Assistant Director at FINRA
Greater Philadelphia Area
- Current
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- Assistant Director at FINRA
- Past
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- Faculty at East Central College
- Education
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- Thunderbird, The Garvin School of International Management
- Creighton University School of Law
- Connections
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4
connections
- Industry
- Legal Services
- Websites
William Brian Kimme’s Summary
A results-driven attorney/MBA possessing extensive corporate, regulatory, and compliance experience in law firm and in-house settings that expanded revenue and operations on a global scale. Possesses strong negotiation, excellent communication, strategic planning, project management, and successful management skills and expertise. Acknowledged ability at providing analysis and presentations, and making a positive impression on clients and potential clients. Significant experience providing training for staff and external clients, government agencies, trade groups, bar associations and other entities.
William Brian Kimme’s Specialties:
Regulatory • Compliance • Corporate • Contracts • Securities • Negotiations • Joint Ventures •
Litigation Management • Acquisitions • Training • Strategic Planning • Dispute Resolution
William Brian Kimme’s Experience
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Assistant Director
FINRA
(Legal Services industry)
January 2000 — Present (8 years 11 months)
Leading contributor to FINRA strategic committees and to global ventures. Develop, implement, and manage strategic division plans, general corporate issues, contract issues, budgets, and ’40 Act issues. Deliver expert counseling on corporate issues, rules and procedures, and compliance issues. Design program rules, procedures and manuals for clients. Participate in preparation of materials for Board and National Advisory Committee meetings. Responsible for due diligence, contract negotiation, drafting and implementation for new business and services. Provide project management of new business ventures. Provided assistance with the development of division’s new technology platform requirements. Responsible for division website. Provide training to new clients, trade associations, government entities, and internal staff.
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Senior Attorney
NASD
(Non-Profit; 1001-5000 employees; Financial Services industry)
July 1998 — January 2000 (1 year 7 months)
Ensured top performance of 12 attorneys and support specialists focused on administration cases relating to federal and state security laws and regulations, and compliance issues. Managed budgeting operations for the Regional Office, and delivered litigation management services. Enhanced financial audit accuracy from 70% to 95%, resulting in fee increases and reductions in receivables and write-offs. Trained arbitrators and supported individual assignments to facilitate the effective settlement of cases. Communicated and ensured compliance with processes, procedures, and regulations. Addressed case administration and legal issues with parties and staff.
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Staff Attorney
NASD
(Non-Profit; 1001-5000 employees; Financial Services industry)
July 1991 — July 1998 (7 years 1 month)
Administration of arbitration/mediation cases relating to federal and state securities laws and regulations, and compliance issues. Counseled arbitrators. Provided litigation management services, working collaboratively with parties and arbitrators to ensure compliance with procedures and regulations. Established FINRA’s first continuing education programs for arbitrators, serving an instrumental role in later course expansions to all regional offices and Dispute Resolution's website.
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Associate
K & L
(Legal Services industry)
May 1989 — July 1991 (2 years 3 months)
Represented clients in the areas of insurance, health care, corporate, loans, banking/mortgage lending, corporate financing, collection, tax, mergers/acquisitions, international consignment sales, joint ventures, and real estate. Represented local hospital in corporate, board, and administrative matters. Managed the books and records for corporate clients, including SEC filing preparation. Conducted the drafting and negotiation of agreements for corporate clients. Managed insurance, loan documentation, and real estate closings.
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Faculty
East Central College
(Educational Institution; 201-500 employees; Higher Education industry)
September 1990 — December 1990 (4 months)
William Brian Kimme’s Education
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Thunderbird, The Garvin School of International Management
MBA, International Management, 1987 — 1988
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Creighton University School of Law
JD, Law, 1984 — 1987
Additional Information
William Brian Kimme’s Websites:
William Brian Kimme’s Interests:
Reading, hiking, biking, golf, youth sports, fastpitch softball, new technology
William Brian Kimme’s Groups:
Association of Corporate Counsel (Co-chair of DELVACCA Chapter’s Corporate and Securities Law Committee, Audit Committee), Missouri Bar, Pennsylvania Bar
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CompliancEX
William Brian Kimme’s Contact Settings
Interested In:
- career opportunities
- consulting offers
- expertise requests
- business deals
- reference requests
- getting back in touch
