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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000



Productive, quality-oriented Legal Professional eager to contribute strong analytical and organizational talents toward supporting a dynamic firm in achieving goals and objectives.


Qualifications Profile


        Excel in performing broad-spectrum legal research, interpreting and drafting legal documents, and negotiating agreements and resolutions.

        Well-versed in FINRA, federal securities and SEC compliance.

        Display a collaborative work approach, adaptability, decisiveness, and sound judgment.

        Able to meet strict deadlines, and quickly adapt to new roles, responsibilities, and software.

        Adept at analyzing and editing contracts, assessing legal risk, and communicating complex legal concepts in a clear manner.

        Persuasive, confident and perceptive with significant problem solving abilities and interpersonal skills.

        Appreciated for unparalleled integrity and commitment to maintaining confidentiality.

        Considerable strengths in providing rational advice on critical legal issues.


Professional Experience


Morgan Stanley Smith Barney (fka Citi Smith Barney), New York, NY, 2009 to Present

Legal Analyst

  • Actively support Early Dispute Resolution Group by swiftly responding to retail customer complaints against firm and/or firm s financial advisors, scrutinizing and determining validity of claims, and expediting corrective action.
  • Cooperate with individual Smith Barney branches to facilitate settlements and trade corrections where applicable.
  • Exercise advanced knowledge of regulatory compliance to respond to inquiries from SEC, FINRA and state representatives concerning customer complaints reported on registered brokers U4 and U5 forms.


Feldman Weinstein & Smith LLP, New York, NY, 2008 to 2009


  • Proficiently supported Corporate and Securities department by administering transactional matters, primarily structuring, documenting and servicing private placement financings and shelf placements.
  • Applied sharp analytical abilities toward researching Securities Act, Exchange Act and NASDAQ rules, and wrote memoranda of law.
  • Conducted in-depth due diligence investigations and documented findings.





Yyyyyy x. yyyyyy Page 2 of 2, Professional Experience continued


The Depository Trust & Clearing Corporation, New York, NY, 2006 to 2008

Legal Intern

  • Exhibited precise attention to accuracy in preparing SEC rule filings for managed account programs, alternative investment products, structured securities, mutual funds, and minor rule violation plans.
  • Partnered with business specialists to effectively draft user agreements, and edited contracts to clarify terms and conditions.
  • Demonstrated considerable legal acumen in writing board memorandum and important notices, gathering files for SEC examinations, and efficiently responding to inquiries.
  • Gained excellent knowledge and training in anti-money laundering and information privacy laws.

Brown Brothers Harriman & Co., New York, NY, 2008

Compliance Intern

  • Researched FINRA (Financial Industry Regulatory Authority) rules in preparation for membership, gathering useful information on communicating with the public, trading/execution controls, and remediating conflicts of interest.
  • Reviewed and updated online company compliance criteria and legal procedures.
  • Wrote memorandum of law based on Securities Exchange Act of 1934 (1934 Act) and Investment Company Act of 1940 (1940 Act).
  • Analyzed extensive volume of broad-scope agreements and contracts.
  • Established collaborative relationships with attorneys and compliance specialists, vital to ensuring consistent alignment with regulatory requirements.


Education & Honors


Juris Doctor, Brooklyn Law School, Brooklyn, NY, 2008

  • Recipient of Prince Scholar award
  • Participated in Upperclass Mentor Program


Bachelor of Arts in History, Brandeis University, Waltham, MA, Summa Cum Laude 2005

  • Honors Thesis: Religion, Politics, and Progression in Protestant Sermons of Revolutionary New England
  • Dean s List (eight semesters)
  • Phi Beta Kappa
  • Undergraduate History Department Representative
  • Admissions Department Volunteer




Admitted to New York Bar. Member of New York City Bar Association, New York State Legal Association and American Bar Association




French and Latin


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