*** ***** **** ******, #**

Arverne, NY *****

917-***-****

ad1psl@r.postjobfree.com

Virginia F. Hartley

PROFESSIONAL EXPERIENCE

Morgan Stanley-Smith Barney, Paralegal, Director • New York, NY • September 2013 to April 2023

• Performed all tasks pursuant to the Patriot Act; SEC; FINRA; CARES Act; SECURE Act; federal and state laws, and Morgan Stanley policy

• Fielded questions via telephone (personal and department hotline) and Email from Senior Complex Risk Officers, Complex Risk Officers, Financial Advisors, and various support staff

Questions included, but were not limited to, accounts such as: Uniformed Transfers to Minors Act

(UTMA), Corporate, IRAs, Trusts: Testamentary, Revocable, Irrevocable, Corporate; Special Needs, and Coogan

• Reviewed and opined on backlogged and current Power of Attorney (POA) instruments submitted by Private Wealth Management clients

Approved or rejected POA’s pursuant to Company guidelines and individual state laws

Researched and catalogued POA statutory codes per individual state and created Excel spreadsheet

Drafted POA approval Emails to branch personnel detailing the authorities granted to the Agent by the Principal, in addition to any restrictions placed upon the Agent’s powers

• Reviewed IRA beneficiary designations and custom beneficiary designations to ensure proper formatting per Company policy and federal law. Also, confirmed cause and manner of death with coroners’ offices pursuant to the Slayer Statute if the death certificate investigation was still pending; and responsible for disbursement of RMDs

• Personally conducted project, with five people under my direction, to review all Guardianship/ Conservatorship accounts ensuring the proper court orders and letters were on the accounts, and to terminate the Guardianship if minor attained age of majority; or if the court terminated the appointment for other reasons. This totaled approximately 60,000 accounts

Efforts resulted in clearing a SEC finding without penalty, in addition to providing some corporate record housekeeping

• Researched and catalogued Guardianship/Conservatorship statutory codes for every individual state and created Excel spreadsheet

• Reviewed court orders for withdrawals and disbursement. Upon approval, red flag was temporarily removed, and restored upon completion: authority to freeze and unfreeze accounts autonomously

• Drafted Release and Hold Harmless Agreements

• Contributed to new system workflows pertaining to landing pages, subject matter, user friendly organization, and radio buttons, etc.

Efforts resulted in a more user-friendly workflow tool, which increased accuracy, productivity, and record retention

• Conducted many Ad-hoc projects which included account remediations

Efforts resulted in addressing FINRA findings while avoiding fines, penalties, and reputational damage [to the Firm]

• Detected and escalated all suspicious activities (SARs) to proper department, and generally protected against elder financial abuse and that of vulnerable clients The Bank of New York Mellon Corporation, Paralegal • New York, NY • January 2013 to July 2013

• Processed incoming criminal, government, and regulatory subpoenas and requests received from various local and national government and law enforcement agencies

Prepared requisite documents for review by counsel prior to production for requesting agency

• Assisted in-house counsel with identifying liability in connection with SEC, State and Federal Grand Jury as well as compliance and reporting violations, and in accordance with the Bank’s records retention policy

Assisted in-house counsel in identifying financial, reputational, and regulatory risk

• Testified at Grand Jury proceedings: civil and criminal trials, as a records custodian

• Prepared and notarized “Affidavit of Custodian Records” consistent with governmental agency requirements

• Reviewed relevant systems and interfaced with various internal departments and client areas for account and customer information to accurately produce responses to law enforcement

Conducted Internet research, including LexisNexis and PACER systems for any public information of subject(s) of the subpoena

• Responsible for researching and referring any suspicious activities (SARs) to the appropriate department

• Maintained multiple attorney and matter calendars to ensure efficient and timely subpoena responses SECOR Asset Management, Paralegal • New York, NY • June 2012 to December 2012 (Temporary Project)

• Supported General Counsel; Chief Compliance Officer; Chief Financial Officer; and Chief Operating Officer in day- to-day operations for a global startup asset management and capital advisory firm

• Researched, located, and organized all electronic and hard copy data in preparation for SEC mock audit

• Directed the production, proofreading, and editing of incorporation documents, compliance manuals, business continuity plan, ISDA’s, master agreements, NDA’s, lease agreements, vendor contracts, licenses, and third party contracts for both New York and London offices.

• Maintained, updated, and disseminated all such documents and manuals as required

• Prepared and notarized all related documents, including, but not limited to, subscription documents for new investors in addition to other binding agreements per regular course of business

• Liaised with FINRA, SEC, FSA, IRS, U.S. Immigration, Legal Accounting, and banking contacts to coordinate meetings and secure legal, global regulatory filing processes and account information

• Processed all expense reimbursement reports and arranged payments with Accounting and Human Resources

MBF Clearing Corporation Executive Assistant • New York, NY • June 2010 to April 2012

• Supported Vice President of Administration and Operations, acting as gatekeeper and first point of contact. Answered busy telephone and took detailed messages, conveying information via Microsoft Outlook.

• Assisted Controller in audit document research and recovery, including CFTC 4G audit requests.

• Maintained contacts and calendar; scheduled meetings, events, venues, travel arrangements, expenses, and managed incoming and outgoing mail, parcels and messenger services.

• Executed client requests for checks, cash, and wire transfers from corporate to personal accounts; recorded transactions using QuickBooks and proprietary software. Deposited funds daily into various corporate accounts with Teller-Scan technology and aforementioned programs.

• Researched and prepared documentation for SEC litigation to prove profit/loss, ensuring due monetary recovery.

EDUCATION

John Jay College of Criminal Justice • New York, New York Bachelor of Science, Major: Legal Studies, Minor: English • cum laude New York University School of Continuing and Professional Studies • New York, New York Professional Diploma, Paralegal Studies

SKILLS

MicrosoftOutlook, Excel, PowerPoint, Works, Access, Workflow, Lexis-Nexis, Westlaw, PACER, Blue Book research, and variety of databases. Type 65 WPM. Excellent analytical and problem solving abilities. Communication proficiency: written and verbal, with strict attention to detail. Licensed Notary Public (NYS) PERSONAL INTERESTS

Playing piano, tennis, swimming, rowing, reading, crocheting, traveling abroad, and sampling new foods are a few favorite past-times. Winning pitcher on Morgan Stanley’s softball team.

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