Accomplished, detail-oriented Senior Counsel and Manager with 17 years of very broad experience in all aspects of corporate law with a focus on contracts, compliance, operations, retail brokerage, securities lending, corporate fiduciary and estate matters, insurance, and corporate policies and procedures. My background demonstrates a consistent commitment to professional excellence, communication and dedication to the continual improvement of my organization and the learning and development of the team members I manage.
Complex problem solving
In my 17 years of legal experience, I have build a legal department that provides exceptional support to our commercial group. Our focus at all times is supporting the profitability of the company while ensuring that the company is in full compliance with all applicable regulatory and ethical rules and regulations.
Senior Counsel & Manager January 2012 to CurrentWELLS FARGO & CO
Responsible for managing a team of attorneys and paralegals providing legal support to retail brokerage business lines.
Provide legal support to senior management, branch offices and the home office regarding client accounts and agreements, trusts, estates, powers of attorney, UTMA/UGMA, transfer on death, collateralized accounts, account control agreements, non-disclosure agreements, and insurance custodial agreements.
Manage revision and review of client contracts .
Associate Trust Counsel April 2008 to January 2012EDWARD JONES TRUST COMPANY
Resolved legal issues and manage exposure to legal, regulatory and reputation risk.
Provided legal advice to senior level management regarding overall fiduciary and legal risks.
Drafted agreements and various legal documents.
Supervised work of trust officers, junior attorneys and paralegals.
Managed litigation, marketing, and future business model planning.
August 2006 to April 2008
Responded to legal, regulatory, and compliance inquiries from associates and financial advisors.
Communicated corporate compliance and legal policies to associates to limit regulatory exposure of the firm.
Provided legal advice regarding retail brokerage products and services.
Drafted various contracts and agreements.
Compliance Counsel May 2002 to August 2006U.S. BANK, PRIVATE CLIENT GROUP
Provided legal advice regarding various legal, compliance and regulatory matters.
Developed and implemented corporate compliance policies and procedures.
Drafted various legal documents, including contracts and agency agreements.
Provided oversight of contract and form revisions.
Regulatory Attorney August 2000 to May 2002PROTECTIVE INSURANCE
Drafted and negotiated insurance contracts and policies, including arbitration agreements.
Maintained compliance of insurance contracts and policies with applicable state laws and regulations.
Performed extensive legal research and conferred legal opinions regarding various insurance products.
STATE OF MISSOURI, 2000.
Juris Doctor : 1999UNIVERSITY OF MISSOURI-KANSAS CITY SCHOOL OF LAW
Bachelor of Business Administration : 1996MCKENDREE COLLEGE － Lebanon, IL