• Headed the compliance program for nearly 80 funds, ensuring adherence to SEC and international regulations, including regulatory filings (ADV, PF, Form D, Blue Sky), policy development, MNPI management, annual reviews, LPAC matters, and conflict resolution.
• Established investment compliance, third-party risk management, and AML programs.
• Enhanced compliance operations by redesigning the compliance manual and created robust tracking systems for LPAC requirements and conflicts of interest.
• Launched efficient processes for marketing material review, achieving an average one-hour turnaround time.
• Collaborated with internal teams, investors, regulators, and external counsel to mitigate risks, enhance operational efficiency, and prepare for examinations.
• Implemented cybersecurity improvements to strengthen data protection and breach resilience.

• Directed general compliance operations, including policy development, forensic testing, annual reviews, marketing material oversight, and regulatory filings (ADV, PF, 13, 16, Form D, Blue Sky).
• Established and managed an investment compliance program encompassing enhanced due diligence, AML/KYC screening, conflict management, and risk analysis for U.S. and global operations (EEMA, APAC).
• Oversaw MNPI controls, code of ethics, conflicts of interest, and investor reporting, including fund documentation (PPMs, side letters) and LPAC disclosure obligations.

SoftBank Group International (SoftBank Latin America Funds and the SB Opportunity Fund)
• Led regulatory, reputational, and cybersecurity diligence on investments across Crypto, FinTech, MedTech, and AI sectors, including negotiations of legal covenants and compliance oversight for portfolio companies.
• Advised investment and back-office teams on regulatory, governance, and third-party risk management, and served on the Conflicts Committee for conflict management and resolution.
• Directed compliance programs for multiple funds, overseeing risk assessments, forensic testing, training, and regulatory filings. SoftBank Investment Advisers (The Vision Funds)
• Managed compliance for 200+ U.S. employees, including onboarding, training, and code of ethics.
• Managed and advised on MNPI, firm trading restrictions, and created SoftBank's first policies for public divestments.
• Go-to official for internal investigations for both the legal and compliance teams.

• Conducted mock SEC examinations and supported clients during regulatory exams, including interview preparation, response reviews, and deficiency remediation.
• Specialized in private equity compliance for 30+ clients, assisting with regulatory filings, AML, e-comms and social media reviews, and marketing material compliance.
• Selected for a six-month, full-time secondment with the firm's largest client to provide tailored compliance support.