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| Desired Industry: Legal |
SpiderID: 84239 |
| Desired Job Location: Saint George, Utah |
Date Posted: 7/18/2023 |
| Type of Position: Full-Time Permanent |
Availability Date: 3 months |
| Desired Wage: 150000 |
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U.S. Work Authorization: Yes |
| Job Level: Management (Manager, Director) |
Willing to Travel: Yes, Less Than 25% |
| Highest Degree Attained: Masters |
Willing to Relocate: Yes |
Objective:
Analytical, client-focused, and methodical professional, with expertise in conducting extensive research on complex and unconventional legal topics encompassing securities, taxation, contracts/agreements, partnerships, and compliance. Skilled at conducting due diligence investigations; advising firms on tax implications of different business transactions; and preparing and reviewing a variety of agreements, contracts, and other legal documents. Armed with excellent communication and interpersonal skills, able to collaborate with clients and clearly impart suggestions and arguments to the case at hand. Proficient with Microsoft Word, Excel, and Outlook.
Experience:
Legacy Wealth Management, LLC & Legacy Investment Solutions, LLC, Woods Cross, UT
Chief Compliance Officer/ In-House Counsel July 2021–Present
Supervise compliance efforts of two growing registered investment advisor (RIA) firms with over $300M in assets and more than 20 advisors, which entails reviewing and updating ADV forms, compliance manual, code of ethics, and other necessary compliance documents
Generate the necessary ADV, compliance manuals, operating agreement, for the establishment of a brand new RIA serving business-to-business clients, draft a prospectus and other fund documents for launching an interval fund
Perform research to properly counsel and guide advisors on legal and regulatory issues that may be encountered in operating an RIA business, and assist in preparing legal documents, as necessary
Render support with due diligence of potential and existing investments by reviewing third-party due diligence reports, private place memorandums, and fund documents and by partaking in due diligence conferences
Prepare and review a variety of agreement documents for both for internal and external uses, including advisor agreements, advisory compensation agreements, client fee agreements, buy-sell agreements, and outside marketing agreements
Manage the compliance program for two RIAs through the following:
Assessing and approving proposed client investments after thorough research
Evaluating the regulatory compliance of various types of marketing materials such as social media promotions, email marketing, mailers, slideshows, and video presentations
Collecting and recording current employee information on personal investments, political contributions, and external business activities
Notable Accomplishments
oAssisted two member owners of Legacy Investments Solutions in transitioning the firm into an Opportunity Zone business
Played an instrumental role in optimizing the compliance program of two firms, thus ensuring utmost adherence to SEC and FINRA requirements
RJ Law Firm, PC – JensenBayles, LLP, St. George, UT
Associate Attorney June 2018–July 2021
Carried out extensive research to advise clients on various legal topics such as securities laws, contract laws, taxation, partnerships, and compensation for damages
Provided legal counseling to clients with regard to tax and business planning, litigation matters, formation and selling of business entities, and business documents/contracts drafting
Guided and advised senior attorneys and partners by conducting required research, evaluating claims, planning case strategies, and providing alternative perspectives and counterarguments
Drafted and assessed buy-sell agreements, lease agreements, and real estate purchase contract
Partook in litigation of real estate and construction disputes and business cases by:
Creating lawsuit documents outlining the complaints and answers
Arranging discovery documents and providing response to discovery requests
Preparing clients for depositions, preparing questions and materials for depositions, attended and partook in depositions
Participated in litigation practices and prepared and negotiated for favorable mediations
Arranging mediations and case settlement with opposing counsel
Counseling clients on legitimate legal claims and disputes, while familiarizing them on the emotional aspects of litigation
Wrote clear and concise legal memoranda based on research, translating complex legal issues into understandable summaries
Notable Accomplishment
oPrepared motions and memoranda for several clients, which were successfully argued in court and resulted in favorable decisions
PricewaterhouseCoopers LLP, New York, NY
Associate June 2016 – May 2018
Conducted due diligence on companies which involved evaluating financial statements, tax returns, tax provision workpapers, and other tax-related documents
Executed research to assist clients in preparing and delivering concise memos and summaries related to complex tax issues such as net operating loss restrictions, anti-churning rules, and tax reform impacts
Counseled clients on corporate restructuring strategies to maximize tax benefits both domestically and internationally
Education:
University of Florida Levin College of Law, Gainesville, FL
Master of Laws in Taxation, May 2016
University of Missouri School of Law, Columbia, MO
Juris Doctor, May 2015
GPA: 89.141 (Top 25%)
Honor: Certificate in Tax Planning (Completed with honors)
Activities: Tax & Transactional Law Society, Pro Bono Committee Chairperson
University of Utah, Salt Lake City, UT
Bachelor of Science in Economics, Aug 2007
Skills:
Legal Research and Documentation
Taxation Laws
Litigation Support
Contracts and Agreements Review
Legal Issue Analysis and Counseling
Claims Evaluation
Additional Information:
Investment Adviser Representative (Series 65 Exam), 2021
Financial Industry Regulatory Authority (FINRA)
Candidate Contact Information:
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