Insurance Sales

L.R. Harris

347-***-**** ******@*****.***

* *******

Corporate Paralegal and Compliance Professional with asset management,

corporate law firm, lending, and insurance experience. Demonstrated

excellence in researching, secured lending transaction closings, contract

review, internal auditing. Equally comfortable serving as an individual

contributor or team member. Attuned to the changing regulatory

expectations and understanding of the challenges faced by financial

institutions and law firms. Effortlessly handles multiple projects of

different scope and complexity simultaneously.

2

3 CONTRACT WORK EXPERIENCE

Citigroup, Inc. June 2012 - April 2013

Capital Markets Documentation Unit - Legal

Department

Paralegal Consultant

Provided Paralegal services to Capital Markets Legal Group Vice President

and ten ISDA negotiators.

Managed documentation process for weekly fund additions to ISDA agreements for

platinum level clients.

Reviewed all incoming ISDA and Futures agreement requests from Credit

Department.

Drafted and negotiated FX Designation Notices and Termination Agreements.

Executed and returned high volume of Foreign Exchange Designation Notices for

daily trading.

Generated and updated monthly report of all outstanding negotiations.

Tracked all negotiations greater than 180 days and forwarded alerts for each

ISDA negotiator.

Managed SharePoint site for Executing Broker Foreign Exchange transactions.

Allianz Global Investors U.S. Holdings, LLC April 2011 - March 2012

U.S. Retail - Legal Department

Paralegal Consultant

Consulted with the Legal Department on broker-dealer agreements. Revamped

the process for

the intermediary agreements and vendor contracts for the legal department.

Researched corporate history

and assessed the status of client relationships.

Lead project analyzing vendor contracts work stream.

Provided comparative analysis of vendor contracts and departmental resources

to determine resources required to efficiently manage vendor relationships.

Lead quarterly PowerPoint presentations for the CEO and General Counsel of

U.S. Retail. Navigated differing priorities of C Suite stakeholders.

Developed evidence and analysis in support of extending the scope of the

project.

Enforced regulatory monitoring process in compliance with the Investment

Advisers Act of 1940 and FINRA.

Researched, analyzed, and reported on existing and potential client

relationships.

Drafted and finalized anti-corruption and privacy language in vendor contracts

and broker-dealer agreements.

Smith Abbot, LLP, New York, NY October 2010 - February 2011

Document Review - Paralegal

Conducted examination of asbestos related documents for Plaintiff's

counsel, pursuant to court order.

Performed due diligence research of marketing materials, human resources

records, and insurance policy

documents spanning a thirty year period. Analyzed the content of documents

and determined which items

would be considered "Privileged" or out of scope.

Chartis Insurance, New York, NY February 2010 - May 2010

Compliance Specialist

Analyzed all vendor insurance licenses pursuant to internal compliance

procedures. Monitored fidelity and

errors and omissions insurance policies. Managed vendor inquiries regarding

regulatory requirements.

Contract review and administration.

Administered state regulations for institutional and individual insurance

adjusters.

Managed complex data using Access, Excel, and internal web applications.

Chartis Insurance, New York, NY October 2009 - January 2010

Paralegal

Reviewed and standardized insurance policy riders for Executive Errors

and Omissions insurance policies.

Maintained new policy riders on the DOCS Open electronic document

management system.

L.R. Harris Page 2

4 PROFESSIONAL EXPERIENCE

CIENA CAPITAL LLC, New York, NY March 2001 - June 2008

Compliance Officer

Performed compliance audits on loans extended under U.S. Small Business

Administration ("SBA") 7(a) Loan program. Reviewed residential and

commercial Title Insurance Policies, Mortgages, Deeds of Trusts, Surveys,

and UCC's for proper lien position. Presented daily status reports of

outstanding compliance issues. Liaison for inquiries from SBA, researched

compliance issues, and formulated responses to SBA.

Increased guaranty funds by proving compliance with SBA rules and

regulations.

Instituted highly efficient process of submitting documentation to SBA for

loans in liquidation.

Managed the collection of compliance related materials for the Liquidation

Department processes.

Educated administrative personnel on the subject of the guaranty purchase

process and acquiring guaranty funds from SBA.

Researched internal inquiries and provided accurate policy information to

liquidation department officers and executive management.

Maintained compliance and eliminated risk of SBA rejecting documentation

and denying guaranty funds.

INTERWORLD CORPORATION, New York, NY May 2000 - Jan. 2001

Paralegal

Managed templates for Non-Disclosure Agreements, Sub-Contractor Agreements,

Professional Services Agreements, and Software License Agreements.

Processed legal opinions for restricted stock sales (Rule 144, Rule 144(k)

of the 1933 Act, and Rule 701 of Regulation D).

Managed inquiries regarding restricted stock sales and blackout periods.

Corresponded monthly with the Board of Directors.

Conducted training for executives regarding trading blackout phases and

restricted stock sales.

Drafted, negotiated, and managed Software License Agreements, Software

Escrow Agreements, and Professional Service Contracts.

Updated source code escrow accounts for clients.

Coordinated with Compliance in other divisions, as well as business

management personnel.

METROPOLITAN LIFE INSURANCE COMPANY, New York, NY Oct. 1998 - May 2000

Securities and Investments Paralegal

Maintained subsidiary investment maturity records.

Researched investment related class action lawsuits.

Compiled documentation for Federal Reserve Board regulatory filings.

Completed National Association of Insurance Commissioners / Securities

Valuation Office regulatory submissions.

Coordinated monthly collateral perfection process in compliance with the

Uniform Commercial Code (UCC).

SIMPSON THACHER & BARTLETT, New York, NY Feb. 1997 - May 1998

Corporate Paralegal

Researched client SEC filings (10Q, 10K, and 8K).

Monitored EDGAR filings for SEC compliance.

Performed legal due diligence for UCC Financing Statement process.

VOLUNTEER

FLATBUSH DEVELOPMENT CORPORATION, Brooklyn, July 2008 -April 2010

NY

Volunteer Chairperson of Sponsorship-

Flatbush Frolic 2009 and General Volunteer

SUSTAINABLE FLATBUSH, Brooklyn, NY June 2008 - April 2010

Vendor Coordinator and Gardening Committee

Member

5 SKILLS

MS Office (Word, Excel, PowerPoint, Outlook, Access, Publisher);

SharePoint, DOCS Open, Adobe Acrobat.

6 EDUCATION

SARAH LAWRENCE COLLEGE, Bronxville, New York

BA Liberal Arts, Political Science and History

OXFORD UNIVERSITY, Wadham College, Oxford, UK

Study Abroad Program, Public International Law and South African History

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