As a management consultant I have done business process reengineering, large-scale technology implementation, and benchmarking of best practices. I currently work with small businesses that are in need of start-up capital, business planning and strategic development. I most recently worked at a major investment bank in the Regulatory Control Group of the Institutional Equities Division. I was responsible for analyzing issues that affected the trading desks and the firm's capital along with a regulatory focus on NYSE (Rules 92 and 97), SEC (1934 Act), NASD (Conduct Rules), and SOX regulations. My position had a heavy compliance and risk management component and required interaction with regulators, internal audit, and upper management. In the area of real estate law I have worked with developers, mortgage banks, and large-scale property owners. I am familiar with many areas of real estate law ranging from offering plans to 1031 tax-free exchanges. In addition, I have experience reviewing SEC 10-K and 10-Q forms of publicly traded companies and overseeing the financial compliance of mortgage lenders.
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