Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
Generic

Michael Blackburn

Brooklyn

Summary

An experienced and innovative Securities Lawyer with a strong track record of achieving favorable outcomes for clients. Adept at contract negotiation, regulatory exams, and compliance. Proven leadership under pressure and a deep understanding of the complexities of the financial regulatory landscape. Skilled in public speaking and maintaining strong client relationships.

Overview

9
9
years of professional experience
1
1
Certification

Work History

Chief Compliance Officer/General Counsel/AML Officer

Tradesk Securities, Inc.
01.2023 - Current
  • Lead all FINRA and SEC regulatory matters for a fintech firm
  • Develop and enforce policies and procedures (WSPs, AML, Firm Needs Analysis)
  • Manage cross-border regulatory compliance with affiliates in Hong Kong
  • Review and approve all marketing materials

Senior Attorney

Jacko Law Group
06.2022 - 12.2022
  • Managed 8 attorneys and 2 paralegals.
  • Handled an array of securities related issues including BD and RIA formation, FINRA complaints, regulatory audits, and private offering formations.
  • Conducted extensive legal research to stay abreast of evolving legal trends and inform strategic decision-making for clients'' benefit.
  • Acted as special counsel on insider trading cases.
  • Closed over 50% of clients through initial free consultations.

General Counsel

TENICA and Associates LLC
07.2020 - 06.2022
  • Oversaw and directed the Company’s Initial Coin Offering (ICO)
  • Head of all legal related matters to well-known IT-consulting firm, including matters relating to intellectual property law, real estate law, and corporate law
  • Oversaw several private offerings, which required constant communication with the SEC and enhanced knowledge and understanding of the EDGAR database; Maintained COVID compliance policies and procedures
  • Maintained the integrity and confidentiality of all cases while holding federal security clearance

Senior Vice President

Rockefeller Capital Management
01.2019 - 07.2020
  • Developed and updated compliance policies, procedures, and sub procedures, including the WSP, Business Continuity policy, and Vendor Management policy
  • Responsible for the registration of all 300+ employees, both with FINRA, the SEC, and relevant states
  • Conducted annual branch inspections of the Firm's twelve (12) branches located across the US
  • Provided training on a regular basis to all employees on Regulation Best Interest ('Reg BI') in anticipation for its June 2020 implementation

Chief Compliance Officer

PJ Solomon, L.P.
01.2017 - 12.2018
  • Managed all regulatory and compliance aspects of working for a FINRA registered M&A Broker- Dealer, including managing staff at all levels
  • Conducted compliance testing, monitoring, and training of procedures on an annual and as-needed basis
  • Lead contact for all regulatory audits, including FINRA, Deloitte, and BPCE which all resulted in de minimis findings
  • Responsible for all regulatory filings, including Form BR, Form U4, Form U5, Form ADV, and Form BD
  • Acted as the Firm's Chief AML Compliance Officer

Chief Compliance Officer

DeMatteo Monness, LLC
08.2015 - 01.2017
  • Managed the regulatory and compliance aspects of working at a FINRA registered broker-dealer
  • Reviewed and evaluated proprietary research distributed to our clients to ensure its compliance with FINRA Rule 2241
  • Conducted trade surveillance to ensure customers and employees were compliant with Regulation Sho and Regulation NMS
  • Managed the non-regulatory aspect of the Firm's expert-network product and carefully evaluated and vetted existing and potential consultants while mitigating the risk of any inadvertent disclosures of material non-public information

Education

Juris Doctor -

Touro Law School
New York, NY
05.2014

Bachelor of Arts - English

Hofstra University
Hempstead, NY
05.2011

Skills

  • Regulatory Compliance
  • Excellent Communication Skills
  • Contract Negotiation Skills
  • Mediation Skills
  • Employment Law
  • IP Law

Accomplishments

FINRA Series 4, 7, 14, 24, 63, 99; ACAMS

Certification

  • FINRA Series 4
  • FINRA Series 7
  • FINRA Series 14
  • FINRA Series 24
  • FINRA Series 63
  • FINRA Series 99
  • ACAMS

Timeline

Chief Compliance Officer/General Counsel/AML Officer

Tradesk Securities, Inc.
01.2023 - Current

Senior Attorney

Jacko Law Group
06.2022 - 12.2022

General Counsel

TENICA and Associates LLC
07.2020 - 06.2022

Senior Vice President

Rockefeller Capital Management
01.2019 - 07.2020

Chief Compliance Officer

PJ Solomon, L.P.
01.2017 - 12.2018

Chief Compliance Officer

DeMatteo Monness, LLC
08.2015 - 01.2017

Bachelor of Arts - English

Hofstra University

Juris Doctor -

Touro Law School

Similar Profiles

CREATE PROFILE
Michael Blackburn