General Counsel Regulatory Compliance
Resume:
Stephanie M. Gramlich
***********@*****.***
Objective:
Experienced corporate paralegal with over 10 years of legal expertise in contract review and drafting, policy and procedure development, regulatory compliance, and corporate governance. A United States Marine Corps veteran and JD candidate at Indiana University Robert H. McKinney School of Law, with a strong foundation in banking law, SEC compliance, and litigation.
Currently serving as Paralegal for the General Counsel at a $5.5 billion financial institution, providing comprehensive legal support across multiple practice areas, including:
• Contract review and drafting for commercial agreements, vendor contracts, and regulatory filings.
• Corporate governance, including oversight of policies such as Code of Ethics, Insider Trading, and Related Party Transactions.
• Policy and procedure development, ensuring alignment with federal and state banking regulations.
• Regulatory compliance, including SEC filings, mergers and acquisitions support, and trademark and patent oversight.
• Litigation management, handling legal orders, subpoenas, and document retention policies. Dedicated to driving operational efficiency and risk mitigation in corporate legal departments. Passionate about veterans’ advocacy, assisting fellow veterans in navigating VA disability, education, housing, and healthcare benefits. Also a commissioned notary in Illinois.:
Heartland Bank and Trust Company—Paralegal for General and Internal Counsel & Manager of the Legal Orders and Processing Department 2022 – Present
• Performs legal research and drafts opinions, memos and other legal documents based on such research at the direction of an attorney.
• Review and process legal documents pertaining to legal orders and litigation.
• Drafts, reviews, and manages contracts including commercial agreements, vendor contracts, and regulatory filings, ensuring compliance with applicable banking regulations
• Creates and maintains complex electronic records of legal matters for the General Counsel, including utilization of Venminder for contract organization and record-keeping.
• Maintains and oversees policies owned by General Counsel, including but not limited to the Code of Ethics Policy, Notary Policy, Power of Attorney Policy, Litigation Policy, Insider Trading Policy, Regulation FD Policy and Related Party Transaction Policy.
• Oversees, coordinates, and manages the legal orders team, including staffing, training, coaching, and development of legal analysts.
• Communicates professionally, clearly, effectively, and confidentially – both verbally and in writing – with customers, bank executives, law enforcement, officers of the court, and administrative agencies.
• Maintains confidentiality in accordance with legal orders and all other applicable laws and regulations.
• Ensures department and branch compliance with all policies, procedures, and applicable state and federal regulations.
• Manages budget, invoices, and employee expense reimbursements for the department, as well as notary expense reimbursements for the bank.
• Establishes an environment that creates incentives for and eliminates barriers to a team-oriented workplace.
• Develops strategic initiatives to increase productivity, including creating a clear organizational structure, providing necessary tools for the team, and implementing repeatable processes to improve efficiency and reduce unnecessary variations.
Carl Lamb & Associates—Legal Clerk 2021 – 2022
• Drafting Legal documents including QDROs.
• Client preparation for court testimony, mediation, and depositions.
• Head of discovery procedures for entire firm.
• assisting attorneys by communicating with clients, updates, and stages of their case.
• Collecting attorney, processing, and court fees.
• Producing transcriptions of body cam recordings and other recordings as necessary.
• Scheduling depositions, mediation, and court hearings.
• Evidence collection and documentation.
• Training of legal assistants and interns.
• Detailed calendar tracking.
Osmon Chiropractic Center—Chiropractic Assistant 2019-2021
• Handled billing verification through insurance agencies.
• Audited daily charges, funds, and insurance payments.
• Collected outstanding balances or reported to debt collectors in a timely manner.
• Scheduled appointments and answered phone calls.
• Administered therapy on patients under the supervision of a Doctor of Chiropractic. United States Marine Corps—Sergeant of Police 2014-2019
• Trained military and nonmilitary members in basic police procedures and document drafting.
• Reviewed and edited any citations and reports before being sent to the appropriate jurisdiction agencies.
• Dispatched 9-1-1 calls ensuring the safety of officers and citizens.
• Collected and documented evidence.
• Worked alongside agencies such as the Marine corps Criminal Investigative Division, NCIS, FBI, CIA, Border Patrol, and California Highway Patrol.
Education:
Indiana University Robert H. McKinney School of Law JD (currently attending) Indiana University B.S. Political Science
Saint Mary of the Woods College post - graduate certificate
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