Chief Compliance Officer and Deputy General Counsel
As Chief Compliance Officer and Deputy General Counsel, William serves as legal and compliance consultant on regulatory issues and provides guidance on all issues related to SEC, FINRA and DOL rules, and regulations including the Investment Advisers Act of 1940 as well as other regulations and securities laws.
Prior to joining Mercer Advisors, he most recently served as the Public Policy Counsel for the Certified Financial Planner Board of Standards, Inc., in Washington, D.C. William drafted Amicus briefs in the Department of Labor (DOL) fiduciary cases in the Northern District of Texas and the Fifth Circuit Court of Appeals and drafted multiple regulatory comment letters submitted to the DOL and Securities Exchange Commission (SEC) in support of investor protection issues. For seven years, he also served as an Adjunct Professor at the George Washington University Law School where he taught Legal Research and Writing. William has been published in several scholarly law journals across the country and his work has been cited in legal treatises and state and federal court decisions. Most recently, he was appointed to the CFP Board’s Public Policy Council. William serves as Co-Chair of Mercer Advisors' Sub-Committee on Trust Oversight.
William received his undergraduate degree from the University of Tulsa, his Juris Doctorate (J.D.) degree, with Honors, from the University of Tulsa College of Law and his Master of Laws (LL.M.) degree from the George Washington University Law School.