         LEGAL SPECIALIST III - INVESTMENT BANKING SUBPOENA COMPLIANCE           Summary      Certified paralegal with an extensive legal background, excellent supervisor skills and Investment Banking knowledge, seeking a position within the Financial Industry where my knowledge of legal terminology, banking laws, and regulatory policies and procedures would be fully utilized and expanded.        Highlights          CORE SKILLS  Advanced Monitoring  Regulatory Compliance  Protection of Customer's Rights  Risk Management  High-Risk Investigations  Quality & Efficiency Assurance  Investment Banking  Strategic Thinking  Policy & Procedure Development  Regulatory Affairs  Loss Mitigation  Complex Administrative Skills COMPUTER KNOWLEDGE WordPerfect Microsoft Word Excel PowerPoint Outlook Time Map MA 3000 LawDrill eRoom CourtExpress Courtlinks Lexis-Nexis Westlaw Live Edgar Pacer Summation Concordance Trial Director Shepardize Cite Check Blue Book e-discovery NYSCEF ITC BPAI TTAB Intralinks PAIR Access Equliar Clearwell Stratify. Notary Public      Advanced Monitoring  Advanced Monitoring  Regulatory Compliance  Protection of Customer's Rights  Risk Management  High-Risk Investigations  Quality & Efficiency Assurance  Investment Banking  Strategic Thinking  Policy & Procedure Development  Regulatory Affairs  Loss Mitigation  Complex Administrative            Accomplishments      2008: Nominated "Paralegal of the Year Award" by the American Association for Justice  2003: Awarded Employee of the Month  1999: Awarded Miss Congeniality  2015: Member of the Rewards & Recognition Committee  2010: Member of the National Federation of Paralegal Associations  2009: Presentation on Paralegal Trial Procedures and Duties  2007: Legal Staff Profile, an article written by Law Crossing  2005: Labor & Employment Newsletter: State Minimum Wage Guide  2004: Diversity Sensitivity Training to clients including staff and management  2003: Article: You're Hired Let's Arbitrate        Experience      Legal Specialist III - Investment Banking Subpoena Compliance    December 2013   to   Current     Company Name   －   City  ,   State      Create data analytics related to complex compliance financial investigations, experience in banking environment and familiar with various financial products.  Responsible for complex Investment Bank investigations and analysis to ensure bank-wide compliance with Bank Secrecy Act (BSA), the USA Patriot Act, Office of Foreign Asset Control and other guidance as published by FinCen, FDIC, Federal Trade Commission (FTC) or the US Treasury Department.  Assessing the risk of customers to the Bank including reviewing for Anti-Money Laundering (AML) and Suspicious Activity Reports (SARs) investigations.  Communicating effectively, verbally or written, while supporting GIRE, GS&I, AML and other internal and regulatory departments.  Construct filters and queries to refine e-discovery reviews with attorneys and LDM Department.  Prepare objections to the subpoenas and negotiate the scope and bread of the request.  Knowledge of the financial industry and investing banking practices including mergers, acquisitions, capital markets, equity research, securities clearing and prime brokerage.          Benefit Consultant Agent    April 2013   to   November 2013     Company Name   －   City  ,   State      Conduct seminars on Healthcare reform  Detailed-oriented with excellent research, investigative and reporting skills.  Extensive knowledge of substantive and procedural aspects of the Insurance industry.  Provide information on the 12 supplemental insurance products to potential clients  Research the changing Healthcare laws and Tax Regulations in New Jersey and New York  Training to sell mutual funds, annuities, securities, retirement plans and insurance products.          Case Supervisor and Project Management Professional    October 2000   to   April 2013     Company Name   －   City  ,   State      Responsible for managing 5-15 paralegals on cases, projects, trials and appeal assignments  Coordinate and delegate assignments and cases to junior paralegals and temporary support staff  Supervise, hire, train and support paralegals in the firm's New York, New Jersey and Boston offices  Boost staff morale and improve teamwork by being accessible after hours for problem resolutions  Redesigned paralegal and staff forms for greater effectiveness with e-discovery tools  Strong analytical skill and willingness to deal with and solve on-going unique situations Senior Trial Paralegal, Intellectual Property  Assist NY, NJ, CA and TX offices with trademark infringement and internet counterfeiting matters  Manage US and foreign patent prosecutions. Handle utility and design patents with 10 or more claims  Prosecute patents cases with the International Trade Commission and Board of Patent Appeals and Interferences  Deal with unfair competition, trade secrets, false advertising, patent and copyright infringement issues Senior Trial Paralegal, Labor & Employment  Assist 5 attorneys in the areas of labor law issues including employment, union, wage & hour, FLSA, and ERISA  Collaborate with attorneys during Federal and State trials involving ADA, harassment litigations, domestic violence in the workplace, employment agreements, separations, wage and hour issues and ERISA liability  Provide support with claims of executive compensation, fiduciary, professional liability at the Alternative Dispute Resolution, arbitration, medication, NASD, and EEOC levels  Draft current editions of sensitivity training guides, employee handbooks, management policies and employment agreements and collective bargaining agreements Trial Paralegal, Corporate  Basic knowledge in the areas of corporate, securities,venture capital, and private equity transaction  Analyze proxy statements, officer questionnaires, forms 10-K, 10-Q and 8-K for compliance.  Involved in officer and director stock transactions, during and after employment.  Review and analyze SEC, Equity Capital Market (ECM) and acquisitions documents. Paralegal, Litigation  Assist in trial preparations by creating trial notebooks of plaintiff and defendant witnesses witness outlines, deposition digests, pleadings, motions, orders, and potential trial exhibits  Digest deposition and hearing transcripts in a computer database  Identify and accumulate background information on opposing counsel's witnesses and experts  Create, manage, scan, code and edit index of discovery production including correspondence, pleadings, and bates stamped documents in an electronic computer database. Create discovery and privilege logs.          Assistant Office Manager and Paralegal in the Asbestos, Lead & Insurance    January 1999   to   October 2000     Company Name   －   City  ,   State    New York, New York 01/1999 - 10/2000 Assistant Office Manager and Paralegal in the Asbestos, Lead & Insurance        Paralegal, Personal Injury    March 1997   to   January 1999     Company Name   －   City  ,   State            Paralegal    May 1996   to   March 1997     Company Name   －   City  ,   State    Securities        Education      License   :   Life & Health Insurance  ,   2012    New Jersey State Life          New Jersey State Life & Health Insurance License 2012        Certification   :   Paralegal Studies Program  ,   1996    Benjamin N. Cardozo School of Law   －   City  ,   State  ,   US      ABA approved Certification, Paralegal Studies Program, General Practice 1996          Bachelor of Arts   :   Sociology, Criminal Law  ,   1995    Fairleigh Dickinson University   －   City  ,   State  ,   US      Fairleigh Dickinson University, Teaneck, New Jersey  Bachelor of Arts in Sociology, Concentration in Criminal Law 1995          Certifications    Project Management Professional ABA PMP      Affiliations    of the Rewards & Recognition Committee      Additional Information    Manage US and foreign patent prosecutions. Handle utility and design patents with 10 or more claims      Skills    Paralegal, Securities, E-discovery, Training, Ada, Advertising, Cases, Claims, Compensation, Correspondence, Database, Defendant, Deposition, Eeoc, Equal Employment Opportunity Commission, Erisa, Executive Compensation, Flsa, Intellectual Property, Labor Law, Liability, Litigation, Nasd, Patent, Patents, Plaintiff, Project Management, Sec, Trademark, Witness, Asbestos, Office Manager, Aml, Brokerage, Bsa, Business Systems Analysis, Capital Markets, Data Analytics, Fdic, Fixed Income, Investment Banking, Treasury Department, Annuities, Clients, Healthcare, Mutual Funds, Access, Award, Excel, Lexis, Loss Mitigation, Microsoft Word, Mitigation, Outlook, Pmp, Powerpoint, Regulatory Affairs, Regulatory Compliance, Risk Management, Trading, Westlaw, Word, Wordperfect   