Global Financial Crimes Investigation Unit. Responsible for anti money laundering and terrorist financing case investigations and projects.

Review new offering memorandums re Reg S and 144a requirements, OFAC review, draft investment management agreements. Conflict reviews. Prepare documentation for meetings of the board members of Prudential Trust Co.

* Investigated allegations of attorney misconduct for potential violations of the business and professions code * Legal research and writing * Preparation of pre hearing requests for information and/or documentation * Case Management

Compliance Officer/Advisory Paralegal Responsible for reviewing and responding to consumer initiated sales practice complaints and regulatory inquiries involving alleged broker misconduct. Responsible for NASD Quaterly Reporting and 3070 filings. Made recommendations for special supervision when warranted by broker complaint activity. Responsible for the firm's levy, garnishment and subpoena compliance.

* Conduct initial review of the nature and scope of the applicant's proposed business to identify any key issues or concerns. * Utilize multiple databases to compile data necessary to perform analysis of application. * Determine that all supplementary materials referenced in the application are attached and complete. * Ensure compliance with Investment Advisers Act of 1940, Investment Company Act of 1940 and FINRA rules * Draft requests for information. Conduct pre-membership interviews with applicants. * Prepare standards analysis memoranda for review by team manager. * Regulatory projects as required.