Chief Operating Officer And General Counsel Resume Example Arizona State University

CHIEF OPERATING OFFICER AND GENERAL COUNSEL

Executive Profile

Experienced operations executive, with legal and compliance subject-matter expertise and a demonstrated ability to manage and develop skilled professionals. Leader of 13 person team responsible for all non-investment related activities, including Legal, Compliance, Finance, Operations, Investor Relations, Risk Management, Technology and Human Resources of $2.2 billion (at peak) fundamental long/short equity hedge fund manager.

Professional Experience

Arizona State UniversityTempe , AZChief Operating Officer and General Counsel12/2011

Advised managing partner on all legal issues, including those relating to the Advisers Act, the Investment Company Act, ERISA, federal securities laws, commodity laws, employment law and litigation
Launched two new offshore funds and two onshore funds, reorganized an existing fund into a master/feeder structure and liquidated two legacy funds and Mauritius trading subsidiaries
Drafted and reviewed fund offering documentation, including private placement memoranda, subscription agreements, side letters, limited partnership agreements, Memoranda & Articles of Association and investment management agreements
Negotiated all contracts, including prime broker and custody agreements, ISDA, FX, futures and related trading documentation, administrator agreements, vendor contracts, research agreements and engagement letters. Obtained favorable economic and credit terms for the funds, including improved margin and borrow rates
Director of the firm's offshore funds and participant in the firm's brokerage committee
Conducted legal and compliance training for the firm's employees
Oversaw the updating and implementation of the firm's compliance manual, code of ethics, information security policies and employee handbook
Managed all regulatory filings, including Form PF, Form ADV, offshore filings and '34 Act filings, and coordinated regulatory exams and inquiries from regulators, including by the SEC
Supervised law firms and third-party compliance consultants
Supervised the CFO and Controller in connection with audits, tax returns and investor tax reporting
Managed relationship with the firm's auditors, tax advisors, administrator and valuation agents
Prepared budgets and streamlined the firm's expense structure, reducing expenses by approximately 5% per year
Established new banking relationships and a line of credit, resulting in increased liquidity for the firm
Successfully rebranded 39 year old firm (formerly known as Porter Orlin) with new marketing materials, web site and office infrastructure / architecture in concert with the Head of Investor Relations
Led operational due diligence meetings with existing and prospective investors
Prepared responses to RFPs and worked with portfolio managers to prepare quarterly investment letters and the managing principal and the Head of Investor Relations to prepare other firm-related investor communications
Launched the firm's new offices and negotiated new office lease, saving the firm in excess of 4% per year
Established two new prime brokerage and counterparty relationships and managed existing prime brokerage and counterparty relationships
Overhauled the firm's information technology infrastructure, including desktop, server and disaster recovery support
Implemented new risk management and counterparty management systems
Initiated and maintained relationships with new payroll and 401(k) providers
Obtained appropriate insurance coverage for the firm, its employees and the funds
Managed all human resources activities, including the recruitment and hiring of new employees, the compensation of current employees and the separation of former employees.

Kutak Rock LlpAtlanta , GADirector02/2007 to 12/2011

Primary legal counsel for Barclays' institutional asset management and advisory business in the US; counsel for Barclays' structured products business
Managed a team of six lawyers and four legal assistants in connection with Barclays' structured products business
Identified, analyzed and advised on structuring, establishing and managing separately managed accounts, 3(c)(7) hedge funds and 3(c)(11) collective investment trusts
Advised business colleagues on requirements under the Investment Advisers Act, the Securities Act, the Investment Company Act, ERISA and commodity laws and partnered with compliance to prepare policies and procedures
Oversaw SEC examinations and other regulatory inquiries
Prepared Form ADV, offering memoranda, marketing materials, RFPs and drafted, reviewed and negotiated investment management agreements, distribution agreements, LLC agreements, subscription agreements, custody and administration agreements and agreements for third party service providers

SHEARMAN & STERLING LLPCity , STATECorporate Associate01/2002 to 01/2007

Represented underwriters and issuers in connection with initial public offerings, follow-on equity offerings, investment grade and high yield debt offerings, tender offers, consent solicitations, remarketings and the establishment of medium-term note programs.
Advised clients regarding compliance under the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and FINRA Conduct Rules.

Education

J.D2002COLUMBIA LAW SCHOOL, City, State

Stone Scholar

Columbia Business Law Review, Published Note: "The Venture Capitalist's Corporate Opportunity Problem"

B.A:Political Science1999COLUMBIA COLLEGE, Columbia University, City, StateGPA: summa cum laude Phi Beta Kappa, Deans' List all semesters

Summa cum laude

Phi Beta Kappa, Deans' List all semesters

BAR ADMISSION: New York (2003)

Resume Overview

School Attended

COLUMBIA LAW SCHOOL
COLUMBIA COLLEGE, Columbia University

Job Titles Held:

Chief Operating Officer and General Counsel
Director
Corporate Associate

Degrees

J.D 2002
B.A : Political Science 1999

Chief Operating Officer and General Counsel Resume Example

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