Senior Paralegal-Regulatory/Compliance Resume Example
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SENIOR PARALEGAL-REGULATORY/COMPLIANCE
Summary
A highly experienced In-house paralegal with comprehensive skills in the international financial market and healthcare fields seeking a paralegal position where these skills will add value.
Highlights
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Experience
Kind IncSeptember 2005 to CurrentSenior Paralegal-Regulatory/Compliance
Dallas , TX
Dallas , TX
- Serve as Compliance Officer-Anti-Money Laundering - oversee communications with clients and direct responsibility for the implementation and updating of the AML policy pursuant to the PATRIOT Act.
- Successfully negotiated ISDA (International Swaps and Derivatives Association, Inc.) Master Agreements, Schedules & Credit Support documents with broker-dealers and the review of derivative trade confirmation documents.
- Created a corporate database to track company master agreements and integrating all back office trading systems by working closely with I/T programmer.
- Negotiate prime brokerage agreements, repurchase agreements, margin agreements, netting agreements and other broker-dealer required documentation.
- Maintain corporate records and minute books for several international and domestic companies.
- Revise private placement offering documents and subscriptions agreements annually to ensure compliance with Bermuda, U.S.
- and State regulatory requirements.
- Prepare quarterly SEC filings.
Kind IncSeptember 2001 to July 2005Senior Paralegal
Falls Church , VA
Falls Church , VA
- EBF is a multi-faceted company with $3.3 billion in investment capital, including eight international and ten domestic funds trading in the private equity and distressed asset markets.
- Serve as Compliance Officer-Anti-Money Laundering - oversee communications with clients and direct responsibility for the implementation and updating of the AML policy pursuant to the PATRIOT Act.
- Successfully negotiated ISDA (International Swaps and Derivatives Association, Inc.) Master Agreements, Schedules & Credit Support documents with broker-dealers and the review of derivative trade confirmation documents.
- Created a corporate database to track company master agreements and integrating all back office trading systems by working closely with I/T programmer.
- Negotiate prime brokerage agreements, repurchase agreements, margin agreements, netting agreements and other broker-dealer required documentation.
- Maintain corporate records and minute books for several international and domestic companies.
- Revise private placement offering documents and subscriptions agreements annually to ensure compliance with Bermuda, U.S.
- and State regulatory requirements.
- Prepare quarterly SEC filings.
Delaware North CompaniesApril 1998 to September 2001Senior Paralegal
Kings Canyon National Park , CA
Kings Canyon National Park , CA
- Prepared required documentation for joint venture transaction closings.
- Maintained and enhanced the corporate subsidiary database system for 500+ U.S.
- Canadian joint venture entities.
- Responsible for the integrity of data, production of reports, analysis of data, and responded to questions from senior management, administration, corporate secretary, tax and corporate structure departments.
- Drafted corporation/partnership/limited liability company organizational and dissolution documents and other legal documents.
- Prepared SEC and CFTC (Commodity Futures Trading Commission) filings and answered general securities questions.
- Prepared and negotiated new business contracts and confidentiality agreements.
Delaware North CompaniesJanuary 1995 to April 1998Paralegal
Kinston , NC
Kinston , NC
- Prepared formation and dissolution documents for Allina's Minnesota non-profit companies; assumed name filings and continued maintenance of 150+ assumed names.
- Created databases to track legal entities, assumed names and bankruptcy/unclaimed property proofs of claim.
- Worked closely with tax department in analyzing and preparing charitable contribution and annual report filings.
- Reviewed all vendor and I/T contracts.
Delaware North CompaniesSeptember 1992 to April 1993Paralegal
Rock Island , IL
Rock Island , IL
Resolution Trust Corporation RTCJanuary 1991 to January 1992Paralegal
Director & Officer
City , STATE
City , STATE
Dataserv, IncJanuary 1985 to January 1991Paralegal
City , STATE
City , STATE
- General corporate, mergers & acquisitions, employment law.
Education
Bethel College2000Bachelor's DegreeCity, State, USGPA: Magna cum laude GPA: 3.85
Magna cum laude GPA: 3.85
Bethel College2000Bachelor of Arts: Organizational ManagementCity, StateGPA: Graduated Magna Cum Laude
Graduated Magna Cum Laude
Minnesota Paralegal Institute1987Paralegal CertificationCity, State
Minnesota Paralegal Institute1 1987US-MN-Wayzata
Certification
Paralegal Certificate
Personal Information
Active Security Clearance: No Target Job: Target Job Title: Paralegal Alternate Target Job Title: Compliance Desired Job Type: Employee Desired Status: Full-Time Target Company: Company Size: No Preference Category: Legal
Skills
acquisitions, contracts, Credit, clients, databases, database, Derivatives, documentation, equity, senior management, funds, Futures, ISDA, law, legal, mergers, Money, office, organizational, Paralegal, prime, profit, programmer, securities, Swaps, tax, trading systems
Additional Information
- Work Status: US - I am authorized to work in this country for any employer. Active Security Clearance: No Target Job: Target Job Title: Paralegal Alternate Target Job Title: Compliance Desired Job Type: Employee Desired Status: Full-Time Target Company: Company Size: No Preference Category: Legal Target Locations: Selected Locations: US-MN-Minneapolis US-MN-St. Paul Relocate: No
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Resume Overview
School Attended
- Bethel College
- Minnesota Paralegal Institute
Job Titles Held:
- Senior Paralegal-Regulatory/Compliance
- Senior Paralegal
- Paralegal
- Paralegal Director & Officer
Degrees
- Bachelor's Degree
Bachelor of Arts : Organizational Management
Paralegal Certification
US-MN-Wayzata Certification Paralegal Certificate
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