David Pepper
General Counsel & Chief Compliance Officer at Derivative Path
- Role
- General Counsel & Chief Compliance Officer at Derivative Path
- Location
- Houston, TX, US
- LinkedIn followers
- 500 followers
Experience
General Counsel & Chief Compliance Officer
Feb 2023 — Present · Houston, TX, US
Direct all legal and compliance affairs for founder-led and venture-backed SaaS-based company specializing in financial technology and hedge advisory solutions to solve complex interest rate, foreign exchange, payments, and commodity transactions, with a focus on swaps. • Provide expert advice and counsel to the founders and executive leadership on legal strategies and risk management, closely aligning legal and business objectives. • Negotiate high-value contracts with clients, partners, and vendors, including software licensing agreements, service contracts, and partnership agreements.• Advise the Board of Directors and executive leadership on all corporate governance matters.• Manage all potential litigation matters, including coordinating with outside counsel and developing strategies.• Provide counsel on labor & employment law, internal investigations, compensation, and compliance training.• Legal guidance on AI governance and other emerging technologies, including risk mitigation, ethical use policies, and integration of AI into financial services.• Drafting, implementing, and maintaining internal policies, compliance procedures, and risk frameworks.• As CCO, oversee all regulatory compliance matters related to the firm’s CFTC and NFA regulated swaps and derivatives activities.
Education
New York Law School
JD, Law
2007 — 2011
Northwestern University
BA, Economics, International Studies
1994 — 1998
Skills
- Finance
- Courts
- Arbitration
- Legal Writing
- Litigation
- Derivatives
- Legal Research
- Capital Markets
- Fraud
- Asset Managment
- Corporate Governance
- Hedge Funds
- Investments
- Mediation
- Asset Management
- Fcpa
- Securities Regulation
- Securities
- Commercial Litigation
- Class Actions
- Westlaw
- Equities
- Litigation Support
- Legal Assistance
- Bankruptcy
- Financial Markets
- Trading
- Securities Litigation
- Corporate Law
- Valuation
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