Legal Analyst and Reporter at lawandcrime.com. @LambeJerry

Developed and implemented regulatory policies through research and analysis of current and pending SEC, FINRA, and state requirements. Orchestrated procedural modernization and adoption of new 3rd party end-to-end trading platform to optimize data interface and record keeping.- Coordinated SEC filing of registration statements, prospectuses, SAIs and related supplements in accordance with The Securities Act of 1933, and The Investment Advisor Act of 1940.- Instituted compliance and AML protocols and testing procedures to expose and rectify any weaknesses.- Rehabilitated outdated regulatory operations with implementation of 3rd party compliance platform, providing procedural uniformity and ensuring continued adherence to evolving industry standards. - Analyzed compliance risk and created strategies to provide risk mitigation.- Audited BD's Operating Agreement and authored necessary addenda.

Recruited by firm for expertise in financial law and regulation. Primarily advised on strategy for U.S. v. Allen, the first federal criminal trial stemming from global Libor manipulation scandal. - Researched Libor etymology and enforcement evolution to decipher regulatory ambiguities and discern concrete legal theories. - Examined witness statements and digital evidence (emails and chat logs) to assess inconsistencies and create extensive reports detailing conflicts and discrepancies.- Drafted memorandums and motions, constructed witness binders for all prospective witnesses, reviewed and annotated all electronic evidence and FBI 301 Reports.

- Entirely rewrote the department’s Operation and Training Manuals, detailing all departmental workflows and organized detailed presentations updating staff on all procedural changes.- Executed and documented AML and SOX Compliance testing.- Instituted audit program for maintenance for compliance with OSHA regulations.- Conducted weekly, monthly, and quarterly internal audits.