Project Manager Insurance

*** **** ****, ***********, *** JERSEY *****

908-***-****, *********@***.***

MICHELLE COTA

PROFESSIONAL EXPERIENCE

The Prudential Insurance Company of America

Contracts Analyst, Prudential Retirement

2009 2013

• Participate as a key team member in new product development; including drafting

and filing the first of its kind “Buy In” separate account product in the United

States;

• Project manager for product specific state filings conducted under strict time

frames; prepare the documentation for filing, oversee and review the filings

prepared by the drafters to ensure compliance, review and respond to regulatory

inquiries and deficiency notices.

• Draft client documents, including group annuity contracts and amendments,

annuity certificates, structured settlement contracts, indemnification letters and

letter agreements.

• Prepare and file group annuity contract forms with the state insurance departments;

coordinate filings with state and/or federal securities regulators and provide

responses to regulatory inquiries.

• Review, underwrite and approve bids for new business.

• Review client documents and provide technical and substantive feedback.

MarketCounsel, LLC/The Hamburger Law Firm, LLC

Englewood, New Jersey

Regulatory Affairs Associate

2007 2009

• Provide regulatory consulting to new registered investment advisers; including

consultations regarding securities registration obligations and guide clients with

installing an initial compliance program.

• Provide ongoing responsive consulting to existing investment advisers regarding

compliance with existing state and/or federal regulations and industry best

practices;

• Provide risk and liability consulting; including conducting mock audits and books

and records inspections.

• Prepare and file regulatory filing forms, notifications and withdrawals; coordinate

filings with state and/or federal securities regulators.

• Review proposed marketing and advertising materials to ensure compliance with

relevant securities regulations.

• Prepare compliance policies and tailored individual clients’ proposed business

operations to support their requirements; revise existing policies and procedures

based on evolving business practices.

• Prepare client agreements to be tailored to each client’s business practice and in

compliance with current regulatory requirements and industry best practices.

• Review and respond to deficiency letters issued by state and federal securities

regulators; assist in the implementation of required remediation measures.

Prudential Investment Management, Inc.

Newark, New Jersey

Legal Assistant Public Equity and Fixed Income Legal Department

1999 2007

Trading Support

• Review private placement memoranda for high yield and high grade securities,

including structured securities, to ensure permissibility of account investments.

• Review commercial paper offerings and asset backed securities offering documents

to ensure compliance with Rule 2a 7 of the Investment Company Act; including

review of guarantees, letters of credit and liquidity agreements.

• Review bank loan amendments and assignments.

• Facilitate all corporate action issues; includes completing class action claim forms,

bankruptcy ballots and consents with respect to the fixed income business.

Drafting and Negotiating Contracts

• Assist in negotiating futures agreements.

• Assist with the drafting of investment management agreements and amendments.

• Assist with the drafting of a compliance manual for Singapore affiliate .

Compliance and Regulatory Support

• Review and negotiate funding agreements, repurchase agreements and their

amendments.

• Prepare Rule 4.5, 4.7 and 4.18(a)(8) exemptive relief notice filings with the

National Futures Association.

• Provide guidance on qualified institutional buyer certifications under Rule 144A of

the Securities Act.

• Facilitate legal research for securities law issues.

Hedge Fund

Assisted with the development and launch of a privately placed fixed income hedge fund, involving

research of the permissible investments of the fund, assistance in drafting the Risk Factors section

of the offering.

Securities Arbitration Commentator

Maplewood, NJ

Researcher / Paralegal

1995 1999

• Communicated regularly with clients to translate and analyze research requests on

key securities arbitration topics, including “dram shop”, defamation, “selling away”,

raiding and employment discrimination.

• Researched arbitration awards from the major forums; prepared reports on

arbitration panels, opposing counsel, broker dealers and registered representatives.

• Facilitated client directed research, assisting in identifying arbitration awards

reflecting the predominant issues for each client’s case.

• Significant experience in coordinating and managing projects through to successful

completion; defined time lines and priorities; scheduled work assignments to

maximize productivity and meet stringent deadlines.

EDUCATION

SETON HALL UNIVERSITY, SCHOOL OF LAW, Newark, NJ January 2006

• Juris Doctor, Graduated cum Laude

FAIRLEIGH DICKINSON UNIVERSITY, Madison, NJ June 1997

State of New Jersey Paralegal Certificate, Graduated with Honors

UNIVERSITY OF CONNECTICUT, Storrs, CT December 1994

Bachelor of Arts, Political Science

ADMITTED TO THE NEW JERSEY BAR

References Available Upon Request

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