LEGAL SPECIALIST III INVESTMENT BANKING SUBPOENA COMPLIANCE Summary Certified paralegal extensive legal background, excellent supervisor skills Investment Banking knowledge, seeking position within Financial Industry knowledge legal terminology, banking laws, regulatory policies procedures would fully utilized expanded. Highlights CORE SKILLS Advanced Monitoring Regulatory Compliance Protection Customer's Rights Risk Management High-Risk Investigations Quality Efficiency Assurance Investment Banking Strategic Thinking Policy Procedure Development Regulatory Affairs Loss Mitigation Complex Administrative Skills COMPUTER KNOWLEDGE WordPerfect Microsoft Word Excel PowerPoint Outlook Time Map MA 3000 LawDrill eRoom CourtExpress Courtlinks Lexis-Nexis Westlaw Live Edgar Pacer Summation Concordance Trial Director Shepardize Cite Check Blue Book e-discovery NYSCEF ITC BPAI TTAB Intralinks PAIR Access Equliar Clearwell Stratify. Notary Public Advanced Monitoring Advanced Monitoring Regulatory Compliance Protection Customer's Rights Risk Management High-Risk Investigations Quality Efficiency Assurance Investment Banking Strategic Thinking Policy Procedure Development Regulatory Affairs Loss Mitigation Complex Administrative Accomplishments 2008: Nominated "Paralegal Year Award" American Association Justice 2003: Awarded Employee Month 1999: Awarded Miss Congeniality 2015: Member Rewards Recognition Committee 2010: Member National Federation Paralegal Associations 2009: Presentation Paralegal Trial Procedures Duties 2007: Legal Staff Profile, article written Law Crossing 2005: Labor Employment Newsletter: State Minimum Wage Guide 2004: Diversity Sensitivity Training clients including staff management 2003: Article: You're Hired Let's Arbitrate Experience Legal Specialist III Investment Banking Subpoena Compliance December 2013 Current Company Name － City State Create data analytics related complex compliance financial investigations, experience banking environment familiar various financial products. Responsible complex Investment Bank investigations analysis ensure bank-wide compliance Bank Secrecy Act (BSA), USA Patriot Act, Office Foreign Asset Control guidance published FinCen, FDIC, Federal Trade Commission (FTC) US Treasury Department. Assessing risk customers Bank including reviewing Anti-Money Laundering (AML) Suspicious Activity Reports (SARs) investigations. Communicating effectively, verbally written, supporting GIRE, GS&I, AML internal regulatory departments. Construct filters queries refine e-discovery reviews attorneys LDM Department. Prepare objections subpoenas negotiate scope bread request. Knowledge financial industry investing banking practices including mergers, acquisitions, capital markets, equity research, securities clearing prime brokerage. Benefit Consultant Agent April 2013 November 2013 Company Name － City State Conduct seminars Healthcare reform Detailed-oriented excellent research, investigative reporting skills. Extensive knowledge substantive procedural aspects Insurance industry. Provide information 12 supplemental insurance products potential clients Research changing Healthcare laws Tax Regulations New Jersey New York Training sell mutual funds, annuities, securities, retirement plans insurance products. Case Supervisor Project Management Professional October 2000 April 2013 Company Name － City State Responsible managing 5-15 paralegals cases, projects, trials appeal assignments Coordinate delegate assignments cases junior paralegals temporary support staff Supervise, hire, train support paralegals firm's New York, New Jersey Boston offices Boost staff morale improve teamwork accessible hours problem resolutions Redesigned paralegal staff forms greater effectiveness e-discovery tools Strong analytical skill willingness deal solve on-going unique situations Senior Trial Paralegal, Intellectual Property Assist NY, NJ, CA TX offices trademark infringement internet counterfeiting matters Manage US foreign patent prosecutions. Handle utility design patents 10 claims Prosecute patents cases International Trade Commission Board Patent Appeals Interferences Deal unfair competition, trade secrets, false advertising, patent copyright infringement issues Senior Trial Paralegal, Labor Employment Assist 5 attorneys areas labor law issues including employment, union, wage hour, FLSA, ERISA Collaborate attorneys Federal State trials involving ADA, harassment litigations, domestic violence workplace, employment agreements, separations, wage hour issues ERISA liability Provide support claims executive compensation, fiduciary, professional liability Alternative Dispute Resolution, arbitration, medication, NASD, EEOC levels Draft current editions sensitivity training guides, employee handbooks, management policies employment agreements collective bargaining agreements Trial Paralegal, Corporate Basic knowledge areas corporate, securities,venture capital, private equity transaction Analyze proxy statements, officer questionnaires, forms 10-K, 10-Q 8-K compliance. Involved officer director stock transactions, employment. Review analyze SEC, Equity Capital Market (ECM) acquisitions documents. Paralegal, Litigation Assist trial preparations creating trial notebooks plaintiff defendant witnesses witness outlines, deposition digests, pleadings, motions, orders, potential trial exhibits Digest deposition hearing transcripts computer database Identify accumulate background information opposing counsel's witnesses experts Create, manage, scan, code edit index discovery production including correspondence, pleadings, bates stamped documents electronic computer database. Create discovery privilege logs. Assistant Office Manager Paralegal Asbestos, Lead Insurance January 1999 October 2000 Company Name － City State New York, New York 01/1999 10/2000 Assistant Office Manager Paralegal Asbestos, Lead Insurance Paralegal, Personal Injury March 1997 January 1999 Company Name － City State Paralegal May 1996 March 1997 Company Name － City State Securities Education License Life Health Insurance 2012 New Jersey State Life New Jersey State Life Health Insurance License 2012 Certification Paralegal Studies Program 1996 Benjamin N. Cardozo School Law － City State US ABA approved Certification, Paralegal Studies Program, General Practice 1996 Bachelor Arts Sociology, Criminal Law 1995 Fairleigh Dickinson University － City State US Fairleigh Dickinson University, Teaneck, New Jersey Bachelor Arts Sociology, Concentration Criminal Law 1995 Certifications Project Management Professional ABA PMP Affiliations Rewards Recognition Committee Additional Information Manage US foreign patent prosecutions. Handle utility design patents 10 claims Skills Paralegal, Securities, E-discovery, Training, Ada, Advertising, Cases, Claims, Compensation, Correspondence, Database, Defendant, Deposition, Eeoc, Equal Employment Opportunity Commission, Erisa, Executive Compensation, Flsa, Intellectual Property, Labor Law, Liability, Litigation, Nasd, Patent, Patents, Plaintiff, Project Management, Sec, Trademark, Witness, Asbestos, Office Manager, Aml, Brokerage, Bsa, Business Systems Analysis, Capital Markets, Data Analytics, Fdic, Fixed Income, Investment Banking, Treasury Department, Annuities, Clients, Healthcare, Mutual Funds, Access, Award, Excel, Lexis, Loss Mitigation, Microsoft Word, Mitigation, Outlook, Pmp, Powerpoint, Regulatory Affairs, Regulatory Compliance, Risk Management, Trading, Westlaw, Word, Wordperfect