SUMMARY:

Capable of performing compliance and regulatory work. Possess previous work experience performing financial analysis, interpretation of tax laws and regulations, federal energy regulations, and the utilization of analytic and forensic technology. Additionally, knowledgeable of laws, rules and regulations related to Know Your Customer (KYC), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD). Capable of researching systems as well as external websites to gather and validate client information, providing business partner support and participating in data remediation projects to help maintain data integrity.

PROFESSIONAL EXPERIENCE:

Regulatory Compliance Analyst

Confidential, Charlotte, NC

Responsibilities:

• Performed Consent Order Remediation work for Confidential ’s Wholesale Banking particularly for Confidential Securities (WFS).
• Verified and confirmed customer information to be in compliance with the laws, rules and regulations related to Know Your Customer (KYC), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD).
• Performed investigative work, researched and reviewed documentation Wholesale Banking Operations Group’s WFS’ and several other lines of business in compliance with the Customer Due Diligence (CDD) in line with federal regulatory requirements.
• Conducted research on internal systems as well as external websites to gather and validate customer information for WFS, in compliance with federal regulations.
• Remediated the Onboarding documents and information for old customers by collecting additional documents/information from the different lines of businesses in compliance with the new federal regulatory requirements for Know Your Customer (KYC).
• Collected Onboarding documents for new customer customers from the different lines of businesses in compliance with the new federal regulatory requirements for Know Your Customer (KYC).
• The document collection was for customers in the following categories: Fund Managers and Investment Advisors for Investment Banking and Capital Markets; Municipal Customers; and Individuals Brokerage accounts.
• The customers were Corporations, LLCs, LP and LLP, Subsidiaries of publicly traded companies and State entities such as Universities and Community Colleges and/or affiliated Foundations; Local governments and Municipality entities, and Persons, etc.
• Worked well as a member of a team on a large remediation project.
• Provided business partner support and participated in data remediation project to help maintain data integrity.

Consultant Associate

Confidential, Charlotte, NC

Responsibilities:

• Reviewed and analyzed documents for Confidential & Confidential for a financial institution client regarding issues related to anti - money laundering (AML), tax evasion, know your customer (KYC), customer due diligence (CDD), enhanced due diligence, and other related matters.

Consultant Associate

Confidential, Atlanta, GA

Responsibilities:

• Reviewed and analyzed documents for Confidential, in a breach of contract litigation.
• Conducted Quality Control (QC) and redactions.
• Reviewed and analyzed documents for Confidential, in a business litigation.

Consultant Associate

Confidential, Baltimore, MD

Responsibilities:

• Reviewed and analyzed litigation documents for Confidential, in a patent infringement litigation of a drug product, an Confidential for a generic drug maker.
• Reviewed documents relating to inquiries by the Confidential regarding regulatory compliance issues of a certain investment bank and the bank’s subsidiary, relating to regulatory capital treatment of variable interest entity (VIE) assets including those containing collateralized loan obligations (CLO) managed by a subsidiary of a Confidential .
• Reviewed and analyzed documents for Confidential in a pharmaceutical litigation.

Corporate Taxing Officer

Confidential, Harrisburg, PA

Responsibilities:

• Analyzed and determined tax liabilities of corporate tax reports.
• Interpreted and applied tax laws, regulations, departmental policies and procedures.
• Organized and analyzed financial data from income statements, balance sheets, depreciation worksheets and net operating loss worksheets.
• Applied knowledge of financial reports, statements, and corporations finance.
• Performed a comprehensive review of both Federal and State tax returns.

Tax Examiner II

Confidential, Harrisburg, PA

Responsibilities:

• Explained tax laws to taxpayers, accountants, attorneys, or other representatives.
• Read and interpreted correspondence received, and wrote letters to taxpayers or their representatives.
• Corrected Confidential and taxpayer errors.
• Utilized internal computer systems to research tax matters and adjust accounts.
• Calculated penalty and interest, and calculated estimated state tax payments.
• Replied to telephone inquiries regarding processed accounts.

Contracts Administrator

Confidential, Washington, DC

Responsibilities:

• Administered and coordinated a special project.
• Managed consultants' contracts and authorized invoices for payment.
• Prepared legal documents and business correspondence.
• Communicated with members and answered members’ questions via e-mail and telephone. Provided customer support and conducted member outreach.
• Handled governance related issues and maintained minutes.
• Provided coordinative and analytical services. Prepared business correspondence.
• Performed legal research, and prepared pleadings and other legal documents.
• Demonstrated flexibility, initiative, interpersonal skills, and problem solving skills.

Regulatory Research Analyst

Confidential, Washington, DC

Responsibilities:

• Conducted legal research and analysis of energy regulations, policy statements and proposed rulemaking by the Confidential ( Confidential ).
• Reviewed legal documents and prepared pleadings, legal memoranda and other legal documents. Provided coordinative and analytical services.
• Interpreted and applied laws, court decisions and other legal authorities in the preparation of pleadings. Researched external websites to gather information.

Operations Coordinator

Confidential, Chesapeake, VA

Responsibilities:

• Performed accounting and business transactions, and prepared daily, weekly and monthly reports. Performed operations work and handled personnel matters.
• Requested quotations and prepared bid analysis and was involved in business award decisions. Prepared bills of lading and other shipping documents. Maintained inventory.