Former COO in IRD sales and trading, with experience in risk, regulatory, AML& OFAC, as well as technology, budgeting, policies, derivatives, audit, ISDA documentation, consulting, and project management, looking for senior role with global financial institution.

WORK EXPERIENCE

Judy J Kim LTD – Regulatory Business Analyst/Consulting, USA February – October 2017

Product Compliance support of Equities Finance Solutions Sales, Structuring, and Trading for the Americas of Barclays.

Draft business conduct standard for policies and procedures group of global market risk department of Barclays.

Work with compliance and business managers to draft new document for traders and salespeople in market conduct, AML/KYC.

US, UK, EU Consultant, Regulatory Reporting Technology Group of Wells Fargo, New Brunswick, NJ

MiFID 2 transaction reporting implementation for all asset classes. Review data fields and specifications for EMIR RTS 2.0.

Conduct gap analysis of regulatory reporting standards, advise on reporting regulations promulgated by CFTC, EU, ESMA, FCA.

Advise on CFTC No Action letter on exemption of Foreign Clients from clearing and Part 43 reporting requirements., under Dodd-Frank.

Participate on ISDA, DTCC and other industry calls related to MiFID II and EMIR implementation. Review FSD documents.

Judy J Kim (UK) LTD – European Union and UK Regulatory Implementation/Compliance, London, UK November 2014 – September 2016

Regulatory Consultant/Project Manager, Promontory Financial Group

oMIFIDII regulatory implementation project for global investment bank Credit Agricole. Created Action Plan for regulatory implementation of MIFID II for Credit, Rates, FX, Emerging Markets and algo trading products. Created methodology for mapping trading activity for all products, on all trading venues and platforms, including front office trading, sales and back office systems

Trade Surveillance Consultant/Model Analyst, Promontory Financial Group

oPart of team focusing on governance, management information and MAD/MAR regulations. Worked across business divisions of Deutsche Bank, all the surveillance processes, researched financial crime cases in the UK, reviewed global documentation for trade surveillance procedures, including SARs procedures, as related to market manipulation by investment banking activities.

oWorked on risk assessment of global trade surveillance program for Deutsche Bank. Created global insider trading and market abuse regulatory database listing trade surveillance regulations for EU, UK, Germany and Asia. Developed model for MAD/MAR risk assessment.

oMapped legal entities to desks and all products by region and country and market surveillance regulations. Reviewed European market abuse/market surveillance regulations for all traded products, including swaps products. Coordinated with Asia and NY offices on financial crime regulatory database creation

E-Discovery Consultant, Complex Financial Litigations

Consilio, London, UK

Hudson E-Discovery, London, UK

Epiq Systems, London, UK

Judy J Kim LTD – Derivatives, U.S. Regulatory Implementation/Compliance, NY/CT August 2010 – September 2014

BROWN BROTHERS HARRIMAN, Derivatives Consultant/Legal Database Analyst, Office of General Counsel, New York June 2014 –Sept 2014

oReviewed ISDA Schedules, Credit Support Annexes, Guarantees and Custody documents, with FX Risk, IT and legal, to create Basel III database for netting provisions contained in swaps trading documents.

oDeveloped model to analyze accuracy of legal documentation. Created algorithms and models to run analysis of internal databases used by different divisions to show accuracy of input and content used for management and regulatory reporting for compliance purposes

oAdvised FX Risk group on ISDA fund structures, collateral issues, and trained junior attorneys in ISDA review

oEmerging markets: Structured joint venture custody deals with regulatory agency of China.

PTS CONSULTING, Derivatives & Swaps SME & Global Project Manager, eClerx, New York Jan 2014 - May 2014

oStructured global database products for legal, compliance and risk departments of global banks to capture data in: prime brokerage documentation used in UK, ISDA Schedules and Credit Support Annexes, guarantees, fund administration documents, among others.

oDeveloped collateral data models working with teams located in UK, US and India. Pitch CCAR project to Credit Suisse.

AMERICAN EXPRESS, ISDA Consultant, Law Department, New York Sept 2013 - March 2014

oFinalized over 30 EMEA, US and APAC ISDAs for FX trading desks and Corporate Treasury Office.

oSuccessfully trained US paralegal to negotiate ISDA agreements and Master Confirmation Agreements.

oAdvised in clearing agreements, required under Dodd-Frank. Analysed legal documentation database of Amex.

UBS, Consultant to Private Wealth Management, Legal Department, Stamford, CT Jan 2013 - March 2013

oAdvised credit and business on migration of global high net worth FX clients in US, Africa, South America and off-shore domiciles onto UBS AG trading platform in compliance with Title VII Dodd-Frank regulations.

oTrained private banking credit staff in US and private wealth managers on compliance with AML/KYC and Dodd-Frank requirements

oDrafted ISDA Master Agreements and Credit Support Annexes, created Dodd-Frank compliant forms for global counterparties.

ROYAL BANK OF SCOTLAND, Compliance Consultant, Stamford, CT Nov 2012 - Jan 2013

oReviewed Swap Dealer Manual to ensure compliance by trading floor with Dodd-Frank Internal Business Conduct rules

oDrafted the Swaps Dealer Supervisory Manual and the Chief Compliance Manual for the RBS Swap Dealer pursuant to Dodd-Frank.

CREDIT SUISSE, ISDA Negotiator, Office of General Counsel, New York, NY April - June 2012

oInnovated global commodity ISDA Master Agreements to move counterparties to CSI, a registered swap dealer under Dodd-Frank

Judy J. Kim LTD – Derivatives, U.S. Regulatory Implement/Compliance, NY/CT (CON’T)

CITIBANK, Regulatory Compliance Consultant, CitiFX Pro, New York Sept 2011 - March 2012

oLed front office efforts to implement OCC regulations (12 CFR Part 48) promulgated pursuant to Dodd-Frank Act, for online global FX business with desks in US, EMEA and APAC. Coordinated with compliance, IT, legal, and trading desks in UK, US, Singapore, and Australia.

oWorked on compliance requirements for the rollout of FX trading platform in emerging markets such as UAE, Russia, Czech Republic.

oRevised Due Diligence Manual for global compliance with NFA regulatory requirements, including bribery provisions.

oImplemented marketing, regulatory, legal, AML/KYC, OFAC and compliance firm-wide procedures, covering PEPs, bribery and corruption.

oWorked with third party FX platform vendor, internal operations and AML to develop AML monitoring reports.

JEFFERIES BACHE, Derivatives Consultant, Commodities Law Department, New York April-August 2011

oNegotiated ISDA Master Agreements, commodity trading agreements and tri-party agreements.

oReviewed Ukrainian trading agreements. Drafted new trading agreements, including credit support terms, incorporating ISDA definitions to be used with non-ECP South American agricultural counterparties.

DEPOSITORY TRUST & CLEARING CORPORATION, Consultant, General Counsel, New York Oct. 2010 – March 2011

Coordinated and drafted SEC and CFTC applications for credit default swap data repository pursuant to Dodd-Frank rules.

Swap Data Repository application successfully granted to DTCC.

Interaction with Federal Reserve Bank, CTFC, SEC and other prudential regulators, globally, on regulatory requests and outside counsel.

BNP PARIBAS, ISDA Consultant, Commodities ISDA Documentation Group, New York August –Oct. 2010

Reviewed credit agreements related to oil financing deals to draft swap agreements.

HAYNES & BOONE, Of Counsel, Finance Section, New York September 2008 – August 2009

Advised on structure and acquisition of green energy plants, coal mines, and reviewed operating agreements.

Structured and drafted collateral management agreements for new commodity product related to physical storage of oil and agricultural products.

MERRILL LYNCH & CO., Director, COO of the Americas, Interest Rate Derivatives and GSI, NY July 2007 –April 2008

Managed Implementation and compliance of U.S. and U.K. regulations globally for $2.3 billion Rates business for the Americas, including Canada.

Represented the U.S. Rates business in visit and other interactions with U.S. regulators, including FINRA and Federal Reserve Bank of New York; obtained FINRA approval for credit default swaps to be traded by the Agency desk.

Implemented global programs and protocols. Managed budget for Rates in Americas. Supervised spin-off of Rates desk and managed outside counsel.

Tracked 42 technology projects globally for Rates products across all trading platforms, including electronic trading.

SCHULTE ROTH & ZABEL LLP, Derivatives Associate, New York August 2004 –June 2007

Reviewed and negotiated ISDA documentation; prime brokerage, master repurchase agreements, securities lending, equities, futures.

Expertise in emerging markets swap regulations in: South Korea, India, Hong Kong, and Kuwait, among others.

Drafted swap agreements in relation to ski resort project in Canada.

Advised clients on AML and KYC issues pursuant to the USA Patriot Act. Trained paralegals and junior attorneys to review equity swaps, basket swaps master confirms and ISDA schedules.

CITIGROUP ALTERNATIVE INVESTMENTS, Emerging Markets Derivatives Consultant, Office of General Counsel, New York May-August 2004

Reviewed and negotiated emerging markets structured ISDA confirms for Citigroup’s proprietary hedge fund.

Negotiated agricultural and oil trading agreements with Russian counterparties.

LEHMAN BROTHERS, Consultant, ISDA Negotiator, New York December 2003 – March 2004

NEW YORK UNIVERSITY, New York, NY, Director, Office of Industrial Liaison January 2000 - September 2003

Created “Multimedia and Information Technologies” department to commercialize computer science patents invented by faculty.

Managed budget for department, recruited and trained staff of interns and graduate students to research and market IT patents to industry.

Review and negotiate NDAs, joint venture agreements, research agreements, licensing agreements and marketing materials.

Structured and negotiated royalty streams, options pricing, fees and research and license agreements. Managed outside counsel.

ROGERS & WELLS LLP, New York, NY 1999 – 2000

Structured Finance Associate

Negotiated ISDA Master Agreements, municipal bond confirms, and cross-border asset backed securitizations.

BROWN & WOOD LLP, New York, NY 1997 – 1999

Structured Finance Associate

Closed over 50 publicly and privately offered cross-border asset-backed securities, mortgage-backed securities and CLO’s.

Reviewed and negotiated prospectuses and private placement memoranda.

Drafted Schedules to ISDA Master Agreements.

Real Estate Litigation Experience:

LEITNER & GETZ LLP; STULTS & BALBER, P.C. New York, NY 1994-1997

Drafted motions, research issues, made court appearances as associate in real estate firms.

PRUDENTIAL-BACHE SECURITIES INC., New York, NY, 1987-1989

Public Finance Analyst, Two–Year Analyst program

Structured housing bonds and other infrastructure projects. Researched historical interest rates for banking presentations on muni swaps.

EDUCATION

FORDHAM UNIVERSITY SCHOOL OF LAW, New York, New York, J.D

Fordham International Law Journal; Special Publications Editor.

Admitted to NY bar.

COLUMBIA COLLEGE, New York, New York, B.A., English

Teaching Assistant, “Theory and Practice of Science”

Fencing Team

APPENDIX

AML/OFAC/Anti-Financial Crimes:

oAdvised global hedge fund clients on impact of U.S. Patriot Act in relation to bribery of public officials.

oTrained in investment bank’s bribery and corruption policies as related to elected public officials.

oDrafted Risk Factors section on proposed Brazilian housing project securitization as related to potential bribery and corruption risks.

oSupervised the training and monitoring of trading patterns by supporting departments for potential financial crimes by traders.

Regulatory/Change Management:

oImplemented record retention procedures and compliance training sessions on new OCC regulations for global staff.

oBrought global client database from 65% to 99.9% accuracy within three months.

oRevised US, European and Asian customer applications to incorporate NFA and OCC regulations and internal AML protocols.

oCreated regulatory reports, drafted new global procedures manual, met regulatory timelines, met with regulators.

oResponded to regulatory requests from the New York Federal Reserve, SEC, central banks, and international regulators.

oWorked with business, regulatory reporting, operations and technology staff to create internal processes and protocols.

oAttended meetings with Federal Reserve Bank, drafted documents for bank regulatory matters.

oMiFID II project manager for global investment banks headquartered in Europe and USA.

oInterpret and implement CFTC No-Action letters impacting clearing and reporting requirements for foreign clients of an American bank.

oDraft standards for global market conduct for UK based investment bank.

Swaps/Derivatives:

oNegotiated ISDA Master Agreements, municipal bond confirms, and cross-border asset-backed securitizations.

oReviewed and negotiated ISDA documentation, prime brokerage, master repurchase agreements, securities lending, equities, futures.

oExpertise in compliance with emerging markets swap regulations in South Korea, India, Hong Kong, and Kuwait, among others.

oDrafted and negotiated MRA, GMRA, GMSLA, CDS, equity swaps, basket swaps master confirm agreements and other trading agreements. globally. Also reviewed NDAs, Investment Management Agreements and fund documents.

oDrafted credit default swap documentation, advised hedge fund clients on related matters.

oStructured and advised on Fund-Linked derivatives transaction.

oReviewed and negotiated ISDA Master Agreements, and netting opinions for US, Canada and South American counterparties.

oCoordinated outside counsel and worked with ISDA on industry initiatives.

Litigation

oSubject matter expert in litigation related to credit default swaps.

oDocument Review in US/UK.

oReal Estate litigation experience in NY.

Investment Banking:

oAssisted senior bankers and traders with municipal bond presentations for housing, resource recovery and toll road bonds.

oDeveloped global protocol for close out of ISDA counterparties for both IRS and CDS, working with treasury, risk, credit, sales, operations, legal, regional COO offices and other supporting departments in Hong Kong, Tokyo, London and New York.

oDiagrammed trade flows.

oReviewed budgets quarterly for cost cutting measures and preparation of business plans for each Rates product.

oManaged compliance, regulatory reporting, operations, new product reviews, balance sheet targets, and legal issues for institutional sales and trading desk.

oReviewed documents for new ventures, industry consortiums, and purchase of market data from vendors.

Publications

o Note, “Out of the Lab and into the Field: Harmonization of Deliberate Release Regulations for Genetically Modified Organisms,” 16 Fordham Int’l L.J. 1160 (1993).

o Author, “Credit Default Swaps Get Attention of U.S. Regulators,” Bloomberg Risk and Compliance Report, Nov. 2008.

o Co-Author, “Selection of Venue in a U.S. Swaps Litigation Governed by an ISDA," Bloomberg Law Reports, N.Y. Law, May 2009.

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