Judith (Andrea) V.
Freelance Writer and Editor
Experience
May 2020 - Dec 9999
7979 years 8 monthsConsultant & Attorney
- Delivered strategic compliance advice across the financial services industry, leveraging expertise in IAA and FINRA rules and regulations, advertising compliance, anti-money laundering, correspondence review, securities, insurance, and registration and licensing
- Collaborated on a freelance basis with a real estate syndication law firm to handle marketing reviews and other securities compliance procedures
- Authored the Marketing Compliance Booklet in accordance with the new SEC Marketing Rule
May 2020 - Dec 9999
7979 years 8 monthsGladwin, United States
Consultant, Freelance Editor & Writer
- Provided expert consultation in a comprehensive range of financial services compliance, including securities, IAA and FINRA rules and regulations, futures, options, banking, and insurance
- Served as a content writer and editor for various online and print media
- Executed projects such as blogs, webpages, landing pages, and created extensive materials like continuing education courses across various financial services topics
- Operated as a self-employed freelance writer and editor across diverse fields, particularly legal, financial services, and academia
- Crafted academic materials, continuing education and training resources, as well as marketing content through landing pages and blog posts
- Edited a wide array of materials, including advertising content, blog posts, academic papers, and substantial works such as master's theses, doctoral dissertations, and non-fiction books
Apr 2012 - May 2020
8 years 2 monthsSouthfield, United States
Senior Vice President, General Counsel & Chief Compliance Officer
- Served as AML Compliance Officer and Privacy Officer for a registered broker-dealer and affiliated registered investment advisor; acted as Compliance Counsel to the affiliated Field Marketing Organization in insurance
- Engineered the initial compliance program and drafted written supervisory procedures
- Managed all legal and compliance matters, overseeing licensing and registration, periodic regulatory reporting, advertising review, copy editing, email supervision, options and municipal bond principal issues, general legal matters, HR law, coordination with outside counsel, and contract reviews
- Achieved two Continuing Membership Applications for the firm and facilitated the DOL Special Financial Institution application for the affiliated FMO
- Prepared and analyzed due diligence for a venture capital acquisition of a portion of the firm
- Oversaw cybersecurity and privacy matters, liaising with the IT department
- Provided outside counsel services during the formation of the BD and RIA in 2011 and 2012
- Monitored judicial, legal, and regulatory developments while producing analysis and documentation for compliance and training purposes
Oct 2009 - Sep 2011
2 yearsRochester, United States
Chief Compliance Officer & General Counsel
Altin Holdings, LLC
- Executed responsibilities as CCO and General Counsel of a federally registered investment adviser and commodity pool operator
- Managed the independent branch office of a broker-dealer utilized by the RIA/CPO
- Performed all legal and compliance matters, including registration of the firm and its personnel, and handling insurance licenses
- Secured broker-dealer, transfer agent, and insurance agency licensing for the firm
Apr 2007 - Sep 2009
2 years 6 monthsSenior Vice President & Compliance Counsel
Central Pacific Bank
- Provided comprehensive legal counsel on compliance and regulatory issues while collaborating with the Compliance and Legal Departments
- Drafted compliance policies, procedures, and training materials
- Tracked legislative and regulatory developments across all relevant areas
- Participated on the Management Compliance Committee and Trust Administration Committee
- Prepared informative articles for both employee and consumer publications
- Drafted customer agreements and contracts and reviewed customer documents for KYC and suitability, including trust instruments
- Served on the brokerage division Product Review Committee
- Amended the compliance management system to comply with large bank requirements
- Reviewed and advised on corporate contracts; acted as compliance counsel for trust, investments, brokerage, BSA/AML, and service quality
- Responded to regulatory customer complaints and enforcement matters; developed and implemented an enterprise-wide complaint handling system, identity theft prevention program, and vendor management process
Sep 2005 - Apr 2007
1 year 8 monthsTroy, United States
General Counsel & Chief Compliance Officer
Leonard & Company
- Served as General Counsel and Chief Compliance Officer for a broker/dealer, registered investment adviser, and insurance agency; held responsibility as AML and Privacy Compliance Officer
- Addressed compliance with securities and futures laws, including IAA, FINRA, and NFA rules and regulations
- Drafted and maintained various compliance manuals
- Executed FINRA Rule 3010 & 3012 testing, policies, procedures, and certifications
- Conducted annual compliance reviews for IAA/RIA
- Handled licensing and registration for the firm and its personnel
- Reviewed and approved promotional materials
- Developed and delivered firm-element and ethics training programs
- Coordinated with outside counsel and regulatory authorities
- Examined employee personal trading accounts and reviewed and approved new accounts
- Performed due diligence for private offerings and engaged in general corporate, employment, and contract law matters
Aug 2000 - Aug 2005
5 years 1 monthChicago, United States
Deputy General Counsel & Chief Compliance Officer
Man Financial Inc
- Served as Senior Vice President, Deputy General Counsel, Compliance & Regulatory Affairs, and Chief Compliance Officer for securities BD and futures FCM
- Functioned as Compliance Registered Options Principal and AML and Privacy Compliance Officer for all US financial institutions within the Man Group
- Drafted and maintained compliance manuals; reviewed and approved all promotional materials
- Developed and presented firm-wide continuing education programs
- Liaised with outside counsel and regulatory examiners
- Conducted reviews of employee trading accounts; drafted and examined contracts
- Addressed foreign exchange dealer law and compliance
- Supervised licensing and registration for all US entities and their personnel
- Managed human resources and employment law matters; oversaw a team of 12-15 in Chicago's Legal, Compliance, and New Accounts staff
- Participated in the Chicago Management Committee
Feb 1997 - Jul 2000
3 years 6 monthsHonolulu, United States
Senior Vice President & Compliance Officer; Vice President, Regulatory Affairs
Pacific Century Investment Services/Bank of Hawaii
- Acted as Chief Compliance Officer for the broker-dealer; provided compliance counsel for subsidiary insurance agencies, proprietary mutual funds, trust areas, and private banking
- Developed, authored, and implemented bank-wide compliance training programs
- Created the BD's continuing education program and authored the BD compliance manual
- Reviewed and approved securities-related promotional materials
- Designed and administered the licensing, registration, and regulatory continuing education process for the BD, serving over 100 registered representatives and its insurance agency
Nov 1993 - Jan 1997
3 years 3 monthsChicago, United States
Self-Employed Attorney & Consultant
- Operated as a self-employed attorney and consultant, specializing in financial services law
Feb 1990 - Nov 1993
3 years 10 monthsChicago, United States
Associate, Market Regulation
Schiff Hardin & Waite
- Participated in the market regulation practice group servicing banks, broker-dealers, futures commission merchants, registered investment advisers, commodity pool operators, commodity trading advisors, individual exchange members, and exchanges
- Drafted disclosure documents and private offering documentation
- Managed licensing and registration renewals for clients
- Assisted in winding up commodity pools, handling all client interactions related to eleven such pools
Mar 1986 - Dec 1989
3 years 10 monthsVice President of FCM & Principal of Commodity Pool Operator
Index Futures Group, Inc
- Managed compliance and new accounts matters for the FCM and commodity pool operator
- Engaged in special projects for the president and chief operating officer
- Coordinated reparations and arbitrations responses; liaised with outside counsel
- Oversaw licensing and registration; documented corporate minutes for eight corporations
- Developed and instituted customer service department
Summary
Judith concentrates her practice in regulatory law in the areas of securities, options, futures, and other derivative financial instruments, as well as in insurance, banking and trust.
Judith is also an editor, writer, and consultant in financial services compliance as well as a freelance editor and writer in a wide variety of areas.
Languages
English
NativeSpanish
ElementaryEducation
Oct 1986 - Jan 1990
Chicago-Kent College of Law, Illinois Institute of Technology
J.D. with High Honors · Law · Chicago, United States
Oct 1970 - Jun 1974
Eastern Michigan University
History & Theatre · United States
Certifications & licenses
Certified Information Privacy Professional/US
Associate, Annuity Products & Experience Administration (AAPA)
Certified Anti-Money Laundering Self-Employed Specialist (CAMS)
Certified Regulatory Compliance Manager (CRCM)
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