Litigation Associate resume example with 14+ years of experience
JessicaClaire
Montgomery Street, San Francisco, CA94105609 Johnson Ave., 49204, Tulsa, OK Home: (555) 432-1000 - Cell: - resumesample@example.com - -
Professional Summary
Experienced Litigator, Appellate Lawyer and General Counsel with substantial expertise in BSA/AML Compliance and Commercial litigation matters that are particularly wide-ranging. Leslie has significant experience in disputes that involve securities, commodities, banking, bankruptcy, contracts, employment, real estate, product liability and intellectual property lawsuits; further, he has also frequently represented clients in arbitration and in all phases of litigation at the trial and appellate levels in federal and state courts across the country.
Core Qualifications
Results-oriented
Contract negotiation/review/drafting
Communication Skills: writing legal briefs, opinions and appeals filings
Speaking Skills: confident presence in the courtroom
Research Skills: prepare cases for complex matters such as securitization
People Skills: patience, decisiveness, team-player under pressure
Thinking Skills: ability to evaluate and craft arguments for court
Experience
08/2014 to 09/2015
Litigation AssociateKutak Rock Llp – Irvine, CA,
Play integral role in major litigations regarding relief sought with respect to complex financial matters concerning breaches of contracts and annual revenue commitments that avoided payment as defendants manufactured and overstated service issues in order to justify improper termination of their agreements; defense of relief sought in complex financial multi-tiered transactions of shuffled assets and refinanced debt.
Represent clients in a wide variety of litigation matters including employment, securities, copyright and patent disputes, credit card industry antitrust litigation, mortgage foreclosure and FCC-regulatory actions.
Conduct investigations and reviews regarding AML/KYC, Audits and OFAC sanctions list involving the Bank Secrecy Act, USA Patriot Act, 3rd European Directive, OFAC and related AML regulations for financial services firms, including asset managers, broker-dealers, hedge funds, holding companies, limited, private and public companies, pension funds and trusts; perform risk assessments.
Draft and review contracts, compliance filings, joint venture and non-compete agreements; perform due diligence regarding board of directors, managing directors and majority shareholders of prospective business clients via proprietary software to ascertain critical information; identification and high risk assessments on Politically Exposed Persons (PEPs); provide advice daily and complete client enhanced due diligence (EDD).
01/2013 to 08/2014
Litigation AssociateAon Corporation – Richmond, VA,
Contractual Litigated commercial and securitization cases in disputes that involved securities, commodities, banking, real estate, contracts, and commercial (and residential) mortgage-backed securities lawsuits (CMBS/RMBS).
Played an integral role working closely with partners and associates providing assistance for advising corporations, underwriters, accounting firms, corporate officers and directors regarding structured finance, securitization, collateralized debt obligations, class actions, derivative actions, and SEC investigations.
Assisted with depositions, witness preparation in SEC investigations and preparation for trial in the defense of a series of high profile RMBS litigations on behalf of HSBC and Massachusetts Mutual Life Insurance.
Litigated intellectual property cases regarding intellectual property, technology, and patent infringement matters regarding software development, non-compete agreements and breach of contracts.
Coordinated and analyzed data/electronic discovery productions and interrogatory and subpoena responses; drafted and analyzed legal briefs; court appearances at the U.S.
Federal District Courts.
Served as a member of the firm's Complex Commercial and Intellectual Property litigation groups.
04/2014 to 04/2015
AttorneyLumen Technologies – Indianapolis, IN,
at-Law.
Provided specialized knowledge for legal and regulatory guidance regarding knowledge of methods, techniques and practical analysis of financial concepts and securities matters for Lexis Practice Advisor, which offers new practical guidance resources complimented by select 'on point' deep legal content whereby each of the nine categories contain a unique collection of expertly authored articles in the practice of banking regulation, Bank Secrecy Act and anti-money laundering (BSA/AML) compliance and trade finance.
2011 to 2012
Litigation AssociateAon Corporation – Sacramento, CA,
Played a pivotal role assisting in the representation of banks, affiliated broker-dealers and financial institutions regarding employment and corporate finance transactions; and compliance with self-regulatory organization (SRO) rules, disciplinary and committee matters; application of exchange rules and federal securities laws; updated policies and procedures under the Investment Advisers Act of 1940; Investment Company Act of 1940; FINRA; investigations for FCPA governmental entities and LIBOR manipulations.
Provided guidance on offerings of interests in direct investment funds and private equity funds-of-funds; assisted with preparation of PPMs, governing documents and subscription agreements; formation of limited partnerships and general partner entities; post-closing items, Form D filings and LPA amendments.
Played an integral role in conducting investigations and reviews regarding AML/KYC, Audits and OFAC sanctions list involving the Bank Secrecy Act, USA PATRIOT Act, 3rd European Directive, OFAC and related AML regulations for financial services firms, including asset managers, broker-dealers, hedge funds, holding companies, limited, private and public companies, pension funds and trusts; perform risk assessments.
Assist in conducting searches against Board of Directors, Managing Members and Majority Shareholders of prospective business clients via external databases to ascertain negative information; Identification and "high" risk assessments on Politically Exposed Persons (PEPs); provided advice on fraud and AML typologies.
Facilitated administrative response action for SEC investigations alleging violations of Broker-dealers' responsibility to treat customers fairly; assisted FINRA violation investigations regarding fraud schemes and U.S.
Department of Justice alleging trade manipulations; in addition, conducted investigations regarding LIBOR manipulations for RBS; conducted investigations of Wal-Mart's corporate operations in Mexico and corporate operations in China regarding on-going violations of the Foreign Corrupt Practices Act (FCPA).
2008 to 11/2010
General Counsel, Chief Compliance & Chief Executive OfficerAon Corporation – Sherman Oaks, CA,
Chief Legal Officer for large 400+ employee company and affiliates; counsel executives in day-to-day operations, decision-making, and daily legal issues.
Managed all the legal affairs of the company on a broad range of matters, supervised five national businesses, website & organic stores, health-care, and video product production division.
Assisted CEO in the management of company and creation of the business plan; and acted as CEO.
Drafted, reviewed, and negotiated contracts including; service contracts, transactional agreements, employment agreements, government contracts, subcontracts, confidentiality agreements, non-disclosure, commercial leases; pro-actively mitigate exposure to risk and liability.
Made court appearances in Federal District, and State Civil, and Supreme Courts and manage caseload.
Advised on all labor and employment law matters and attend unemployment hearings.
Outside counsel management and development of litigation strategy; guide executive staff and employees through the legal dimensions of routine and complex business decision-making, and promptly solve everyday business problems with practical nuts and bolts legal advice and research.
Closely worked with management as an integrated business partner assuring my assistance is practical, helpful and in keeping with the corporate mission.
Responsible for all corporate compliance matters; direct, create and implement corporate compliance and regulatory policies in accordance to government regulations.
Architect of HIPAA and FDCPA policies; Addressed regulatory concerns, including FCPA and OFAC and insurance rules, licensing, and surplus lines tax issues, multi-state research projects to improve compliance, and created training programs.
Researched securities law issues; litigated complex domestic and international matters; drafted legal memoranda, legal briefs, pleadings and motions for cases involving Antitrust and competition, the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940; environmental and toxic torts.
Economic analysis for corporate governance matters; strategizing case development for option backdating issues for the successful litigations of various complex derivative class actions with one of the largest settlements of this area of the law of $225 million.
Played an integral role in the successful defense for the City of New York and over 150 contractors in multi-district litigation venued in the Southern District of New York, arising from response actions taken at the World Trade Center after the 9/11 terrorist attacks.
1999 to 11/2004
Litigation AssociateClifford Chance – City, STATE,
Principle matters included representation of the City of New York and its officials in an investigation by the Securities and Exchange Commission; and of companies and individuals in internal investigations and in grand jury and other government investigations; in addition, significant M&A and corporate finance transactions in the financial services industry (in both state and federal courts across the country) as well as a variety of arbitral forums - all with favorable end results.
Accomplishments
Member of the Bars of New York, Texas, and District of Columbia; admitted to practice before various federal courts across the country and Supreme Court of the United States; Federal Clerkship, United States Department of Justice, Washington, D.C., Civil Enforcement, Environment and Natural Resources Division.
Gann market analysis; write, analyze and correct questions for Level I, II, and III of the CMT examinations; Series 3 licensed, Commodities Trading Advisor (CTA).
Proficiency with external compliance screening databases: Accuity, Actimize (ERCM), Dow Jones Watchlist, PRIME, World-Check, AML/BSA software; Microsoft Office.
A confident presence in the courtroom leveraging argumentative techniques decisive to client/case outcomes.
Avvo Rating: "Superb" and "10/10".
Listed in Who's Who in American Law.
Education
Expected in
JD: Law Vermont Law School - , GPA: cum laude; Chairman of the Moot Court Board; Legislative Assistant for Governor Howard Dean of the State of Vermont; and Legal Assistant for William Griffin, Attorney General of the State of Vermont
cum laude; Chairman of the Moot Court Board; Legislative Assistant for Governor Howard Dean of the State of Vermont; and Legal Assistant for William Griffin, Attorney General of the State of Vermont
Expected in
LL.M: Environmental Law Vermont Law School - , GPA:
Master of Studies of Environmental Law & Public Policy, with distinction Research Assistant for Environmental Law and Public Policy, Professor Richard Brooks
Expected in
B.A: Humanities; Computer Science Columbia University in the City of New York - , GPA: cum laude Humanities; Computer Science cum laude
Expected in
Select One: Financial Markets New York University New York Institute of Finance - , GPA:
Fundamental and Technical Analysis regarding Bonds, Commodities, Currencies and Equities
Professional Affiliations
Association of Certified Fraud Examiners; American Association of Professional Technical Analysts (AAPTA); National Futures Association; ACAMS: Association of Certified Anti-Money Laundering Specialists; City Bar of New York; County Bar of New York; American Bar Association
Skills
Writing -- Strong knowledge of English vocabulary and grammar, including Modern Language Association formatting and Associated Press style.
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Resume Overview
School Attended
Vermont Law School
Vermont Law School
Columbia University in the City of New York
New York University New York Institute of Finance
Job Titles Held:
Litigation Associate
Litigation Associate
Attorney
Litigation Associate
General Counsel, Chief Compliance & Chief Executive Officer