Quality Control Real Estate

WORK EXPERIENCE

Deutsche Bank . New York, New York Compliance/Legal

Consultant, 8/2012-present

. Created key operating procedures for compliance manuals, including

updating for regulatory changes/SEC audits and streamlining processes

to create manageable, long-term solutions.

. Oversaw implementation of Title VII of the Dodd-Frank Wall Street

Reform and Consumer Protection Act by conducting CFTC Swap Dealer

Registration, including creating policies, conducting quality control,

documenting results, and identifying potential risks.

. Analyzed trade surveillance reports, created alerts, performed

investigations, and documented outcomes to manage broker-dealer

surveillance risk and to ensure internal and regulatory compliance for

both employee and institutional trade monitoring specifically trading

ahead of research, trading ahead of market events, watch list, and

restricted list.

. Addressed inquiries from various business units throughout the company

to ensure compliance with new company policies and procedures,

applicable laws, and regulations.

. Trained and oversaw junior anlayst on new operating procedures.

Brown Brothers Harriman . New York, New York Legal

Consultant, 4/2012 - 7/2012

. Managed due diligence contractual risk investigation into BBH's PWM

line of business to help identify and address future risk exposure for

BBH's business strategies.

. Evaluated potential risks and outlined plan to address specific issues

for investment management clients, including outsourcing and

acquisitions dealing directly with BBH's Risk Management Group,

Compliance Group, and Global Services.

. Created a database to track investment management contracts to

minimize contractual risk, identify client issues, and maintain client

relationships.

. Negotiated service, operational, and technology contracts with third

party vendors for the Office of the General Counsel.

Tower Legal Consulting . New York, New York Legal/Compliance

Consultant, 2010 - 2012

. Conducted compliance, quality control, and technical issue reviews for

major litigation cases, regulatory overhauls and internal

investigations for clients in the financial services industry.

. Planned and conducted examinations to evaluate compliance regulations

concerning evolving consumer banking regulatory issues like AML/KYC

documentation issues, due diligence standards, and insider trading

investigations.

. Planned and conducted examinations regarding BSA, AML/KYC, OFAC, FCPA,

1933 Act, 1934 Act, and 1940 Act regulations and other federal

securities laws.

. Assessed the quality and effectiveness of a client's procedures to

prepare for trial or a new regulatory environment while evaluating the

client's unique position and legal situation.

Second City Realty . Chicago, Illinois

Partner, 2006 - 2009

. Owned and operated boutique real estate brokerage and development

company.

. Practiced real estate law, managed sales, obtained financing, and

worked closely with developers to streamline projects.

EDUCATION AND LICENSES

M.B.A., University of Cape Town; Cape Town, South Africa; December 2009

J.D., DePaul University College of Law; Chicago, Illinois; December 2006

B.A., Business and Marketing, Michigan State University; East Lansing,

Michigan; December 2000

Licensed to practice law in the State of Illinois, 2007

Certified Anti-Money Laundering Specialist (CAMS) 2013

Systems: Microsoft Office Suite, Actimize, Bloomberg, Lexis Nexis, Westlaw,

Cresta, World Check, Intuit, Relativity, Clearwell, and Lotus Notes.

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