Project Manager Management

SUMMARY: New York licensed regulatory and compliance attorney with over seven years of experience assisting companies with regulatory adherence and management; financial crime investigations, and policy and procedure audit. Seeking to leverage my legal, compliance and finance background in a dynamic leadership-track role.

Bar License: New York 2008

Education

Howard University School of Law, Juris Doctorate May 2007

Honors: Merit Scholarship Recipient (Academic); Thurgood Marshall Scholarship Recipient; CALI Award for Best Written Paper – International Business Transaction

University of Houston, Bachelor of Business Administration, Accounting and Finance May 2004

Honors: Dean’s List

Certifications

New York University, Forensic Accounting Certificate (December 2014); ACFCS, Certified Financial Crime Specialist (CFCS) (September 2015); ACFE, Certified Fraud Examiner (studying) (July 2018)

Work Experience

JPMorgan Chase & Co.,

August 2014 - Present

Legal Compliance Consultant, (Jersey City, NJ) Oct 2017 - Present

Audit of JPMC’s Global Supplier Services, Global Services, Global Business & Documents Services and Corporate Insurance policies and procedures

Meticulous multi-tiered review of international regulatory obligations to determine impact on the four corporate functions listed above and complete appropriate policy and procedure mapping

Develop subject matter expertise as needed to evidence sufficient regulatory compliance

Achievements:

oProject lead for the successful audit of the Bank’s Third-Party Oversight (TPO) policy and non-policy governing documents to evidence outsourcing regulatory compliance globally and where applicable, assess potential gaps

oAnalysis of third-party provider and vendor management regulations globally

oFacilitate and lead project meetings including defining the process and requirements to key stakeholders in relations with the Third-Party Oversight part of the project

oCreate and manage reports on mapping of policy and procedure

Senior Compliance Officer - AML Investigator, (New York, NY) Jan 2015- Feb 2017

Conducted meticulous end-to-end reviews of client account transactions and wire transfers to identify illicit activity that may require reporting based on Bank Secrecy Act (BSA)/AML and OFAC requirements, conducted research as required and documented details in written format

Drafted and filed Suspicious Activity Reports (SARs) in compliance with FinCEN where money laundering, Sanctions, tax evasion, fraud or any other type of suspicious financial crime was suspected

Investigated and reviewed 314(a) subpoenas and 314(b) cases and filed SARs as needed

Developed subject matter expertise as needed in various financial crime areas, including the USA PATRIOT Act, BSA, AML, CDD, EDD, Sanctions/OFAC, KYC, correspondent banking and typologies necessary to adequately disposition cases

Achievements:

oCommended for quality of cases files and SAR filings

oDevised and implemented workflow process for prioritizing activities related to case files, which streamlined operations and enhanced productivity

Dodd-Frank Compliance Project Manager (Consultant), (New York, NY) Aug 2014 - Dec 2014

Implemented Dodd-Frank Article I regulatory change initiatives stemming from a Federal Reserve Capabilities Assessment Letter (FCAL)

Investor Services documentation authentication and remediation of ISDA master agreements for swaps and domestic custody agreements within the custody and fund services, swap clearing, and prime brokerage lines of business

Fostering conversations about emerging legal and regulatory developments.

Within each classification assessed: counter party risks, netting rights, collateral risk, and offsetting rights of JPMC within domestic and international jurisdictions

Achievements:

oStreamlined offshore authentication processes resulting in increased productivity

oLed a team of 20 Attorneys in developing policies and procedures for the offshore team with a main focus on analysis, documentation, and retrieval of agreements; providing legal analysis and recommendation; and maintaining a database to keep abreast of any regulatory changes while updating policies as needed

Volunteer Asst. Attorney General, New York Office of the Attorney General - Investor Protection Bureau

February 2017 – August 2017

Part of a team investigating an oil company’s alleged material misrepresentations in its statements to investors and to the public in three major areas: (1) reserve reporting, particularly its failure to impair or write-down any oil or gas assets, in light of low oil and gas prices, potential carbon regulation, and the effects of climate change; (2) the proxy cost of carbon that it purportedly uses in making capital allocation decisions; and (3) its claim that a "low-carbon scenario, " consistent with the temperature goal to which the vast majority of the nations of the world have committed, is "highly unlikely" and thus will not impact its business

Investigated a startup company and interviewed investors to determine whether investor funds were misappropriated in violation of The Martin Act

Analyzed corporate plans, audit reports, financial statements, impairment memoranda, investor portfolios, price assessment memoranda, memoranda on examination, memoranda of understanding, cash flow statements, greenhouse gas reports, CAPEX, OPEX, PowerPoint presentations, internal correspondences, and bank statements

Drafted investigative memoranda and presented detailed reports to the team and senior management

Compliance Attorney (Consultant), Barclays Bank, (New York, NY)

September 2013 – July 2014

Investigated alleged internal securities fraud perpetrated by internal and external traders; and analyzed data to identify activity indicative of rate manipulation

Reviewed and analyzed discussions, trade calls, as well as verbal and written communications between the sales and trading desks, specifically looking for collusion or attempts to manipulate the LIBOR rate

Reviewed interest rates, derivatives, order books, and spreads to identify rate manipulation

Generated reports thoroughly documenting instances of rate manipulations with supporting data, analysis and rationale for conclusion in a clear and timely manner

Regulatory Attorney (Consultant), Advise Technologies, (New York, NY)

April 2013 – August 2013

Reviewed federal and international securities and corporate filing regulations to define their applicability to the business' software development operations

Created reports detailing regulatory filing requirements and prepared compliance reports on the Securities Exchange Act of 1934; the Investment Company Act of 1940; and the Foreign Account Tax Compliance Act (FATCA); and conducted.

Conducted in-depth research, analysis, and interpretation of Federal and international statutes, and prepared reports providing legal analysis of regulations requirements and risks of non-compliance

Presented findings to senior management and cross-functional business teams

Developed subject matter expertise and maintained regulatory change management and gap analysis.

Advised on best practices and coordinated with cross-functional business teams for practical solutions

OFAC Consultant, Goldman Sachs, (New York, NY)

October 2012 – April 2013

Investigated and dispositioned alerts pertaining to global watch lists, or activity in violation of the economic and trade sanctions administered by the Office of Foreign Assets Control (OFAC), and thoroughly documented and maintained files

Assisted with periodic review of OFAC procedures to ensure compliance with OFAC regulations and lists

Regularly exercised good judgement and developed subject matter expertise on economic and trade sanctions, and kept up-to-date with sanctions regulations and Goldman’s sanctions policies

Anti-Bribery and Corruption Legal Specialist (Consultant), Anadarko (Houston, TX)

November 2009 – December 2010

Assisted with internal Anti-Bribery and Corruption reviews involving financial reporting, fraud, asset misappropriation, bribery and corruption, and general fraud risk management

Drafted internal FCPA/anti-bribery and corruption best practices, assisted in updating internal policies and procedures; and participated in the assessment of regulatory changes that impact business unit activities and the development and implementation of any relevant processes necessary to comply with such changes

Assisted with ensuring compliance records are appropriately developed, managed and stored to meet applicable regulatory and enforcement needs

Judicial Law Clerk, Chief Justice Christine Durham, Utah Supreme Court (Salt Lake City, UT)

September 2007 – September 2008

Assisted the judge during courtroom proceedings and supervised 4 interns

Drafted full opinions, prepared bench memos, proofread and edited court opinions and memos drafted by fellow law clerks, and conducted legal research Bluebook citations

Skills and Training

Strategic Planning, Communication Skills, Westlaw, LexisNexis, Excel, PowerPoint, FCCM, Visio, HALO, Fortent, FCIP, Fircosoft, SharePoint, Livelink, Pivot Tables, Actimize, Mantas, Case Tracker

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