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Regulatory Coordinator

New York, New York, United States
January 14, 2018

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LauraAnn Millard

*** **** **** ******, ***. *A, New York, NY 10021

Phone: 212-***-**** (H)/917-***-**** (C)



Proficient in MS Word, Excel, PowerPoint, Outlook, Lotus Notes, Jovaco Expense Reporting, Concur Expense Reporting, Workflow Invoicing Systems, Abacus and eCounsel case management databases (legal tracking), Great Plains accounting database, XCM Tracking, CMS Expenses, CRM contact database, Dictaphone, CSC and NMLS databases


11/2017 - Present Natixis Investment Bank New York, NY

Regulatory Coordinator (Assignment Ended)

●Support exam management for external regulatory agencies with respect to internal and external audits; correspond with regulatory agencies regarding specific document requests and first letter requests

●Coordination and scheduling of all monthly and quarterly continuous monitoring meetings using common calendar

●Assist in the preparation of background materials; document coordination, tracking and monitoring for all audits and exams

●Responsible for intake and output of related documents, document management (including cataloging and organization)

●Preparation of documentation including PowerPoint presentations, as needed

●General calendar management, travel (international and domestic), meeting logistics and other administrative responsibilities, as required for Managing Director, Head of Regulatory Department

●Calendar management, meeting logistics and other ad hoc projects as necessary for the Regulatory Team

6/2016 – 6/2017 Roosevelt Management New York, NY

Paralegal (Assignment Ended)

●Company and Mortgage Professional Lender License submissions from onboarding, tracking, monitoring and completion

●Compiled and analyzed documentation for compliance with licensing regulations

●Company and Mortgage Professional license renewals using the Nationwide Mortgage Licensing System (NMLS) database

●Generated reports for Manager on Mortgage Professionals status with respect to their licensing

●Monitored all Company and Mortgage Professional renewals

●Written and verbal communications with State Regulators and Mortgage Professionals to resolve license issues while building excellent working relationships

●Maintained Corporate Minutes and Consents using CSC database

●Corporate Housekeeping of Minute Books (i.e., Board of Directors Minutes and Consents)

●Maintained and updated Officers Lists for all Company Entities

2/2016 – 3/2016 WeizerMazars New York, NY

Administrative Assistant to Tax Partners (Mutual)

●Reconciled billing/accounting issues; coordinated bills and payments; assisted in the completion of various tax forms; emailed Clients and performed additional ad hoc administrative functions

●Responded to Client requests/inquiries; entered, updated and maintained contacts in CRM and Outlook

●Prepared and submitted expense reports

●Ordered supplies and equipment as necessary

●Provided back-up for Reception

●Created Tax Organizers, POAs from templates and other documents, as necessary

●Booked travel arrangements, coordinated meetings and itineraries

●Managed workflow and tracked tax documents using XCM database

7/2011 – 4/2015 Guidepost Solutions, LLC New York, NY

Executive Assistant to C-Level Executives (Managers left)

●Managed wide array of business ensuring smooth workflow

●Acted as Gatekeeper by scheduling very active appointment calendars, arranging international and domestic travel, responding/fielding incoming calls

●Drafted correspondence, edited PowerPoint slides for reports and presentations; effectively managed day to day administrative duties

●Established and maintained excellent working relationships both internally and externally with domestic and international professionals, Clients and vendors

●Maintained confidential information and excellent work ethic

●Coordinated dinner reservations and managed credit card expenses

●Provided occasional backup for receptionist, administrative assistants and office manager

●Database input of pre-bills and subcontractor invoices

10/2000 – 5/2010 Avon Products, Inc. New York, NY

Executive Assistant/Paralegal to General Counsel and C-Level Executive (Company downsized)

●Handled wide range of business functions for Legal Department; liaised with internal departmental project teams and Clients; created and managed projects from inception to completion

●Responsible for entire subpoena process, medical and representative information, requests from Courts, Attorneys and EEOC Agencies

●Orchestrated, facilitated and implemented guidelines and training for HR, Medical, and Payroll with respect to subpoena requests and coordination of information

●Analyzed information compiled for subpoena responses to ensure compliance with state laws

●Maintained case index using Abacus database; prepared and processed case profiles and intake of matters

●Collaborated and partnered with counsel, both external and internal; worked with human resources, vendors, Courts, Agencies and other associates with respect to research and development of policies and employment related issues; standardized practices and ensured compliance with government regulations

●Set-up and storage of legal files, pleadings and other documentation

●Monitored all litigation and EEOC charges using database system

●Researched and investigated facts; conducted additional investigations with respect to legal proceedings and discovery

●Administered and managed Legal Library; decreased spending costs by 20%; negotiated pricing with vendors and authorized purchase of publications

●Answered phones; generated expense reports; calendared meetings and conference calls; typed memoranda and other correspondence


10/1999 – 10/2000 New York, NY

Swiss Re/Securitas Capital

Executive Assistant to General Counsel

1/1995 – 9/1999 New York, NY

Burlington Industries/J Crew

Legal Assistant to General Counsel and Paralegal


Marymount Manhattan College – Paralegal Studies

Completed Program with 4.0 GPA, receiving a Certificate with Distinction

Courses of Study: Litigation, Trust & Estates, Contracts, Corporations, Landord & Tenant, Legal Research (Lexis Nexis)

Grover Cleveland High School – Business/Academic Studies

Graduated with honors, receiving Blue Cord


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