Bill Biography

Bill Meehan | Partner

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bmeehan@elinphant.com

 

Bill is a Partner in Elinphant’s Capital Markets Advisory Practice and a seasoned Compliance Executive with over twenty years of industry experience. Bill has extensive multi-asset product knowledge in securities, commodities and cryptocurrency which he has experienced from the Legal, Compliance, Regulator and Consulting perspectives.
Bill specializes in compliance assessments, surveillance assessments and calibration, non-financial regulatory reporting (EBS, LOPR, CAT, TRACE), Dodd Frank Swaps and Security Based Swaps regulations, compliance outsourcing, compliance Robotics Process Automation design and development, startup registration and regulatory services.
Bill strengthens Elinphant’s ability to provide lower cost compliance advisory services, provide broader coverage into swaps, commodities and cryptocurrency products, and expand the existing securities and compliance outsourcing businesses Elinphant is already providing.
Prior to joining Elinphant, Bill was a Managing Director in KPMG’s Operational and Regulatory Risk Advisory Practice. Prior to KPMG, Bill was an Executive Director and Head of Capital Markets Compliance at CIBC World Markets Corp. where he provided advisory coverage for Equities, Fixed Income, and Commodity sales and trading businesses. At CIBC Bill led the formation of their Swap Dealer registration and regulatory program and led their global Volcker Compliance implementation. Prior to CIBC, he was Head of Equities Compliance and Research Compliance. Prior to that role, Bill was a senior Equity Derivatives Compliance Officer at Bank of America Merrill Lynch covering listed and OTC derivatives for several sales and trading desks and helped integrate one of the largest equity derivatives portfolio mergers.
Prior to Bank of America Merrill Lynch, Bill held senior regulatory roles as General Counsel of the Boston Stock Exchange responsible for Enforcement and legal affairs of the SRO and Head of Regulation and Compliance for BOX Regulation where he drafted and submitted exchange rule filings and ran the Examination Department. Bill began his career in various Legal capacities at Bear Stearns structuring derivatives transactions, handling regulatory inquiries, advising on securities regulation, managing the Restricted Securities Group, and facilitating the municipal derivatives transaction group.
Bill previously held his Series 3,4,7,24 and 87 and currently holds his NFA Swaps Proficiency Exam.
Bill earned his B.A. in Political Science from Saint Peter’s University where he was a Spur Honor Society recipient and his J.D. from Fordham University Law School.

Publications | Speaking Engagements | Memberships

PUBLICATIONS
OTC Derivatives Regulation Under Dodd Frank: A Guide to Registration, Reporting, Business Conduct, and Clearing: Thomson Reuters Westlaw 2014, 2015, 2017 Editions Meehan, William C., Rosenberg, Gabriel D. (Co-Editors) and Co-Author of Chapters on SDR Reporting and Large Trader Reporting of Commodity positions.

Regulation BI: Four Key Areas to Address With Electronic Communications Review: Article published by Smarsh, Inc., June 2020

SPEAKING ENGAGEMENTS

Dodd Frank Trade Reconstruction:  Bloomberg Think Tank October 2014

GFMI Conference: Volcker Rule Compliance, March 2015

KPMG Trade Reporting Share Forum: Organizer and Speaker/Moderator – Swap Dealer Perspectives and Consolidated Audit Trail, June 2017

The TRADE and NICE presented Webinar: The Next Generation of Trading Compliance & Assurance, July 2019

NICE Communication Compliance User Group Meeting: What’s New in Compliance Recording, September 2019

NICE ENGAGE 2019: Wealth Management Surveillance: Making Reg BI and Suitability Work For You, November 2019

 
PRIOR MEMBERSHIPS

SIFMA:  Legal & Compliance Division, Swap Dealer, and Equity Markets & Trading

ISE:Business Conduct Cmte

FIA:  Legal & Compliance Cmte. and OCR Group

NY State Bar Association