Senior Counsel, Pillsbury Winthrop Shaw Pittman LLP
Cassie has extensive experience coordinating between diverse constituencies and implementing and supervising all aspects of a legal and compliance program.In the banking sector, she focuses her work on regulatory compliance, including the development and assessment of programs to implement and monitor regulatory requirements, including programs for cybersecurity, anti-corruption, government and political activities, ethics and global financial crimes. While at New York State’s Department of Financial Services, she served as head of compliance for the state’s regulator of financial services companies. In this position, she concentrated on and made key achievements in initiatives focusing on cybersecurity, anti-money laundering and fintech licensing.
As a regulator, developed and implemented a comprehensive regulatory approach to cybersecurity and transaction monitoring, including finalizing and implementing a department’s first-in-the-nation regulation of cybersecurity, design and implementation of examination protocols for regulated institutions compliance.
As an in-house professional, developed and supervised global compliance programs, including the development of policies, pre-clearance systems, tracking, monitoring and testing, training initiatives and regulatory reporting of policies, procedures, systems, monitoring and testing.
Significant experience with fintech organizations, including developing regulatory compliance standards and processes for application, supervision and examination of New York-regulated BitLicensees and digital asset companies, and other fintech non-depository financial institutions.
Responsible for central compliance program of a large global bank, managing global Foreign Corrupt Practices Act and UK Bribery Act compliance, including design and implementation of due diligence for third party intermediaries, pre-clearance of gifts, entertainment and charitable contributions, design HR and hiring controls, design and monitoring of compliance programs for majority-owned entities and third-party intermediaries.
Advised Swiss multinational investment bank concerning firm compliance program for FCPA compliance, re-writing firm policies concerning anti-corruption issues including designing firm policies regarding the use, review and retention of intermediaries and consultants.
Developed, implemented and supervised political law legal and compliance programs for private equity and municipal bond professionals. Provided counsel concerning a company and individual obligations and limitations under MSRB G-37, Municipal Advisors Rule, Investment Advisors Rule 206(4)-5, state pay-to-play laws, lobbying laws and other laws relating to providing investment advisory services, financial advice and underwriting bonds for government entities.
Advised global bank regarding requirements for government interactions and travel and entertainment issues under international, federal, state and local gift and ethics laws.
Possesses extensive experience in all aspects of litigation matters from claim, through discovery, trial and appeal including Federal court litigation, regulatory investigations, audits and prosecutions by administrative agencies including the FEC and IRS, white-collar criminal investigations and prosecutions, and administrative and AAA arbitrations.
Advised clients concerning the Federal Election Campaign Act, Internal Revenue Code, Federal Communications Commission regulations relating to broadcast media, federal and state securities laws, the Lobbying Disclosure Act, and state and federal ethics and election laws.
Previously served as the chief compliance officer for the New York State Department of Financial Services, the regulator of all banks and insurance companies in the State of New York.
Former senior professional in the Morgan Stanley legal and compliance department and member of the global financial crimes governance and operating committee.
Speaker and trainer concerning cybersecurity, global financial crimes and other compliance topics at many financial services industry events, including events for the Securities and Financial Markets Association (SIFMA), the National Association of Insurance Commissioners (NAIC), Association of Certified Anti-Money Laundering Specialists (ACAMS), St. Johns University School of Risk Management, Insurance and Actuarial Science and Cardozo Law School.
Served as first and long-term chair of SIFMA committee addressing state and local regulatory initiatives.
Served as general counsel to a U.S. presidential campaign with responsibility to oversee all aspects of the legal and compliance operations of a national political campaign, including corporate and election filings, intellectual property issues, employment and real estate matters.
Former chief counsel for U.S. House of Representatives special investigation and senior counsel for U.S. Senate special investigation.