Professional Experience Financial Services

Grace M. Williams

**** ****** **** **. ********** GA, 30004

ac1qz4@r.postjobfree.com (Mobile) 917-***-****

OBJECTIVE: These are the areas of my profession that I have been working on over the past five years, Banking and Compliance Professional (Certified) with 5+ years of financial services experience in AML and Sanctions, Risk Assessment, Compliance, KYC, EDD, Fraud analyst. Expertise in AML investigations using transaction monitoring of clients’, high risk customers, compliance of OFAC, PEP and other alerts. Experienced in review and analysis of data to write comprehensive supporting, investigation narratives and Suspicious Activity Reports (SAR’S), keen eye for details. I now am seeking employment with a company that will give me the opportunity to enhance my experience to the next level so that I can fulfill my attributes for success in the workforce.

SUMMARY OF QUALIFICATIONS: Dedicated Paralegal with 10+ years of experience with a proven track record. Successfully assisted in Litigations from discovery to trial in White Collar, Patent, Foreclosure, Human Rights, Employment Law(wages, wrongful termination & labor relations), Personal Injury, Product Liability, Immigration, Contracts, Asbestos, Pro Bono, Bankruptcy and Banking/Financial matters.

PROFESSIONAL EXPERIENCE:

HSBC, USA

Client Service Analyst 03/16-04/17

Responsibilities included but not limited to: Work with COB (Client Onboarding) domestic and international accounts and other internal stakeholders to understand deal structure and retrieve relevant KYC requirements; Assist in Merger & Acquisitions documents, review ISDA master agreement, identifying entity type to determine KYC/ACH/PEP requirements to be requested from clients; Liaise with clients to gather all applicable RR/CDD/EDD requirements; Review RR/EDD KYC documents received from client to determine such documents are valid with the applicable policies and procedures; Work with COB to track and follow up on the RR/EDD to ensure a timely completion; Arrange for document storage in accordance with applicable HSBC procedures; all other duties as assigned.

CITI CORP, LONG ISLAND CITY, NEW YORK 06/14-12/15

Compliance Analyst – BSA/AML Investigator – FIU Dept (Contract)

Responsibilities include but not limited to: Execute investigations based on Client On-boarding; Maintain Transaction Monitoring referrals; Track escalations received from Government sources and 314(a) name matches and 314(b); File SARs (reports which explains the who, what, where, when and why of clients who are deemed suspicious because of their demeanor, their transaction amount, or who may be under surveillance by Federal agencies) SAR’s are completed semiannually on customers and entities deemed to be high risks; recommend relationship retention or termination, and track account closures as required; Coordinate Global high-risk investigations working closely with Legal and CSIS to conduct name searches; Resolve matches identified during the on-boarding and maintenance processes; Prepare case files for review by the investigative team; all other duties as assigned.

NEW YORK STATE DEPT. OF FINANCIAL SERVICES 07/13 - 4/14

Litigation Paralegal - Banking (Contract)

Responsibilities included but not limited to: assisting attorneys with International and Domestic Anti Money Laundry case, i.e. organizing and maintaining large electronic data files provided for investigation of financial institutions. Conduct research of electronic discovery database, statues, regulations and case law as request by attorney; review and summarize searches; coordination and organization of binders regarding OFAC, SDN sanctions list; establish relationships and liaise with other departments on a regular basis; all other duties as assigned.

MORGAN STANLEY WEALTH MANAGEMENT - NEW YORK, NY 10/12 - 6/13 Paralegal Analyst – Legal & Compliance (Contract)

Responsibilities include but not limited to: Respond to Third-Party subpoenas ( Federal, Civil, Criminal, SEC, FINRA and IRS); Monitor pledge accounts and payout requests; correspond with issuing counsel to discuss personal appearance related to trial subpoenas; prepare and review client agreements and amendments, including investment management agreements and non-disclosure agreements; work with attorneys and Client Service team on new client on-boarding, review new account documents; prepare new client futures account documentation, interact with futures commission merchants; Providing legal support to attorneys and outside counsel on litigation subpoena matters; Review of securities offering documentation related to prospective portfolio investments; preparing legal filings and corporate governance documents; performing legal research; manage and contribute to ad hoc and long-term projects.

CTR. FOR SOCIAL JUSTICE (SETON HALL LAW SCHOOL) - NEWARK, NJ 06/10 - 08/12

Paralegal - Civil Rights & Constitution Litigation Clinic Civil Litigation Clinic, Immigration Clinic

Responsibilities included but not limited to: Assisting attorneys/professors with case management i.e. document retrieval and organization; prepared and issued subpoenas, affidavits, conflict check, notice of deposition, designation of deposition testimony for trial, bates stamping/labeling; substantial document review for depositions, hearings and trial preparation; liaison between clients and attorneys, opposition counsel and courts; prepared briefs and exhibits with attention to relativity, blue booking, cite checking and sherardizing; charged with conflict checks; completed and submitted employee travel and expense reports; appeared in Court as necessary; all other duties as assigned.

SULLIVAN & CROMWELL LLP, NEW YORK, NY 07/07 - 06/10

Litigation Paralegal (Contract)

Responsibilities included but not limited to: Assisting partners/associates at all stages of litigation including document collection, review for responsive and/or privilege and production, e-discovery, researching precedent preparation for depositions and trial, review and organization of materials for use by team attorneys, coordinate preparation of electronic presentations and litigation support function. Responsibilities included client contact, overseeing production log, Create chronological and subject matter binders, prepare event chronologies privilege log and redaction log. Assist with trial logistics, including setting up the war room(s), reserving office space, and securing necessary equipment and supplies. Cite-checking, sherardizing Ccoordinate collection and assembly of materials in connection with preparation of sworn statements, Records on Appeal and joint appendices. Prepare for and attend depositions of fact and expert witnesses and schedule and track depositions, filing deadlines, conflict check and other case related deadlines.

All other duties as assigned.

SIROTA & SIROTA, LLP, NEW YORK, NY 01/01 - 05/07

Litigation Paralegal

Responsibilities included but not limited to: Assisting Security litigation attorneys in all phases of litigation process from case inception to deposition/trial/settlement; organized case files; monitor court calendars; proofread, edit, cite and fact check documents; personally and electronically file documents in all New York area courts; compile and organize exhibits for depositions, hearings and trials; manage document production; organize documents for discovery, motions, trials and pre-trial planning; liaison between the attorneys, courts and clients; prepare pleadings; prepare discovery and correspondence binders; assisted attorneys as necessary; All other duties as assigned.

EDUCATION:

John Jay College of Criminal Justice, NY

B.S. (Legal Studies) - 1998

Bronx Community College, Bronx, NY

A.S. (Paralegal Studies) - 1993

TECHNICAL SKILLS:

MS Office Suite 2010, ClientVision, S&P Capital IQ, Moodys, ISB, Global Links, CARM, HORIS, Google Finance, KYC (Know Your Customer),World-Check, NETX-360, SAR (Suspicious Activity Report), Single Sign On (OneSource), QuickScreen, Actimize, CitiSmart (13-900/33NCIS), E-CAD, CIF (Customer Information File) SYS-K, NESS, e-Sales, RBAD/BADI, Citi screening Solution (CSS/CS3), ACCESS, Concordance, Blue Booking, Sherardizing: Westlaw, Lexis, Summation, Lotus Notes, Live Notes, iManage, DeskSite, CaseMap, Adobe Acrobat XP, WebTop, TyMetrix

(-360), iWinn\3D, PWM Launcher, SharePoint, Time Matters, OnDemand, Pacer.

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