Manager Vice President
Resume:
Irina Alter
Hewlett, New York *****
*****.*****@*******.***[pic]
July 2010 - March 2011 UBP Asset Management New York, New York
Vice President, Qualitative Research Process Manager
Managed the Firm's hedge fund research and approval process
Managed the legal research process and the negotiation of agreements with
selected hedge funds
Reviewed and approved recommendations for all underlying hedge fund
corporate actions
Attended and managed minutes for all meetings of the Hedge Fund Manager
Selection Committee and the Investment Committee
Updated and Certified Compliance with the Firm's Qualitative Research
Policies and Procedures
Interacted with senior members of the Firm globally in Research, Audit,
Compliance, Legal, Technology, and Sales/Marketing in the supervision of
numerous projects
May 2006 - June 2009 Wachovia Securities New York, New
York
Vice President, Attorney
Investigated, analyzed and resolved pre-arbitration/litigation disputes in
U.S. and Latin American branches
Provided prompt legal service and opinions to business clients and senior
management
Made recommendations to internal business clients regarding appropriate
response to allegations of misrepresentation, unsuitability, churning, and
unauthorized trading
Responsible for uncovering, highlighting, and assisting in the resolution
of global legal and business issues discovered during the investigation
process, such as FA issues, product issues, operational or other issues
involving recurring trends and for contributing legal advice on policy and
procedure issues
Prepared written responses, handled settlement negotiations and prepared
settlement agreements
Investigated and responded to fraud claims and advised fraud unit on
investigations and SAR filings
Responded to regulatory inquiries from FINRA, NYSE, SEC and State
Regulators
Assisted in efforts to contain legal expense for the corporation
Managed the financial, reputational and regulatory risks of the firm
April 2004 - April 2006 Merrill Lynch New York, New
York
Consultant / Attorney
Assisted in the development and implementation of the Early Case Evaluation
risk assessment program
Prepared Early Case Evaluation guidelines and procedures
Managed the development of the Early Case Evaluation electronic litigation
tool
Managed Outside Counsel and the Early Case Evaluation team
Participated in case evaluation meetings with outside counsel to assess
case merits and strategies for resolution
Provided status reports and trends analysis to senior management and
business clients
Reduced outside counsel costs
July 2000 - March 2002 Goldman Sachs & Co. New York, New York
Consultant
Responsible for the training and education of U.S. and Global consultants
on the firm's policies and procedures regarding insider trading,
proprietary information, and the Chinese wall.
February 1998 - June 2000 Sanford C. Bernstein & Co. New
York, New York
Registration Representative
Managed registration team and process
Counseled firm personnel on registration regulations and policies
Tracked Regulatory Element and Ethics Training
Managed Regulatory filings
EDUCATION
Brooklyn Law School, Juris Doctor February, 2004
Hofstra University, Bachelor of Arts June, 1995
BAR ADMISSION
New York
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