Chief Legal and Compliance Officer at Carta

Carta

UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland*. 
 
We're a team of more than 66,000 colleagues, collaborating across all major financial centers in 50 countries**. We strive for excellence in everything we do, and this has awarded us recognition across our businesses.  We offer a collaborative, international and diverse working environment that rewards passion, commitment and success – and are regularly recognized as an attractive employer*
 
Find out more about UBS
 
*Our awards https://www.ubs.com/awards
** As at 31 December 2018
Social Media Legal Terms: http://www.ubs.com/social-legal

Responsible for all points of contact between the Firm and its regulators – including SEC, CFTC, CME, FINRA and CBOE.  Provided strategic advice concerning regulatory relationships.  Identified areas of regulatory risk and made recommendations for procedural enhancements to mitigate risk.  Oversaw responses to all regulatory inquiries and coordinated preparation for and addressed results of regulatory examinations.  Represented Firm employees during interviews and on-the-record testimony provided to regulators.  Supervised Firm filings in connection with its regulatory reporting requirements.
    
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MF Global

Managed team of attorneys, investigators, and support staff, assigned investigations and guided team members in the efficient handling of matters including taking an active leadership role concerning investigative strategy, negotiation of resolutions on high priority matters and oversight of complex litigation. Matters under investigation included financial fraud, all types of broker misconduct, and the sufficiency and adequacy of broker-dealer supervisory and operational polices and procedures.  Reviewed findings, determined sufficiency of evidence to establish FINRA rule violations and issued final resolutions for 60 to 70 cases each year.  Served as senior level advisor to the Head of Enforcement regarding the development and implementation of legal and regulatory policies.
    
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      Financial Industry Regulatory Authority
  

Served as an Assistant in the Frauds Bureau (1994-1997).  Protected the public interest by investigating financial crimes including forgery, embezzlement, securities fraud, and other corporate crimes.  Handled all aspects of criminal prosecutions including investigating allegations, drafting complaints, arguing motions, negotiating plea deals and serving as lead counsel in 15 jury trials.
    
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The New York County District Attorney’s Office serves and protects the People of New York through the fair administration of justice, without fear or favor. Building on a rich tradition of prosecutorial independence and courtroom excellence, the District Attorney's Office today is an internationally recognized leader in the development of innovative crime-fighting strategies and public safety initiatives. In 2016, the District Attorney's Office handled approximately 80,000 cases, with a staff of more than 500 assistant district attorneys and 870 investigative analysts, paralegals, and other highly trained support staff members. The legal work of the District Attorney's Office is further divided between the Trial, Investigation, and Appeals Divisions.

For more information about specific opportunities currently available at our office, please visit one of the links below.

Legal Staff: https://www.manhattanda.org/careers/legal-staff-employment/
Support Staff: https://www.manhattanda.org/careers/support-staff-employment/
Internships: https://www.manhattanda.org/careers/internship-opportunities/


      New York County District Attorney's Office
        
  

Benjamin N. Cardozo School of Law has a national reputation for a top-caliber faculty and an innovative academic program that includes a wide range of exciting and practical opportunities.

Cardozo’s faculty is known for being widely-published legal scholars, most of whom have also practiced law. They are accessible, and invite ongoing dialogue with their students—inside and outside of the classroom. In addition, nearly half of the faculty also hold advanced degrees in other disciplines, making them particularly qualified to provide a well-rounded and rigorous legal education. With a diverse selection of internships and externships, along with a clinical program that offers experiences in criminal, corporate, family, human rights, and immigration law, as well as others, Cardozo students also benefit from a curriculum that has a strong balance of theory and practice.

There are certain qualities that set Cardozo apart and give it a unique character. Among them are flexibility and the desire and drive not to be complacent, but to constantly improve for the benefit of students and society. Cardozo’s special, nationally known programs—among them the Innocence Project, the Intellectual Property Law Program, the Alternate Dispute Resolution Program, the Immigration Justice Clinic, and the Holocaust Claims Restitution Clinic—combine intellectual excellence and public advocacy, helping to shape the legal landscape.

We follow Yeshiva University's Social Media Community Standards: http://bit.ly/1eMUntG

Chief Legal and Compliance Officer at Carta

Carta

Chief Legal and Compliance Officer

UBS

Managing Director, Americas Head of Regulatory Compliance

MF Global

Head of US Regulatory Inquiries

Financial Industry Regulatory Authority

Chief Counsel

New York County District Attorney's Office

Assistant District Attorney

Cardozo School of Law

Law

J.D.

Brandeis University

English and American Literature

B.A.