Customer Service Management
Resume:
HEMAL RATHOD
** ** **** ******, ***. **H, Rego Park, NY 11374
***************@*****.***
PROFESSIONAL EXPERIENCE
EBUYMED New York, New York
October'10 -Present
Business and Compliance Director
. Manage a team of five individuals in a dynamic start-up environment in
developing a healthcare EHR/PHR system that is both compliant with
government regulations and able to assist physicians in obtaining the
meaningful use designations.
. Manage the development, implementation and maintenance of compliance
procedures and processes.
. Assist in the analysis and interpretation of applicable and emerging
laws and regulations such as HIPPA and the Patient Affordability act.
. Review marketing materials, including pitch books, business plans,
market commentary, etc., for accuracy and compliance with applicable
rules and regulations.
. Assist with the preparation and review of various other regulatory
filings including while creating and obtaining successful patents
through the USPO.
. Assist with a variety of special projects such as business
presentations for investors using excel modeling and PowerPoint.
ALLIANCE BERNSTEIN, White Plains/New York, New York
September'08 - November '09
Administrative Officer, Senior Sox Testing Specialist - Internal Audit
Department
. Performed SOX 404 audit testing for assigned business processes in
various international locations.
. Performed SOX 404 testing for all assigned business process. Document
all testing using formal test work papers following prescribed
Alliance Bernstein Work Paper guidelines.
. Validated design of controls and testing procedures to ensure
relevance to current business processes.
. Prepared and updated SOX 404 documents required for annual submission.
. Prepared status reports, identify deficiencies and develop remediation
plans for areas covered.
. Maintained all SOX 404 documentation for defined business processes
including Narratives, Flowcharts, Policies & Procedures, Risk and
Control Matrices in conjunction with the annual SOX - 404 submissions.
. Reviewed Internal Audit reports, narratives and audit programs to
identify any changes to in-scope business processes, primary controls
and identify most efficient testing strategies.
. Participated in special projects as assigned throughout the year such
SAS 70, Advisory and Outsourcing Reviews.
GOLDMAN, SACHS & CO, New York/Hong Kong
July'06 - August'08
Business Analyst/Internal Auditor - Legal, Compliance & Management
Controls Division
. Member of the global Finance, Banking & Risk and Securities team,
which were responsible for the risk oversight and governance of the
firm's Investment Banking, Private equity, Trading, Fraud,Operations,
Client services, Credit/ Market/Operational risk, Finance, Operations,
Human Capital Management, Investment Management, Trading and Corporate
services activities.
. Used analytical and problem solving skills to assess, control, report
and minimize the legal, regulatory and reputational risks arising from
the firm's businesses worldwide.
. Evaluated various business units and report on the design and
effectiveness of their controls, KRIs and KPIs.
. Executed and managed a number of full scale audits which include risk
and scope assessments, project planning, documentation of new and
existing controls, control design assessments and recommendations,
incident/fraud investigations, and issue resolutions with VPs,
Associates and Analysts on a variety of Goldman Sachs' businesses.
. Developed audit findings and documented business concerns, risks, root
causes, and recommendations in writing for inclusion in the Audit
Report. Present/communicate observations to line management. Secured
formal management responses to audit recommendations.
. Liaised with the senior management to ensure compliance with
applicable legal and regulatory requirements.
. Represented the interests of the firm in connection with regulatory
initiatives and inquiries.
OTHER WORK EXPERIENCE/INTERNSHIP
KUMON Queens, NY
July'11 -Present
Operations Manager
. Manage and operate an education franchise with close to 200 students
and 10 instructors.
. Ensure that students are making adequate progress with the assigned
curriculum and evaluating staff on their performance
. Managing customer service by ensuring speedy resolution of complaints
while marketing new services
FINRA New York, New York
January'13 -May '13
Enforcement Department - Extern
. Worked closely with an assigned Enforcement Director, staff attorneys
and investigators on eight different investigations.
. Assisted attorneys and investigative staff to investigate and initiate
enforcement actions against FINRA regulated firms and associated
individuals (typically, stockbrokers).
. Performed a variety of tasks including legal research and writing,
document review, as well as assisting staff to prepare for
investigative testimony and hearings.
. Observed on-the-record interviews and settlement negotiations.
NEW YORK CITY DEPARTMENT OF CONSUMER AFFAIRS New York, New York
January'13 -May '13
Judicial Extern
. Drafted hearing and "default" determinations for businesses within New
York City.
. Assisted Administrative Law Judges in reviewing the record and/or
researching and drafting legal memoranda.
MFY Legal Services New York, New York
August'12 -December '12
Consumer Right's Project - Intern
. Conducted client intake and discuss findings with staff attorneys and
supervisor at weekly meetings.
. Researched/drafted memos and motions for court filings primarily
focusing on consumer rights issues.
. Drafted client complaints for various state and federal agencies
outlining potential consumer abuses.
LAWS OFFICES OF N.M. GEHI Forest Hills, New York
October'10 - November'11
Legal Intern
. Researched and drafted memoranda on immigration, bankruptcy and
general litigation issues.
. Prepared and filed motions with appropriate courts and agencies.
Followed-up with clients and obtained necessary documents.
. Attended consultation meetings with clients and drafted meeting
summaries.
UNEMPLOYMENT ACTION CENTER New York, New York
September'10 - May' 13
Student Advocate and Outreach Coordinator
. Represented clients denied unemployment benefits from inception
through to final disposition of cases including researching, writing
and advocating at administrative hearings. Trained in administrative
procedures and advocacy.
OTHER WORK EXPERIENCE/INTERNSHIP
PEOPLEAGAINSTGUNS.COM, Lead Contributor and researcher
August'12 - Present
MERRILL LYNCH, Global Private Client Intern, New York, NY
August '05 - December'05
TRI-STATE FINANCIAL, Research Intern, Westchester, NY
September'05 - December'05
GUNNALLEN FINANCIAL, Finance Intern, New York, NY
May'05 - November'05
EDUCATION
BENJAMIN N. CARDOZO SCHOOL OF LAW, New York, NY
June '13
Juris Doctor
Activities: SALSA - Vice President, Outreach Co-coordinator Unemployment
Action Centre
External Activities: Alpha Kappa Psi NY Alumni Colony, NY City Bar Assoc.,
NY State Bar Assoc, NY South Asian Bar Assoc.,
ST. JOHN'S UNIVERSITY, PETER J. TOBIN SCHOOL OF BUSINESS, Queens, NY
May '06
Bachelor of Science - Finance Cumulative GPA 3.75, Major GPA 3.90.
Honors received: Magna cum Laude, Academic Excellence Scholarship 2002 -
2006, Dean's List: 2002 - 2006
Activities: VP- Alpha Kappa Psi, Captain - Mock Trial Team, Governor -
Federal Reserve Team, Beta Gamma Sigma -Honor Society
SKILLS
Technology and Applications: Advanced Excel (Financial Modeling-Wall street
Academy), ACL, Lexis, Westlaw,
PowerPoint, Word, Access (intermediate user)
Languages : Fluent: Hindi, Gujrati, Punjabi Conversational: French
Candidate - NYS Bar - July 2013, CFA candidate level 1 -December 2013
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