Legal and Compliance Executive



​Legal Experience:

Legal Department:  Overseeing the Legal Department, which provides legal guidance to corporate business partners.  Legal will monitor and review new and revised regulations and guidance promulgated by the federal and state regulators such as the CFPB, OCC, FDIC, FTC, and FCC.  The Legal Department will take a proactive monitoring approach to identify procedural or training weaknesses, to preclude regulatory violations.  The Legal Department will attend online legal webinars and subscribe to law firm compliance update communications to stay current with regulatory actions, statutory and regulatory changes, and case law developments.

Corporate Governance Management: Corporate Governance oversight - certificate of incorporation, bylaws, voting agreements, board reports, board resolutions, and board minutes.  ​

Contracts Management:  The Contracts Management Program, which includes drafting and reviewing non-disclosure agreements (“NDA”), third-party service provider agreements, marketing agreements, and policies and procedures on contractual issues affecting business units.  All NDAs and contractual agreements will be drafted to delineate the parties’ responsibilities and follow regulatory contractual requirements published by the OCC.  A Contractual Requirements Checklist (based on the OCC requirements) will be used to review every contractual agreement.  Each product or service will be reviewed and assigned a risk level of 1 through 4 (Level 1 is high risk and Level 4 is the lowest risk).  Level 1 and 2 agreements are considered “critical” and require specific contractual provisions and protections.  All NDAs and contractual agreements will be organized and stored in a secure online location for easy access from anywhere at any time.  A quarterly Contracts Management Report will be presented to the Board of Directors Audit Committee.

Vendor Management:  The Vendor Management Program, which includes ongoing monitoring of the vendor relationship to ensure that the vendor is abiding by their contractual requirements.  A list of “critical” level 1 and 2 vendors will be maintained and updated.  Management will ensure that each vendor that is considered critical to operation and processes or stores any account number or social security number will have an annual review performed to validate compliance.  A quarterly Vendor Management Report will be presented to the Board of Directors Audit Committee.

Telephone Consumer Protection Act ("TCPA") Program:  The TCPA Program will include Policies and Procedures, consumer disclosures, contractual agreement provisions, and a compliant dialing solution. The recommended dialing solution is Five9's Manual Touch Mode solution.  Using the Five9 TCPA Manual Touch mode you can comply with the TCPA and retain the ability to integrate with CRM platforms, record calls, track agent performance metrics, retain call records, and schedule call and disposition reports.    

Intellectual Property Management: Intellectual Property protection such as defending against patent trolls, and providing other IP protection for copyrights, trademarks, and domain names.  

Disputes and Litigation Management: The Disputes and Litigation Program handles pre-litigation disputes, arbitration matters, general and complex litigation, intellectual property litigation, and consumer class actions nationwide. Negotiate cost-effective settlements with opposing counsel and where needed, hire, manage, and assist local counsel in defense of civil litigation matters. Manage the direction of the litigation cases through discovery, trial, and appeal. 

State Licensing Management: State Licensing Program to ensure state annual renewals, licenses, and bonds are up to date. 

Human Resource Management: Creation of the Application for Employment, Offer Letter, Proprietary Rights and Information Agreement, Disclosure and Authorization Regarding Background Investigation, HIPPA Disclosure, and Employee Handbook.