Leading contributor to FINRA strategic committees, and to global ventures for regulatory and dispute resolution functions.Deliver expert counseling on corporate issues, rules and procedures, and compliance issues. Design domestic and international program rules, procedures and manuals for clients. Provide consulting services to new and existing clients.Participated in the preparation of Board and National Advisory Committee meetings.Responsible for due diligence, contract negotiation, drafting and implementation for new business and services.Develop, implement, and manage strategic division plans, general corporate issues, contract issues, budgets, and ’40 Act issues. Provide project management of new business ventures. Provided assistance with the development of division’s new technology platform requirements.Responsible for division website, and committee of seven.Provide training to new clients, trade associations, government entities, and internal staff.
·Instrumental in drafting division’s due diligence, Statement of Work, and Agreement for the acquisition of NYSE’s regulatory functions by NASD.Primary person handling rebranding efforts for division.Participation assisted in garnering $1m annual fee from NYSE for services, as well as an anticipated $1m in fees from administering NYSE legacy cases.
·Introduced, drafted, and negotiated service agreements increasing clients, and increasing revenues by $1m.
·Drafted the winning technical proposal that captured the organization's first consulting account ($500K) with a European government entity.Served a key role in the completion of the assignment.
·Spearheaded negotiations, development of rules and procedures, and agreement drafting for NASD’s first non-securities dispute resolution forum for the Counselors of Real Estate.Revenues from administration of the forum expected to be in excess of $50k annually.
·Established procedures for the management of cases received from other exchanges.Managed staff and cases to ensure compliance.Result:Passed NASD internal audit, SEC, and GAO inquiries covering these cases.
·Designed domestic and international program rules, manuals, policies and procedures as part of overall service agreements with clients.The work encompassed local and national rules, regulations, and industry standards, and was accepted by clients with minimal edits.
·Conducted numerous training sessions for visiting international and domestic trade groups, exchanges, and delegations.
·Developed procedures, case management, and financial reporting for new clients compliant with
·Chosen as the only non-officer member of FINRA’s Executive Task Force on investment advisers.
·Chosen as the only non-officer member of the Corporate Goals Committee.Result: Contributed tomajor operational enhancements, division compensation, and executive reporting.
·Chosen as a member of the corporate Job Evaluation Committee.Major impact on the classification of job requests, and pay scales for new positions.
·Orchestrated establishment of hearing locations in London and Puerto Rico. Results: Increased use of the forum, increased customer satisfaction, increased revenues, and increased exposure as an international dispute resolution provider.
·Instrumental in the due diligence, service agreement, statement of work and web technology phases of the NASD acquisition of NYSE regulatory assets.