KIERSTIN M. SHIMMEL

917-***-**** (c)

acvvhz@r.postjobfree.com

JP Morgan Asset Management: Latam Private Wealth-Consultant New York, NY 11/14-7/15

Investigation of HNW, and high risk clients conducting enhanced due diligence and research to meet AML requirements of the Bank. Ensure consistency between client and sales force provided documentation and information. Perform research through internal and external databases, write requirements for collection of data and verify accuracy to identify gaps, errors or missing parties. Work with clients and Banker Teams to ensure regulatory requirements for client retention have been met.

BARCLAYS- Consultant New York, NY 10/13-5/2014

Compliance analyst for Personal Account Dealing remediation and audit of employee accounts, re-establishing and documenting Global Policy initiatives under a revamped Global Compliance Services group. This process involved the enhanced due diligence review, remediation and surveillance of personal trading accounts, outside interests and personal investments of over 7,200 employees in the Americas.

ST. GEORGE REALTY – Sales Assistant Penn Yan, NY 7/-2009-9/2013

Acted as liaison for broker to banks, title companies, attorneys and clients to expedite closings and assure a smooth transition for buyers and sellers as clients of the agency. Followed up with home inspectors, surveyors, managed appointments for photographers and service personnel, proofread all advertising and assured all documentation was prepared, executed and delivered for closings. NYS licensed as a Sales Assistant in October of 2010.

JP MORGAN CLEARING CORP. – Consultant New York, NY 11/2008 – 6/2009

Documentation Specialist in Prime Services responsible due diligence and remediation of former Bear Sterns accounts for BSA and KYC/AML compliance. Drafted responses for due diligence questionnaires of prospective investors. Developed documentation process to enable clients to short stock in Hong Kong.

CREDIT SUISSE SECURITIES (USA) LLC –Consultant New York, NY 6/2007-4/2008

Regulatory Writer for legal and compliance groups drafting and issuing regulatory highlights and alerts to compliance officers for rule changes of the SEC, FINRA, NYSE, FinCEN, OCC, BSA, OFAC and international regulators. Wrote: (i) presentations for Global Chief Compliance Officer; (ii) revised policies

UBS SECURITIES LLC New York, NY 5/2005-5/2007

Senior Documentation Specialist for legal, prime brokerage and hedge fund services on special project to globally re-document account agreements, margin, re-vet clients for KYC/CIP/AML/BSA issues as well as corporate authority, tax and all constituent documentation.

GOLDMAN SACHS & CO. Consultant New York, NY 8/2003-4/2005

Senior Documentation Specialist and negotiator for prime brokerage legal group. Negotiated account, margin loan, confidentiality and custody agreements for hedge fund clients. Worked directly with business, credit and risk groups to resolve business issues, as well as negotiate transparency, trading authority, CIP/KYC/AML/BSA and confidentiality for investment advisers.

DREYER AND TRAUB - Paralegal New York, NY 9/1980-7/2003

Drafted documentation, cleared title and conducted closings for mid-sized real estate based law firm while maintaining over 20 active client boards of directors. Closed over 3,000 co-op and condo units on behalf of banking clients. Drafted resolutions, secretary and incumbency certificates, corporate and LLC formation documents and all ancillary commercial real estate documents as required by attorneys. Developed and wrote program for in-house teaching of paralegals and first year associates.

EDUCATION State University of New York at Buffalo; BA completed in two years.

Magna cum Laude, Phi Beta Kappa