Sales Service
Resume:
JENNY K. RAPHAEL
** ******* *****, *******, ** **791
accihf@r.postjobfree.com
EDUCATION
Benjamin N. Cardozo School of Law, New York, NY
Candidate for Juris Doctor, May 2014
Relevant Coursework: Compliance in Financial Institutions, Distressed Investments, Corporations, Consumer
Bankruptcy
Securities Regulation, Administrative Law
Binghamton University, State University of New York, Binghamton, NY
Bachelor of Arts, summa cum laude in Philosophy, Politics, and Law, May 2011
Honors: Phi Beta Kappa; Pell Honors Thesis Program for Undergraduate Honors; Dean’s List, all semesters; Sigma
Alpha Lambda Leadership and Honor Society
Honors Thesis: The “Family-Unit” Proxy: A Viable Alternative for End-of-Life Decision Making – selected for publication
in Binghamton Journal of Philosophy, The Sheridan Press, 2014
Relevant Coursework: Criminal Law, Contemporary International Law, US Labor Politics, Policy, and Law, Autonomy
and the Law, Law and Justice, Philosophy of Law
PROFESSIONAL EXPERIENCE
CMP.LY, New York, NY
Intern, Spring 2014
Researching and editing materials for a consulting firm dedicated to legal and compliance issues regarding social media and other digital
communications. Researching and drafting a white paper on the Federal Financial Institutions Examination Council's (FFIEC) newly
issued guiding principles for social media use by financial institutions.
Financial Industry Regulatory Authority (“FINRA”), New York, NY
Legal Extern: Sales Practice Policy Department, Fall 2013 to present
Researching and writing regulatory interpretations based on sales practice inquiries from FINRA member firms. Analyzing FINRA and
other self regulatory organizations’ rules to fulfill the requirements outlined in FINRA’s regulatory service agreements. Researching Anti-
Money Laundering, “Know Your Customer” (KYC), “suitability,” and member application issues governed by FINRA. Writing
memoranda interpreting the regulatory history and applications of FINRA-member eligibility rules. Drafting statutory disqualification
recommendations and performing due diligence using FINRA’s Central Registration Depository.
NewOak Capital, New York, NY
Office of General Counsel Legal Intern, Summer 2013
Edited legal provisions in agreements, reports, and letters of engagement and release. Drafted a loan re-underwriting manual to be used
for strategic litigation. Edited legal provisions in the firm’s employee handbook and service provider contracts. Drafted a report about
expert witness disqualification and potential conflicts of interest. Wrote a memorandum on “assets under management” based on the
Investment Advisers Act of 1940 and suggested business applications.
Marble Hill Advisors/iFunds, New York, NY
Legal Intern, Spring 2013
Researched, drafted, and edited Offering, Explanatory, and Participation memoranda used for the firm’s hedge fund and private equity
platforms. Created pitch books for investment advisers analyzing the financial and legal aspects of their funds.
Mintz & Fraade PC, New York, NY
Legal Intern, Fall 2012
Researched and wrote memoranda on securities, professional responsibility, trusts and estates, tax, and civil procedure legal issues.
Drafted estate planning documents after a thorough analysis of applicable accounting practices and tax considerations. Drafted
registration statements and disclosure documents that were submitted and filed on the SEC website and its EDGAR database.
Hon. Richard L. Buchter, New York State Supreme Court, Queens County, Kew Gardens, NY
Judicial Intern, Summer 2012
Researched evidentiary, criminal procedure, and constitutional law issues and drafted bench memoranda for rulings during hearings and
trials. Wrote draft opinions on evidentiary issues of first impression. Observed trials, hearings, and calendar calls.
SKILLS AND INTERESTS
Organizing and moderating a “Careers in Compliance” CLE for the New York County Lawyers Association (anticipated: April 2014).
Played violin for 17 years New York All-State violinist, December 2007; Binghamton University Orchestra (Jan 2008 to May 2011).
Tutored “English as a Second Language” students to help develop college-level reading and writing skills (June 2007 to August 2011).
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