chapter
Vice President & Trustee, Eastern Trail Alliance
Frequent speaker on regulatory compliance and financial services law
Certification
Member of the New York, Washington, DC, and Maine bars
FINRA Series 6, 7, 26, 63, and 66 Licenses
Core Skills And Expertise
Broker-Dealer, Investment Adviser, and Mutual Fund Regulation
SEC & FINRA Compliance
Mergers and Acquisitions
Corporate Governance & Board Advisory
Global Insurance Oversight
Contract Negotiation & Risk Management
Litigation & Regulatory Enforcement
IP Management
Strategic Leadership & Team Management
Timeline
Deputy General Counsel
ACA Group (formerly Foreside Financial Group)
01.2017 - Current
Senior Director & Corporate Counsel
NRECA / Homestead Funds
01.2007 - 01.2017
Associate
Bell, Boyd & Lloyd
01.2005 - 01.2007
Associate
Seward & Kissel LLP
01.2003 - 01.2005
MBA -
Florida State University
JD -
University of Virginia
BA - Comparative Literature, Minor in Latin
University of Virginia
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