Executive Attorney, Chief Compliance Officer and Consultant. Counsels Financial Institutions including Investment Advisers, Broker-Dealers, Retail, Private, Trust & Investment Banks. Also provides strategic business advice for not-for-profit organizations, venture businesses, women and minority owned small businesses and government. Expertisein: Investment Advisers Act of 1940, Investment Company Act of 1940, Dodd Frank, Fiduciary Standard, and FINRA regulations. Working knowledge of 1933 and 1934 Acts, Commodities Exchange Act, Patriot Act (inclusive of Anti-Money Laundering requirements), Regulation S-P and ERISA. Also provides guidance on European and US privacy and data collection requirements. Has experience in over 16 jurisdictions, with focus on U.S., Cayman, Ireland, EU and Australia.
Ms. Doherty’s practice has been focused on legal structure and operational development of new opportunities from concept to execution. She has also provided crises management leadership for companies at risk. Ms. Doherty has formerly worked as legal counsel and compliance officer for global institutions such as Alliance Capital Management, Citicorp Investment Services and Fiduciary Trust and has consulted for large to mid-size investors, and financial service firms.
Ms. Doherty started her legal career as a secretary and para-legal at Equitable Capital Management, working full time while attending law school. Equitable Capital merged with Alliance during this time and Ms. Doherty was promoted to Counsel working with the new institutional business line upon passing the New York Bar.
Ms. Doherty has over 20 years of experience supporting not for profit organizations, as a volunteer and board member inclusive of 100 Women in Finance, Dance New Amsterdam and American Friends of James Joyce. She is currently the co-president of her class (Trinity College – Connecticut). She received a JD from New York Law School (evening division), was a Coro Leadership New York Fellow and is currently enrolled in a Masters of Economics program at CUNY – John Jay College. Ms. Doherty is a member of the New York Bar.
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