Compliance Counsel & HR Director for SEC-registered, NFA member investment adviser.
Areas of expertise: SEC and NFA compliance program, Investment Advisers Act, offering documents, regulatory filings, digital assets funds.
Oversight and responsibility for management of all employee hires, terminations, performance management, ADA accommodations, FMLA leave, work visas, etc. Prepared employment contracts, independent contractor agreements, and exit agreements. Conducted live sexual harassment prevention training.
Management of compliance with Code of Ethics and conduct of annual compliance reviews. Responsible for review and determinations on personal trading requests, and conflicts of interest and outside business affiliations disclosures. Conducted periodic review of key person electronic mail and trading statements, consistent with regulatory requirements.
Developed and drafted the Business Interruption/Disaster Recovery plan and policy.
Provided legal counsel for launch and governance of cryptocurrency and traditional asset class funds. Drafted offering documents, risk disclosures and digital assets compliance manual. Monitored legal developments for custody and securities determinations.
Reviewed marketing materials, investor presentations and track record reporting for compliance with advertising, solicitation and performance reporting rules. Provided advice with respect to appropriate use of pro forma, extracted, composite and hypothetical results.