Brian's Blog

04

Experience Overview:  

Angela is our Capital Markets Compliance Team Leader. Pragmatic, commercial and risk-aware attorney with 20+ years of experience in private practice and in-house at a broker-dealer and institutional investors. Architect of the legal function at two asset allocators—building each anew for a $120 billion public pension plan and a $10 billion university endowment

 

 

Expertise Industry Focus
  • SEC & CFTC Regulation
  • Derivatives
  • Open and Closed-End Funds
  • Governance
  • Legal and Compliance Risk
  • KYC Processes
  • Structured Products
  • Investor Due Diligence
  • Clearing and Prime Brokerage Agreements
  • Financial Regulation
  • Capital Markets & Trading
  • Fund Formation
  • Non-Profit Allocators
  • Endowments & Foundations
  • Public Pension Plans

 

Representative Credentials

Counsel and Strategic Advisor- Top 20 US University: Provided tactical and strategic legal advice related to the university’s regulatory oversight, endowment, debt portfolio, government relations, real estate, capital projects and project finance initiatives

Investment Management Division Counsel – $120b public pension plan: Designed, developed, and implemented infrastructure for the legal and regulatory needs of an evolving investment program. Led SEC and CFTC engagement with respect to Dodd-Frank compliance and build out of a $40 billion notional derivatives platform. Negotiated and established legal process for investment transaction across all asset classes.

Counsel, [Top 5] Global Investment Bank: Supported various trading and origination desks, including structured credit, correlation trading, distressed debt, bond and equity derivatives

  • Managed work out of $24 billion distressed portfolio
  • Managed federal litigation and established clearing organizations
  • Facilitated private and public transactions including retail,144A, Reg S and SEC registered deals

Associate, [Top 10] Law Firm: Associate in global finance practice representing investments banks, underwriters and investors in public and private structured finance transactions.

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