Pamela M. Harper

Pamela Harper is a Member of Griesing Law, LLC and Chair of the Firm’s Government & Regulatory Affairs practice group.

What do you focus on?

I focus on representing and providing strategic advice to clients in connection with regulatory, compliance and corporate governance-related matters, particularly within the financial services industry.

What do you see on the horizon?

With the rollback of the Dodd Frank Act and the release of the draft Financial Choice Act, financial deregulation is underway.  Though the Financial Choice Act, as currently drafted, lifts a number of regulatory constraints, firms are nevertheless expected to be held accountable and should not be lulled into a false sense of security. For firms subject to the Investment Company Act of 1940, the Financial Choice Act provides enhanced penalties for fraud, increased monetary fines for illegal profits as well as increased criminal fines for insider trading. As a result, compliance will still not be optional and for smaller, midsize and emerging firms, will become even more important. My role in this re-configured regulatory landscape focuses on advising clients how to strategically mitigate, and tactically address risk to minimize potential exposure under the new, upcoming regulatory regime.

Biography

Pam is a seasoned attorney with experience in both the private and public sectors and is also a registered lobbyist with the Pennsylvania Department of State. Before joining Griesing Law, she worked in-house at several consulting and financial services firms in the region. Most recently, Pam served as the Chief Operating Officer and General Counsel for MFR Consultants Inc., an information technology consulting firm where she was responsible for supervising and overseeing the daily management of the firm’s operations, including establishing an enterprise-wide risk management program as well as reviewing and negotiating all contractual agreements in the organization. Prior to that, Pam held a similar role as Chief Operating Officer and Compliance Officer for StoneRidge Investment Partners, an asset management firm. In that role, she oversaw the firm’s legal and compliance program including interpreting and applying the rules and regulations promulgated under the Investment Advisor Act of 1940. In addition, she built a wealth of experience advising clients on public policy, comparative governance structures and foreign investment laws and regulations while serving as a Principal at two other consulting firms.

Pam’s experience extends to the public sector as well, when she was appointed to the position of Deputy Director of Aviation, Marketing & Governmental Affairs for the Philadelphia Airport System under Mayors Wilson Goode and Ed Rendell. As Deputy Director, she managed a staff of 100 and was responsible for the management and implementation of the airport’s marketing initiatives and government and regulatory affairs.

Outside of the Firm, Pam has shared her business and legal expertise while serving as an Adjunct Professor at Temple University’s Fox School of Management. She is a member of the Society of Corporate Compliance and Ethics Professionals, the National Association of Securities Professionals, and the National Society of Compliance Professionals, on which she serves on the Investment Adviser Committee. She also sits on the Board of Directors for the Center for Emerging Visual Artists (CFEVA) and previously served as the Vice-Chair of the Philadelphia International Airport Advisory Board. In addition, she has held roles on numerous civic organizations in the region, including the Atwater Kent Museum, the Balch Institute of Ethnic Studies, and the Center for Architecture + Design, among many others.

Pam earned her joint J.D. and M.B.A. from the University of Pennsylvania Law School and the Wharton School. She also received her A.B. from Princeton University where she graduated cum laude.

Contact

215.501.7852

    

Education
  • University of Pennsylvania Law School, J.D.
  • The Wharton School, University of Pennsylvania, M.B.A.
  • Princeton University, A.B., cum laude
Bar Admissions
  • Pennsylvania
  • U.S. District Court, Eastern District of Pennsylvania
Awards
  • Minority Enterprise Advocate Magazine 50 Influential Minorities in Business, 2004
Community Involvement
  • National Society of Compliance Professionals
    – Investment Adviser Committee, 2017
  • Center for Emerging Visual Artists (CFEVA)
    – Board of Directors, 2017
  • Philadelphia International Airport Advisory Board
    – Board of Directors, Vice-Chair
  • Atwater Kent Museum
    – Board of Directors
  • Balch Institute of Ethnic Studies
    – Board of Directors
  • Center for Architecture + Design
    – Board of Directors
  • First Person Arts
    – Board of Directors
  • Ensemble du Monde, New York
    – Board of Directors
  • Princeton Club of New York
    – Finance Committee
  • International House of Philadelphia
    – Board of Directors
Training and Publications
  • “Diversity in the Asset Management Industry: An Oxymoron” – Author, Emerging Manager Monthly, August 2017
  • “Three Things for Investment Advisers to Consider Regarding the Financial Choice Act of 2017” – Author, NSCP Currents, June 2017
  • Temple University Fox School of Business; Adjunct Professor 2004–2006
    – Taught full term course in Legal Issues in the Tourism and Hospitality Industry
  • “Airport Marketing and Branding” – Guest Lecturer, Civil Aviation Administration of China, 1991

Media Clips

  • NAMWOLF – NAMWOLF News: Pam Harper July 11, 2017 - Read More
  • Creating a Culture of Compliance in the Age of Financial Reform July 10, 2017 - Read More
  • NSCP Currents – Three Things for Investment Advisers to Consider Regarding the Financial Choice Act of 2017 By Pamela Harper June 27, 2017 - Read More

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Philadelphia (Headquarters)

New York

Cincinnati

Contact Us | P 215.618.3720 | F 215.814.9049

Philadelphia
1717 Arch Street Suite 3630 Philadelphia, PA 19103
New York
68 3rd Street Brooklyn, NY 11231
Cincinnati
11 Garfield Place Cincinnati, OH 45202

Philadelphia (Headquarters)

New York

Cincinnati

Contact Us P 215.618.3720 F 215.814.9049

Philadelphia 1717 Arch Street, Suite 3630 | Philadelphia, PA 19103
New York 68 3rd Street | Brooklyn, NY 11231
Cincinnati 11 Garfield Place | Cincinnati, OH 45202