Joseph Gavin Email & Phone Number

Matthews, North Carolina, United States

Zurich, Ch

San Diego, Ca, Us

Worked on the Financial Crimes Compliance AML & OFAC Advisory team, which engages with variousdepartments to ensure the AML and OFAC programs are operating efficiently and meeting regulatory expectationsMonitored regulatory enforcement actions, assessed firm exposure, and implemented necessary updates to AML and OFAC policies, procedures, and training modulesDeveloped a comprehensive new cannabis policy, exception process, and risk control frameworkConducted enterprise-wide AML and OFAC risk assessmentsAdvised firm leadership on key AML and OFAC policy issues as they emerged, including CIP for politically exposed persons, cash management controls, and sanctions programs Managed team of negative news alert analysts to assist with customer due diligence operationsRecommended updates to the foreign accounts policy in light of evolving AML, OFAC, and privacy risk issues

Co-managed fiduciary responsibilities for approximately 200 trusts ($100,000 to $15,000,000 each)Responded to requests from beneficiaries for trust support, prepared memoranda, made recommendations regarding the proper exercise of discretionary powers, and coordinated distributionsCollaborated with tax advisors, investors, and clients to balance interests of current and future beneficiariesReduced institutional risk and ensured regulatory compliance by conducting research for KYC efforts and helping to develop more effective procedures for various aspects of the business

Wrote complaints, motions, and memoranda to assist attorneys with cases related to business law, mortgage foreclosures, estate planning, and general tortsResearched and drafted memoranda addressing nuanced legal issues involved in diverse areas such as ERISA, tenancy by the entireties, attorney-client privilege, child support, and sexual harassment Worked with businesses to maintain company records, draft corporate resolutions, and update company policies to minimize risk of liability and comply with federal, state, and local requirements

Chicago, Il, Us

Worked closely with legal department to review contracts and monitor and summarize new regulations impacting American dentistsDeveloped and delivered presentation at the annual meeting for state dental associations’ executive directors and general counsels on how to maintain HIPAA compliance in the event of a suspected internet security breach Created new marketing guidelines for dentists seeking to utilize social media and couponing without violating the American Dental Association’s complicated standards for professional ethics

Worked primarily with the Honorable Dennis J. Burke, Circuit Judge in the Law Division, reviewing motions, researching case law, and discussing legal issues with Judge BurkeOversaw dozens of settlement conferences

New York, New York, Us

Worked with multiple account teams concurrently for clients prominent in the automotive, food & beverage, and technology industriesWrote press releases, media alerts, pitch letters, and fact sheets Worked closely with journalists to develop story ideas and convey clients’ messages in major trade publications and consumer media outlets, both locally and nationally Worked with executives at Fortune 500 companies to issue earnings reports in compliance with regulationsWon company’s Bindey Award (given monthly based on employee recommendations) twice, in August 2008 and October 2009, “for going beyond the norm and delivering above expectations”

Chicago, Illinois, Us

Conducted historical research, collected photographs in museum archives, and drafted text with the goal of expanding current articles for the online version of the Encyclopedia of Chicago History

Doctor Of Law (J.D.)

Bachelor Of Arts (B.A.), Major In International Studies, Minor In History

Study Abroad Program, Chile: Culture, Development, And Social Justice

High School