Gina Bokios
Senior Vice President General Counsel Corporate Secretary @Regal Securities, Inc
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WORK HISTORY
Senior Vice President General Counsel Corporate Secretary @Regal Securities, Inc
Chicago, IL, US
Provide legal counsel and support to CEO and upper management. • Work closely with the firm’s compliance department. • As a Senior Vice President and member of the management team, involved in setting business strategy and significant business decisions affecting the firm. Collaborate with all of the firm’s departments, including compliance, business development, finance, IT, marketing, HR, operations, trading, syndicate, and fixed income desk. • Review/draft all incoming and outgoing contracts, selling agreements, registered representative and investment advisor agreements, operations and information technology related documents, consulting agreements, employment agreements, E&O insurance contracts, leases, and website disclosures. • Handle correspondence/negotiations with regulators, including FINRA, SEC, and state securities divisions. Responsible for all corporate governance matters.• Provide legal counsel and defense for FINRA arbitration claims, litigations, and mediations. • Hire/manage outside legal counsel throughout the country. Negotiate billing rates, flat fee arrangements, and review legal bills for maximum cost savings. • Served on FINRA District 8 Committee for 3 years - worked closely with FINRA executive team and staff to promote broker-dealers’ interests and discuss current issues affecting the securities industry.
EDUCATION
Northwestern University School of Law
JD, Law
Northwestern University - Kellogg School of Management
Master of Business Administration - MBA
Northwestern University
Bachelor of Science - BS
ABOUT GINA BOKIOS
Highly motivated professional with JD/MBA, legal and compliance experience focused on financial services, general corporate law and managing litigation. Work closely with executive team and board, and able to align legal strategy with business goals. Broad experience in managing in-house legal and compliance departments and handling corporate, regulatory and transactional matters. Broad global experiences: Leading and building legal, compliance, and administrative teams | Hire and manage compliance consultants and outside counsel throughout the country | Arbitrations, litigations and mediations | Draft and negotiate employment contracts | Insurance | Alternative Products | Due diligence | Privacy | Marketing | Business development | Cyber-security | Managing, enforcing, defending and licensing IP | Reviewing and editing \'33 Act and \'34 Act filings | Negotiations with regulators, including FINRA and SEC | Corporate governance
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