Risk Management

Uraina Steward, J.D.

Tel: 919-***-**** ~ Email: ********@*****.***

Summary & Highlights

Summary:

Experienced professional seeking to expand in the ethics and compliance industry utilizing exceptional communications, analytical, research, and leadership skills, as well as positive ethical principles and mature judgment acquired in diverse industries. Proven focus on continuous improvement through process design, with direct responsibility for staffing, training, leading, and mentoring high-performing teams. Strong commitment to collaboration across business units and functions to capture new ideas and drive better outcomes through innovation in the compliance/new business intake, data management and risk management spaces.

Highlights:

Internal Risk Management & Compliance knowledge

Proficient in Intapp, Elite, LegalKey and Workday

Exceptional Oral and Written Communication Skills

Expertise in Conflicts of Interest Identification & Analysis, and New Business Intake Procedures

Knowledgeable of ABA Model Rules of Professional Conduct

Deadline Oriented

Critical Thinker and Problem Solver

Process Improvement

Teamwork

Research and Organization

Project Management

Independently Plan and Carry Out Tasks

Proficient in MS Office Suite

Skilled in AML

Professional EXPERIENCE

Ricoh (USA) / Akerman LLP, Operations Center – Maitland, FL

Manager of Conflicts & New Business Intake Sept 2020 – Present

Responsibilities include the day-to-day operation and management of 30 plus direct reports in the Conflicts, Background, New Business Intake, Lateral Intake and Administrative Departments within the law firm. Accountable to meeting customer service level agreements, performance metrics, process development, conducting analysis to recommend ongoing improvements, software management and employee training. Provide regular reporting and review to the client contact at all levels. Ensure accurate records are maintained for immediate audit and accountable for auditing internal Ricoh performance for the onsite team. Conducts analysis of all new business requests for the firm and ensure potential conflicts are identified and cleared in a manner that complies with all professional and ethical standards. Direct interface with firm employees, partners, associates, legal assistants, General Counsel, and account executives. Responsible for final review of customer requests for New Business Intake. Accountable for recruiting, hiring, new employee training and development. Mitigate financial risk associated to contractual service level agreement penalties. Manage billing of $100,000.00 plus, per month.

White & Case, LLP, Operations Center – Tampa, FL

Senior Conflicts Analyst Feb 2018 – May 2020

Supported the Office of the General Counsel (GC) by handling all aspects related to incoming business for new and/or existing clients. Performed searches using internal and external databases for relevant information on prospective clients and other relevant parties. Familiarity with research and workflow tools such as: WorldCheck, Lexis Advance – Public Records, Elite (Conflicts Management and New Business Intake), Intapp Open (Conflicts and Flow) and LegalKEY Conflicts Management. Handled all aspects of existing matters including changes to matter details, parties involved and reopening closed matters. Familiar with multi-jurisdictional ethical regulations. Accountable for training, on boarding of new hires, and assigned as a mentor during new-hire process to ascertain training objectives. Drafted and maintained training manuals to help facilitate department regulations and firm policies to new hires. Researched and analyzed all KYC/CDD processes related to AML. Oversaw process improvement/efficiency project initiatives.

Holland & Knight, LLP, Operations Center – Brandon, FL

Conflicts Specialist Dec 2015 – Feb 2018

Daily tasks included project lead on Client Engagements Compliance, under the direction of the General Counsel, to review and upload client agreements such as outside counsel guidelines, engagement letters, scope and fee documents, and client emails for firm wide access in Intapp Open. Instrumental in integration from Elite to Intapp Open database. Profiled engagement documents for scope of work, advanced waivers, anti-bribery and corruption clause, compliance with regulatory requirements, special or alternative fee arrangements/discounts, most favored nations clause, billing restrictions, termination rights, subsidiaries/affiliates, resourcing restrictions, dispute resolution, positional/issue conflicts, information barrier/access control clause, data security, controlling terms, firm indemnification, media relations, publicity, and governing law/jurisdiction. Provided contextual analysis and critical assessment of new business intake/conflicts search requests (often time sensitive) submitted by attorneys. Utilized specialized searching techniques and strategies formulated around core business, legal, and online sources to generate reports; analyzed corresponding conflicts database hits; presented relevant findings in a clear, concise summary in adherence to department procedures. Instructional and subject matter tasks included ongoing and regular training for new hires; provided daily review of trainee’s work for proper analytical conclusions and corresponding documentation; tracked daily productivity and quality progress; communicated progress and issues to management on a regular and timely basis.

Badawi Law, Tampa, FL

Law Student Intern Sep 2015 – Dec 2015

Assisted with client interviews; conducted legal research; prepared asylum applications for Syrian refugees; drafted legal arguments; and accompanied lawyers to Immigration Office and Court.

Western Michigan University Thomas Cooley Law School, Riverview, FL

Debt Relief Clinic, Law Student Intern May 2015 – Aug 2015 Interviewed clients; prepared case/fact analysis and memorandums; conducted legal research; drafted correspondence and pleadings; prepared bankruptcy petitions using Best Case; represented clients in Federal Court on bankruptcy matters; and utilized practice management software (Clio).

Regulatory Data Corporation (RDC), King of Prussia, PA

Manager of Data Operations & Senior Research Assistant Sept 2011 – Oct 2012 Managed a team 5 of due diligence analysts to produce 500+ daily SAR reports, that included all aspects of Know Your Customer (KYC) and/or Consumer Due Diligence (CDD) while operating within agreed business service level agreements and strict confidentiality standards. Reviewed processes and implemented risk plans, leading team regarding specific Anti-Money Laundering (AML)/Bank Service Agreements (BSA) and KYC risk-based programs.

BSA/AML Compliance Senior Analyst Nov 2010 – Sep 2011 Performed enhanced checks within the parameters of the Currency and Foreign Transactions Reporting Act, and the U.S. Patriot Act, to ensure that customer accounts were compliant with the financial institution’s anti- money laundering objectives. Extensive study, analysis, practical application and subject matter expert of the US Patriot, Anti-Money Laundering and Bank Secrecy Acts across various financial institutions and their clientele. Generated detailed internal and external quality reporting and statistical analytics to ensure risk mitigation and operational efficiency. Extensive experience of CTR /SAR research as well as performing and evaluating Enhanced Due Diligence, OFAC, and Politically Exposed Persons searches. Cataloged and distributed quantitative risk data related to notorious criminal individuals and enterprises.

Education

Western Michigan University, Thomas Cooley Law School (Tampa Bay Campus), Riverview, FL

Juris Doctorate Graduated 2015

Shaw University, Raleigh, NC

B.A. English, Minor in International Relations Graduated 1999

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