GEORGIAN M. HAMILTON

*** *. ********, **** ****

Chicago, Illinois 60601

Tel: 414-***-****

Email: acq07g@r.postjobfree.com

CAREER SUMMARY

Highly resourceful legal professional with 18 years of experience in a corporate setting within the financial services industry. Background includes:

Six Sigma Green Belt/ project management certified

Internal and external research: legal, legislative, corporate, governmental

Litigation file and corporate file management

Risk assessments, due diligence, corporate governance and compliance

Document preparation, corporate filings, policy writing and implementation

Toolkit/training material preparation and training presentations

Application proficiency: SONAR AML, MetricStream, Compliance EZ, AIMS, AML Tracker

Computer proficiency: Excel, Access, PowerPoint, Word, Project, Business Object, Sharepoint, proprietary databases, Microsoft Office Suite, Visio

Online research tools: Westlaw, LexisNexis, Diligenze, REM, Goldnet, Complinet,D&B

PROFESSIONAL EXPERIENCE

Metasphere Technologies, LLC, Chicago IL

Contract position: Corporate Paralegal: Responsible for management of IT solutions company including coordinating schedules, drafting, reviewing, editing and negotiating legal/ compliance documents, contracts, proposals, and office assistance with implementation of IT related solutions. Drafted and modified business proposal and conflict of interest documents. Received two promotions based on successful contract negotiation with clients.

Chicago Board Options Exchange (CBOE), Chicago IL

The largest U.S. options exchange and creator of listed options.

Regulatory Policy and Procedures Professional: Daily interaction with the Chief Regulatory Officer (CRO), Chief Deputy CRO and Director levels to insure compliance needs are communicated and compliance calendars are met. Managed several large projects centered on compliance which required me to lead a team of 5-10 people. Collaborated with industry experts, drafted and revised a variety of documentation, policies and procedures including regulatory examinations, investigation and surveillance procedures that correlate to regulatory requirements. Adapted Regulatory Division policies and procedures to manuals for various CBOE affiliated exchanges, monitored proposals with client exchanges based on the rules of the exchanges. Created and executed certification requests relative to Code of Conduct and regulations for auditing purposes. Planned and executed SEC, CFTC and NFA driven projects within mandated timeframes. Developed and delivered training to staff on a regular basis. Lead a team project wherein we consulted with KPMG for two months to identify best practices. Conducted GAAP related research and reporting.

Created and maintained repositories and develop a Thompson Reuters – Governance Risk Compliance platform to house all of the Exchange policies and procedures as well as establish tracking of compliance risks and controls.

Supported all responses for requests for regulatory program documentation such as those made by SEC, CFTC, the Regulatory Oversight and Compliance Committee, and internal and external auditors.

Coordinate meetings with KPMG to evaluate best practices and meet with/ had trainings for department heads to implement procedures. Also completed 80 hours of Options Institute training.

Federal Home Loan Bank of Chicago (FHLBC), Chicago, IL

The Federal Home Loan Bank of Chicago is a $68.6 billion wholesale bank, serving the needs of member housing finance institutions located in Illinois and Wisconsin.

6/2014- current

1/2013 – 6/2014

4/2010 – 12/2012

Corporate Paralegal: Support to Chief Compliance Officer, attorneys and auditors. Managed the compliance calendar, CCO calendar as well as the attorney’s calendars as they relate to compliance.

Reviewed application proposals by other banks regarding financial and regulatory qualifications for potential membership to FHLBC and made recommendations based on findings. Researched relative regulators (OCC rules, FDIC, CFTC, Federal Reserve, Dodd Frank, SEC, FINRA), and drafted weekly compliance reports to the executive team regarding updates relating to regulatory changes with FHLBC implications. Drafted a monthly Compliance Report for the Board of Director meetings and drafted quarterly compliance reports and minutes for Board of Directors, Audit Committee and the Operational Risk Committee meetings, summarizing significant changes and developments in legal regulation based on legal research. Responsible for administering and managing Code of Conduct policy.

Responsible for creating compliance tools to assist in the interpretation and the implementation of newly issued regulations for the business units at FHLBC. Conducted GAAP research and reporting.

Created policies and procedures and strategies to minimize operational constraints for the business departments and monitored compliance through testing gaps and deficiencies.

Analyzed test results and presented results to both the Compliance department and relevant business departments then made recommendations for resolution pertaining to audit findings.

Responsible for implementing processes and conducting trainings to identify compliance gaps and/or risk exposure and making recommendations regarding regulatory risks and controls.

Prepared and filed SEC findings and organized exam material to validate compliance program and audit findings.

Was key member of a steering committee which implemented a Governance Risk Compliance (GRC) software platform called MetricStream. The two year project required that I participate in calls with India, customize reports and reporting fields, create training material for the business units at FHLBC and conduct internal trainings. National Award was received from OCEG for its successful implementation.

US Bancorp Fund Services, LLC (USBFS), Milwaukee, WI

A subsidiary of US Bancorp, providing services for investment products. Portfolios serviced contain approximately $635 billion in mutual fund client assets and $39 billion in alternative product assets.

1/2008 – 7/2009

Compliance Officer: Provided on-going support to Chief Compliance Officers through oversight of the compliance programs at investment firms and oversight of policies and procedures at USBFS. Responsibilities included daily consulting and responding to compliance related risk inquiries and requests from investment advisors, weekly reporting and conference calls with CCO’s and investment advisors regarding SEC matters and concerns, coordinating and participating in monthly CCO forums located nationally, issued quarterly certifications along with reporting on procedural issues or compliance events, set meetings and documented processes around policy improvement to reduce compliance events, drafted and disseminated memorandum relating to changes in SEC requirements and conducted on-site audits and due diligence assessments of compliance programs at investment firms.

Participated on a team responsible for reporting on USBFS’s compliance in adhering to policies surrounding the servicing of 1,130 investment portfolios and 4.2 million shareholder accounts, issued quarterly certifications and reported to both the EVP and Board of Directors regarding procedure issues or compliance events. Prepared S-1, S-4 and S-8; preparation and filing via EDGAR Forms 8-K, 10-Q, 10-K, 13F, SH and Schedule 13D; Section 16 Forms 3, 4 and 5 filings.

Conducted Blue Sky filings for USBFS and audited the Blue Sky filings for investment firms.

Produced training material and conducted employee trainings relating to code of conduct.

Attended and participated in monthly compliance conferences and attended weekly training sessions provided by 1940 Investment Act experts.

Prepared a manual to be referenced by the company in evaluating and auditing compliance programs at investment firms. Topics included insider trading, privacy, data security, trade allocation, broker selection conflicts, liquidity issues, business continuity plans, rule 22c-2 compliance and 17a-7 compliance, FINRA adherence, NAV error and trade error correction procedures, and legal disclosure matters. SEC filings, incorporate documents.

Traveled nationally to conduct on-site audits of investment firms to assess their compliance programs and overall compliance culture, regulatory filings, corporate documents.

Georgian M. Hamilton

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Acted as the MST Fund Board of Director Liaison regarding compliance matters that impacted a Multiple Series Trust Fund and provided the Board with detailed quarterly risk reports relating to services by US Bancorp or compliance programs of related Investment Advisors.

GE Commercial Financial Services, Milwaukee, WI

A $17 billion international leasing business with over 35,000 customers. The largest lessor of sophisticated medical equipment in the US.

10/2002 -12/2007

Senior Corporate Compliance Paralegal: Responsible for the management of 156 financial documents/forms, including drafting, formatting, editing templates, creating merge fields for document users and communicating changes to applicable operations departments. Managed all of the incorporation and liquidation documents, managed all of the merger and acquisition activity. Responsible for managing 3 joint ventures. Led office departments in SOX compliance initiatives including policy writing, training and office Code of Conduct implementation. Completed documents for BOD meetings.

Received an award for successfully managing a team of 8 paralegals that audited 5600 accounts resulting in the office’s first profitable securitization effort. Managed 3 direct reports on an ongoing basis.

Received Green Belt Six Sigma certification. Using Six Sigma methodology, revised 100% of the deal documents to reduce the rate of document generation errors from 18% to less than 1%.

Created legal expense reporting and auditing processes to quantify department compliance deliverables and highlight the audit findings to the executive team during monthly meetings.

Developed database to trigger “early warning signs” of potential litigation or company liability, which allowed for issues to be addressed in a systematic manner. Increased turnaround times for resolution of customer issues and decreased legal fees associated with engaging outside counsel.

Award recipient for leading a team of employees from various GE offices and departments to create and successfully implement a changes in the Code of Conduct policy, which complied with changing legislature.

Assigned as member of GE Policy Review Board responsible for reviewing, editing and raising concern in relation to business policies.

Conducted quarterly compliance audits and surveys and created agenda for Quarterly Compliance meeting with top executive team to review global GE initiatives and office initiatives and to report out regarding progress.

Conducted metrics reporting relating to compliance and coordinated company wide trainings relating to competition laws, proper due diligence practices, aiding and abetting, conflict of interest issues.

Completed 320 hours of GE sponsored compliance and leadership training. The leadership training is only accessible to employees that exceed value add expectations.

Washington Mutual Home Loans, Milwaukee, WI

6/1995 – 10/2002

Paralegal: Responsible for managing corporate legal and compliance activities in the legal department and operations groups. Received two Service Quality awards for improving company communication thorough documentation of corporate documents assisted in a 2 year merger transaction.

Managed all expense reporting and established procedures and trained staff regarding an improved process for payment of attorney invoices, which resulted in a company savings of $250,000 in 2001.

Developed an office database that interfaced with AML reporting to audit and maps trends which reduced company losses.

Certified in mediation and arbitration via Resolute Systems. Negotiated settlements and represented company in mediation processes.

EDUCATION

Bachelor of Science May 1995 from Winona State University, Winona, Minnesota

Major in Legal Studies (ABA approved Paralegal program); Minor in Business

International Business Studies Program, Sunderland University, Sunderland, England

Marquette Law School (1 year)

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