COLLIN SCHWARTZ

S

General Counsel

SoLo Funds, Inc.

Oct 2022 - Jan 2024 (1 year 4 months)

o Manage all legal and regulatory affairs of fintech startup including the successful resolution of state and federal actions against the company o Seat on Senior Leadership (Executive) Team managing legal risks and directly advising the CEO, President and Board of Directors o Manage company growth, including cap table management and due diligence for capital raises o Manage all litigation, including class action suits and state/federal suits from various AGs/agencies o Review all corporate communications for legal adequacy o Manage all internal legal affairs

T

General Counsel and Chief Regulatory Officer (Fintech Startup)

TruSight

Nov 2021 - Jan 2023 (1 year 3 months)

• Manage all legal affairs of fintech startup company including: o Seat on Executive Management Committee running the day to day affairs of the company and directly advising CEO and Board of Directors o Managed the successful sale of company to S&P Global o Provide legal counsel on all new products and assess legal implications o Contract reviews for all aspects of company, including those of customers, assessed parties and vendors o Management of outside counsel relationships and crafting legal strategies • Manage all regulatory affairs and product builds including: o Advising senior management and Board of Directors on new laws, existing laws and legal rights that would impact functionality of the business and products o Participate in p

M

Director, Head of Regulatory Affairs / Head of Registrations

MUFG SECURITIES AMERICAS INC

Mar 2021 - Nov 2021 (9 months)

• Manage the Regulatory Affairs Department including: o Liaise with primary and secondary regulators and respond to regulatory inquiries and examinations o Manage legal responses with respect to terminations o Own and direct remediation efforts resulting from regulatory orders and management-identified issues o Interact with Executive Committees and Board of Directors to further expansion of business lines o Advise senior management of legal implications of business expansions and regulatory impact o Creation of new processes for timely completion of on-boarding and off-boarding requirements, including training, continuing education and other registrations-related requirements o Creation of new processes for NFA Membership and Swap Dealer e

B

Global Governance and Risk Architecture / Compliance (Consultancy)

Bank of New York Mellon

Sep 2020 - Feb 2021 (6 months)

• Remediate Compliance programs pursuant to FRB MRAs and MRIAs for global institutional bank including: o Redesigned process and methodology for enterprise Compliance processes o Oversee legal interpretations of requirements and supervise legal responses to regulators o Meet with regulators to discuss remediation and provide official responses on progress o Top-down assessment of regulatory inventories for completeness and accuracy o Automation of critical Compliance programs through new technology builds o Sit on senior leadership committees and steering committees

B

Regulatory Compliance Counsel (Consultancy)

Bank of China

Feb 2020 - Sep 2020 (8 months)

• Create, remediate, implement, and enhance the Consumer and Commercial Compliance programs pursuant to MRAs including: o Represent the bank in meetings and discussions with primary regulators (OCC, CFPB) o Provide legal responses to all regulators and client legal issues lodged against the department o Documented policies, procedures and controls for Consumer and Commercial Banking requirements o Implementation of CCPA and enhancement of privacy program as primary privacy officer o Enhancement and execution of the Consumer and Regulatory Compliance Risk Assessment methodology and reporting

Director, US Head of Regulatory Compliance (Management

Scotiabank

Jan 2018 - Jan 2020 (2 years 1 month)

• Create, implement and manage a comprehensive Legal and Compliance Risk Management program pursuant to MRAs and MRIAs including: o Documented programs for Bank, Broker-Dealer, FCM, Investment Advisers/and Swap Dealer o A documented process for the assessment of financial and non-financial banking regulations as well as the subsequent action plan monitoring and reporting for regulatory change (adopted globally) o A new Risk Assessment methodology and process for the US to meet the regulatory expectations of the Federal Reserve under SR 08-08 (adopted globally) o A regtech system that serves as a relational database of all regulatory obligations on the material entities with associated controls mapping (adopted globally) • Member of Complia

Americas Head of Regulatory Compliance (Management

Deutsche Bank

Aug 2014 - Dec 2017 (3 years 5 months)

• Create and implement a regulatory compliance program pursuant to FRB MRAs and MRIAs that meets all legal and regulatory requirements • Provide legal responses to all regulatory commitments and monitor all ongoing commitments • Monitor and advise all business lines on legal and regulatory developments Create and implement a documented process for the assessment of financial and non-financial banking regulations including action plan monitoring and reporting for change management purposes • Manage staff (10 direct reports) in the tracking of regulatory change and implementation progress

Senior Vice President, Regulatory Monitoring Manager

Citigroup

Apr 2013 - Aug 2014 (1 year 5 months)

• Monitor global regulatory requirements for the Corporate Compliance Group relating to Global Functions,\ • Assist the business lines (Institutional Clients Group, Global Consumer Group, Enterprise Risk, Operations & Technology) in remaining compliant with legal, operational, and compliance risk management requirements • Coordinate and manage Rule Implementation Committees for implementation of regulatory developments • Meet with and respond to prudential regulators to discuss and remediate MRAs

B

Legal and Compliance – Regulatory Subject Matter Expert

Bloomberg LP

Feb 2008 - Apr 2013 (5 years 3 months)

• Design, implement and test compliance programs for regulatory regimes pertaining to financial servies. • Advise banks and law firms on legal and regulatory requirements stemming from Dodd-Frank Act • Draft articles for publishing on the Bloomberg Law product and terminal relating to regulatory developments. • Build the Bloomberg Law database and provide content relating to the rating of legal extracts

G

Associate

Goldstein & Avrutine

May 2003 - Apr 2005 (2 years)

P

Associate

Peckar & Abramson, P.C.

Jun 1999 - Apr 2003 (3 years 11 months)

Associate • Represent condominium developers in all phases of real estate development including offering plans for various residential and commercial condominium projects throughout the Five Boroughs. • Represent lenders of residential loans and commercial acquisition and construction loans. • Represent companies and individuals in zoning variances and sales to rights.

COLLIN SCHWARTZ

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COLLIN's behavioral traits
COLLIN's likely patterns of behavior, thought, values, and emotion. Based on the HEXACO model, OCP instrument, and Torre’s own research.