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General Counsel Chief Operating Officer Chief Compliance Officer in New York NY Resume Gila Lee Adato

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General Counsel Chief Operating Officer Chief Compliance Officer in New York NY Resume Gila Lee Adato Powered By Docstoc
					                                        Gila Lee Adato, Esq.
                              Jericho, NY 11753  917.699.7638  gilaleeadato@gmail.com

                                        PROFESSIONAL EXPERIENCE
LOS ANGELES, CA

RND RESOURCES, INC.
COUNSEL & COMPLIANCE CONSULTANT, November 2010 – June 2012
Leader in providing compliance services and back office support to registered investment advisers, hedge funds, broker-
dealers, and FCMs nationwide. Responsible for registration, development and maintenance of compliance programs for
SEC and State registered RIAs as well as for all NFA registered clients. Monitor and interpret new regulatory mandates,
rules, and requirements. Provide guidance on all aspects of current and upcoming legal and regulatory compliance.

L & L LEAD SERVICES INC.
CHIEF OPERATING OFFICER & GENERAL COUNSEL, November 2009 – October 2010
Internet based domestic provider of 24/7 emergency dispatch services throughout the United States. Provided corporate
counsel in the establishment and implementation of day-to-day operations. Handled all legal matters. Oversaw insurance
issues, risk management, and legal cost containment. Played integral role in creating and growing organization.

NEW YORK, NY

MARCO POLO SECURITIES INC.
GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, March 2008 – June 2009
Handled all legal matters. Responsible for legal risk management and compliance for institutional only broker-dealer
and its affiliates. Served as Corporate Secretary to the Board of Directors. Analyzed and advised on the impact of legal
and regulatory developments and changes. Created and implemented operational procedures including firm and credit
committee risk resulting in reduction of duplication errors. Successfully resolved client complaints.

PALI CAPITAL, INC.
CHIEF LEGAL OFFICER & COMPLIANCE DIRECTOR, March 2001 – April 2006
Served as domain expert in all legal and regulatory issues of the firm. Successfully established, supervised and directed
both the legal and compliance departments. Identified, and analyzed key legal, risk management, and compliance issues
that advanced the firm’s business objectives. Instrumental in driving the company’s growth from 12 employees in 2 NY
offices to 250+ employees in 20 domestic and international offices. Managed all registered representatives across 15
business lines. Through legal counsel and regulatory oversight of new product development revenues grew from $5
Million to over $150 Million. Developed and oversaw legal and compliance for more than 7 different SEC and CFTC
registered entities. Represented the firm and acted as liaison to regulatory agencies in all regulatory matters.

GOLDMAN SACHS & CO.
CONTRACT ATTORNEY, July 2000 – March 2001
Performed legal audits of various departments throughout the firm. Coordinated the execution of master trading
agreements. Reconciled ISDA master, OTC master and margin agreements, created term reports. Advised on proposed
and effected rules and regulations. Provided support in due diligence and legal issues. Researched new services,
marketing, advertising, equity research, sales and trading matters. Assisted in the creation and implementation of a firm-
wide system of standards and procedures resulting in 15% reduction of errors.

                                                    EDUCATION
NEW YORK LAW SCHOOL, New York, NY – 1999
Juris Doctor
Awards: Public Interest Fellowship

UNIVERSITY AT ALBANY, STATE UNIVERSITY OF NEW YORK, Albany, NY – 1996
Bachelor of Arts, Communications – Minor, Business
Awards: Dean’s List

WHARTON SCHOOL OF BUSINESS AND NASD INSTITUTE, Philadelphia, PA – 2003
Certified Regulatory and Compliance Professional (CRCP)

ADMISSION TO PRACTICE AND LICENSES
STATE BAR OF NEW YORK – 1999
SERIES 7, 24 and 63
                                          VOLUNTEER EXPERIENCE
SUCCESS FOR KIDS (SFK), New York, NY 2006-2009
Mentored and taught leadership skills to teenage inmates at Rikers Prison, teenagers on probation and mothers
together with their children in battered women’s shelters.

				
DOCUMENT INFO
Description: Gila Lee Adato served as a chief operating officer COO in internet based domestic provider of 24/7 emergency dispatch services throughout the United States. Gila Lee also served as a chief compliance officer CCO handling all legal matters and was responsible for legal risk management and compliance for institutional only broker-dealer and its affiliates.