EXTENSIVE EVALUATIONS OF FINANCIAL SERVICES COMPLIANCE.
PROVEN ABILITY TO WORK TO IMPLEMENT REGULATORY AND LEGAL INITIATIVES.
EXPERIENCE IN EVALUATING COMPLIANCE OF FX AND DERIVATIVES TRADES.
EXPERIENCE IN DUE DILIGENCE EXAMINATIONS.
KNOWLEDGE OF KYC, AML, AND US PATRIOT ACT.
Epiq Systems Review Types: Financial Regulation/Foreign Exchange; Reverse Mortgage Backed Securities; Trademark and Trade Dress; Mergers and Acquisitions; Anti-Trust; Shareholder Derivative Litigation; Employment; Reviewed recordings in digital format for litigation; identified and coded relevant documents in accordance with matter-specific guidelines Provided investigation for Major Investment Bank for trader compliance with Dodd Frank Act.
Investigated trades for evidence of collusion, insider trading/ personal account dealing and misconduct in derivatives market by bank traders.
Provided research for Major Investment Bank in CFTC/SEC/DOJ investigation to detect potential manipulation of foreign currency trading (FOREX).
Determined relevancy and privilege of subpoenaed documents by searching for collusion, front running, personal account dealing and misconduct by bank's traders.
Identified unauthorized communications such as insider trading, divulging confidential information, and conspiring with traders at various banks to manipulate rates in FOREX market.
Conducted due diligence review of communications between traders, brokers, sales persons and clients for violation of internal policies or external regulations.
01/2012 to 03/2012
Instructor, Pre-STEPBorough of Manhattan Community College Frederick Douglass Academy － New York, NY
Maintained discipline in after-school program; methodically provided resources for lessons.
Developed lesson and activity plans in coordination with the coordinator.
Devised and designed group activities.
09/2008 to 12/2013
AssociateThe Law Firm of Ray & Associates － New York, NY
Tort Law; Entertainment Law; Contract Law; Intellectual Property) Performed legal research and writing; draft pleadings and memoranda of law; respond to discovery requests; review complaints, petitions, motions and pleadings Managed up to 80 personal injury, real estate and estate case files simultaneously Participated in client interviews and meetings Responsible for case management and organization and production of documents Supervised and trained newly admitted attorneys and paralegals in case management and presentation with the assistance of the Principle.
09/2007 to 12/2007
Dean's FellowFordham University School of Law Feerick Center for Social Justice － New York, NY
Drafted documents providing guidance in interpreting newly drafted legislation.
Researched and developed database of online legal resources in immigration law; assembled panel of experts in immigration law and facilitated coordination of training by the US Social Security Administration.
05/2006 to 05/2007
Legal InternLincoln Square Legal Services － New York, NY
Fordam University Federal Litigation & Family Advocacy Clinics Assisted Professor Schwartz in restructuring of Fundamental Lawyering Skills course; co-authored a negotiation simulation exercise Represented clients in cases regarding children with special needs; challenged State agency findings of child neglect Represented low-income clients in civil and criminal cases; assisted with investigations Counseled and interviewed clients; drafted client letters and sentencing memoranda; assisted in preparation of cert petition and argument of writ of habeas corpus.
Juris DoctorFordham University School of LawArchibald R. Murray Public Service Award (Cum Laude
Bachelor of Arts: Sociology & EconomicsSociology & Economics
agency, case management, client, clients, database, DERIVATIVES, DUE DILIGENCE, FINANCIAL, Foreign Exchange, FOREX, Intellectual Property, Law, LEGAL, legal research, letters, Litigation, market, meetings, Mergers and Acquisitions, negotiation, policies, real estate, research, sales, Securities, simulation
Member of Association of Certified Anti-Money Laundering Specialists (ACAMS) 2015 Bar Admission: New York (Atty Reg # 4658522) 2009 APPLICATIONS Consilio LexisNexis Documatrix Westlaw Relativity Microsoft Office Ringtail