Dedicated and incisive Attorney eager to contribute risk management, compliance, and corporate law expertise toward supporting a dynamic organization in achieving goals and objectives.

 

 

        Significant experience in the financial services industry with considerable strengths in compliance, risk management, and anti-money laundering.

        Excel in personnel leadership, training and supervision.

        Well-versed in real property law, civil, family and criminal law, landlord/tenant regulations, bankruptcy, and civil litigation.

        Reputation for solid judgment, prudence, problem solving abilities, and innovative thinking.

        Reliably display a collaborative work approach, adaptability, decisiveness, resourcefulness, and initiative.

 

 

Affinity Bank, 2001 to Present           

Senior Vice President, General Counsel

         Quickly advanced from role as Compliance Manager overseeing legal, internal audit, compliance, contract review, insurance, Bank Secrecy Act, privacy, and security to Senior VP and General Counsel.

         Formed, launched and oversee Risk Management department consisting of six employees which support functional areas such as compliance, Bank Secrecy Act/anti-money laundering, security, internal audit, legal and bank insurance.

         Leverage exceptional organizational strengths to concurrently manage leases, contracts, subpoenas, search warrants and broad-based legal documentation.  

         Capably handle ongoing and potential litigation matters, performing extensive legal research, cultivating and maintaining relationships with outside counsel, and advising bank management, officers, and directors.  

         Anticipate, critically analyze, and respond to new legislative developments or regulations to determine impact upon bank.

 

Montecito Bank & Trust, 2000 to 2001

Vice President, Compliance Manager

         Optimized legal, corporate and regulatory compliance by strategically formulating, implementing and enforcing relevant policies and procedures in both lending and operations.

 

Continued

 

 

Yyyyyy x. yyyyyy ~ Page 2 of 2

 

Professional Experience continued

 

         Exhibited outstanding leadership attributes as Chair of Compliance Committee, primary contact for bank examiners and external auditors, and key resource to all employees for compliance research and information.  

         Strengthened compliance results by delivering training to increase and ensure staff awareness of policies, rules, regulations, and procedures.

         Served as active member of CRA Committee and held full accountability for all CRA and HMDA data collection and reporting.

         Prepared and submitted in-depth reports to management detailing bank compliance status and CRA performance plan.

 

Unisys Pulsepoint Communications, 1999 to 2000

Staff Attorney

• Proficiently maintained and administered comprehensive compliance program in precise alignment with ISO 9000 requirements and criteria.
• Demonstrated excellent success in drafting, negotiating and administering corporate agreements geared to maintain cost control, sustainability, and company growth.
• Provided crucial legal research and support on pertinent legal and regulatory issues and partnered with Corporate Counsel in managing and swiftly resolving commercial and employment litigation matters.

 

 

Prior Background:

 

Deputy District Attorney, Santa Barbara County District Attorney

 

General Practitioner, Law Offices of Yyyyyy x. yyyyyy

 

Manager of Title Changes, Mortgage Loan Servicing Department, Santa Barbara Savings & Loan

 

 

Juris Doctor, Santa Barbara College of Law, 1995

 

Member, State Bar of California, 1995

 

Graduate, ABA National School of Banking, with honors, 2006

 

Member, ABA Bank General Counsel Group          

 

 

 

 

 

 

 

 

 

 

Date

 

 

 

Hiring Agent Name

Title

Company Name

Address

City/State/Zip Code

 

Dear__________________:

 

Are you seeking a sharp and highly-experienced attorney with over 15 years of experience and specialization in compliance and corporate risk management?  I am currently exploring new opportunities, and am interested in joining your team. To acquaint you with my qualifications, I m submitting my resume for your review.  In advance, thank you for your time and consideration.

 

As demonstrated in the accompanying resume, my professional qualifications include a substantial background in the banking and finance industry, proficiency in steering regulatory compliance and risk management operations, and exceptional talents in analyzing and effectively responding to corporate legal matters and challenges. To complement these credentials, I offer keen organizational, research, analytical, and critical thinking abilities.  

 

If chosen for an interview, you will find me to be a driven team player and change agent committed to supporting you in achieving your objectives through superior performance and leadership talents. I am confident that I could be a valuable asset to your organization, and look forward to interviewing with you in the near future.

 

Sincerely,

 

 

 

Yyyyyy x. yyyyyy