William Kimme

Summary

A results-driven attorney/MBA possessing extensive corporate, regulatory, and compliance experience in law firm and in-house settings that expanded revenue and operations on a global scale.Possesses strong negotiation, excellent communication, strategic planning, project management, and a successful management skills and expertise. Acknowledged ability at providing analysis and presentations, and making a positive impression on clients and potential clients.Significant experience providing training for staff and external clients, government agencies, trade groups, bar associations and other entities.

CORE COMPETENCIES

Corporate · Contracts · Securities · Negotiations · Regulatory · Compliance · Training

Strategic Planning · Joint Ventures · Litigation Management · Client Relations · Dispute Resolution

Work History

Work History
Jan 2000 - Present

Assistant Director

FINRA

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.

Corporate:

·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.

Compliance:

·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

Sarbanes-Oxley requirements.

Operational Enhancements:

·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.

Jul 1998 - Jan 2008

Senior Attorney

NASD nka FINRA

Ensured top performance of 12 attorneys and support specialists focused on the administration of 750 arbitration/mediation cases relating to federal and state security laws and regulations, and compliance issues. Managed budgeting operations for the Regional Office, and delivered litigation management services. Trained arbitrators and supported individual assignments to facilitate the effective settlement of cases. Communicated and ensured compliance with processes, procedures, and regulations. Addressed case administration and legal issues with parties and staff.

·Managed cases involving ’33 and ’34 Act, and state blue-sky law claims.

·Enhanced financial audit accuracy from 70% to 95% through advanced team training on case invoicing and monitoring, resulting in fee increases and reductions in receivables and write-offs.

·Boosted regional satisfaction by 50%, achieving top ranking among corporate groups.

Jul 1991 - Jul 1998

Staff Attorney

NASD nka FINRA

Administration of arbitration/mediation cases relating to federal and state security laws and regulations, and compliance issues, providing leadership, mentoring, and support to specialists charged with 250 cases. Delivered counseling expertise and training to arbitrators. Provided litigation management services, working collaboratively with parties and arbitrators to ensure compliance with procedures and regulations. Addressed case administration and legal issues.

·Slashed turnaround of assigned cases by 30%, resulting in the acquisition of new hearing locations and major increases in revenues for the Midwest Region.

·Established the first continuing education programs for arbitrators, serving an instrumental role in later course expansions to all regional offices and Dispute Resolution's website.

May 1989 - Jul 1991

Associate

Kimme & Lamke

Represented clients in the areas of insurance, health care, corporate, loans, banking/mortgage lending, collection, tax, mergers/acquisitions, international consignment sales, joint ventures, and real estate. Represented local hospital in corporate, board, and administrative matters.Managed the books and records for corporate clients, including SEC filing preparation.Conducted the drafting and negotiation of agreements for corporate clients. Managed insurance, loan documentation, and real estate closings.

·Supported negotiations and assisted in drafting terms for $1B energy project in China.

·Instrumental contributor to the successful closing of a $4.5M business venture focused on the expansion of an organization's business into Mexico.

·Supported a boxboard joint venture between a US company and Chinese firm, spearheading successful attainment of proposal agreements in 3 months, which resulted in the successful closing of a $24M deal.

·Responsible for the creation, and maintenance of clients’ corporate books and records.

·Responsible for corporate, individual, and not-for-profit tax matters including preparation, filing, research, and IRS negotiations.

Education

Education
Sep 1987 - Dec 1988

MBA

Thunderbird School of Global Management

Thunderbird graduate school is regarded as the world's leading institution in the education of global managers and has operations in the United States, Switzerland, the Czech Republic, Russia, Mexico, Central and South America and China. Ranked No. 1 in international business by The Wall Street Journal's poll of corporate recruiters, U.S. News and World Report, and the Financial Times, Thunderbird is unique in its commitment to producing global leaders who contribute to sustainable prosperity worldwide.

Sep 1984 - May 1987

JD

Creighton University School of Law

Creighton is ranked number one among comprehensive Midwestern universities in the 2008 U.S. News & World Report.  Creighton University is a complex institution, with a broad range of curricular study that brings together on one campus nine different undergraduate, graduate and professional schools, running the gamut from Arts & Sciences to Business, Law, Pharmacy and Health Professions, Nursing, Dentistry, and Medicine.  We are supported by three distinct libraries and feature twelve active Centers that are known nationally and internationally. 

Sep 1980 - May 1984

BA

Creighton UNiversity

Creighton is ranked number one among comprehensive Midwestern universities in the 2008 U.S. News & World Report.  Creighton University is a complex institution, with a broad range of curricular study that brings together on one campus nine different undergraduate, graduate and professional schools, running the gamut from Arts & Sciences to Business, Law, Pharmacy and Health Professions, Nursing, Dentistry, and Medicine.  We are supported by three distinct libraries and feature twelve active Centers that are known nationally and internationally.