ACCOMPLISHMENTS * Trained newly-hired assistant auditors in newly formed capital markets audit division. * Helped devise new audit review procedures for capital markets securities valuations. * Uncovered and explained exploitable weakness in check fraud reimbursement program to department managers. * Promoted to Senior Auditor at a major bank in less than two years, earlier than the department average of three to six years. * Executed detailed review of securities transactions, and verified they complied with SEC and Know Your Client ("KYC") guidelines. * Conducted analysis of operations and identified potential areas of non-compliance with complex new consumer banking regulation. * Advised and trained clients in workplace regulation compliance, including occupational safety and health inspections and discrimination prevention training. * Wrote articles on employment law developments for the firm's client newsletter distributed to in house counsel, human resources and other managers. * Wrote memorandum on the statistical occurrence of employee non-compliance with a no-personal-email- use policy, projecting the potential legal exposure the client faced as a result. * Guided an employer through a plant closing, advising on steps necessary to comply with laws applicable to a reduction-in-force (WARN Act). * Conducted due diligence review in corporate merger. * Researched and advised a new securities brokerage of NASD and other compliance requirements * Developed a coaching system that helps clients reach personal and professional goals in four weeks.

Highlights:

• Training
• Legal
• Management
• Research
• Securities
• Banking Industry
• Audit
• Litigation
• Capital markets
• Financial