Employment

January, 2006 -  Present

Assist in monitoring compliance matters for UK and Hong Kong offices

Oversee and assist with HSR, 13F, 13G and 13D filings
Update and maintain Restricted Securities List
Conduct monthly review of Best Execution and Broker Commission reports
Screen and perform due diligence on PIPE deals
Compose and distribute Prospectus Delivery Letters to various brokers for PIPE transactions
Monitor daily holdings of various funds
Monitor international holdings and oversee any necessary filings with respective countries

Work with analysts to determine if securities held or being researched are FIRPTA companies

Monitor and work with traders to keep track of any trade errors

Sit on trading floor and communicate daily with PMs and traders regarding positions held, filing requirements and any other compliance matters that may arise
Monitor short sales and assist with weekly filings
Monitor all short selling rules domestically and internationally
Maintain record of gifts employees receive and events they attend and determine if they fall in company s policies and procedures

Conduct semi-annual updating of personal accounts and conflicts questionnaire

Monitor employee affiliations with public/private companies

December, 2003 -  December, 2005
Executive Assistant

Provided support to 3 attorneys, chief compliance officer and assistant treasurer
Drafted and edited Consulting and Confidentiality agreements
Updated and distributed Restricted List

Reviewed all products traded and confirmed their legal trading status

Regulated all employee bank accounts, personal trading, compliance documentation and attendance to conferences or outings hosted by third parties
Organized employee seminars regarding compliance policies and procedures
Scheduled conference calls and meetings for various departments
Provided required documentation to various brokerage firms for the opening and closing of the Fund s and the Family s accounts
Reviewed TIC report monthly and assure its delivery to the Federal Reserve Bank of New York
Oversaw both internal and external participation in Treasury Auctions and Re-openings

November, 1999 -  November, 2003

Provided legal support to securities case team, 3 partners and 7 associates in New York and 5 attorneys in Delaware ; provide support to various other cases, reporting to respective partners
Drafted, proofread and edited official correspondence and court documents
Researched various issues using electronic databases
Assisted attorneys in trial preparation
Maintained all case files, case rooms, client documents, etc
Translated legal documents and interviews between attorneys and clients

Assisted in the preparation of high profile cases heading for trial. Organized documents and databases. Provided support throughout ongoing depositions, discovery and follow-up
Trained and provided direction and guidance to new legal assistants
Reviewed documents for responsiveness and privilege

May, 1999 -  May, 1999
Attorney

Drafted and prepared legal documents, closing binders and sale contracts for residential and commercial real estate
Translated and transcribed corporate minutes
Interacted daily with clients

October, 1997 -  October, 1999
Intern

Education

Training

Communicated major news releases to broadcast and media companies
Coordinated interviews between clients and major broadcast and print media
Assist in preparing and organizing presentations for various conferences


Skills


Fluent in Spanish Word, WordPerfect, Access, Excel, PowerPoint, Outlook, Delta View, Internet Explorer, Lexis-Nexis, Westlaw, Paradox, AFS, ViewPoint, Edgar, Bloomberg