Kaleel Gainey Email & Phone Number

Charlotte, North Carolina, United States

• Collaborates with legal teams for firm-wide asset classes to develop standard operating procedures for creating new entities, marketing to domestic and foreign clients, and reporting to regulators• Writes firm-wide policies for compliance processes, specifically for compliance regulatory reporting procedure • Reviews Requests For Proposals (RFPs) and Requests For Information (RFIs) for regulatory compliance prior to distribution• Created training presentations and led training… Show more • Collaborates with legal teams for firm-wide asset classes to develop standard operating procedures for creating new entities, marketing to domestic and foreign clients, and reporting to regulators• Writes firm-wide policies for compliance processes, specifically for compliance regulatory reporting procedure • Reviews Requests For Proposals (RFPs) and Requests For Information (RFIs) for regulatory compliance prior to distribution• Created training presentations and led training sessions for firm-wide employees for the implementation of new employee compliance reporting platform• Monitors and tracks updates with state, federal, and international private market regulations Show less

Charlotte, North Carolina, United States

• Collaborated with Corporate Risk, Strategy, Planning, and Governance teams to create and organize inventory of state, federal, and international regulatory requirements • Provided Quality Assurance of 200+ regulatory requirement summary documents applicable to front line company businesses/products, ensuring serviceability throughout company • Performed compliance monitoring of requirement summary documentation process and conveyed compliance issues to summary drafters to ensure… Show more • Collaborated with Corporate Risk, Strategy, Planning, and Governance teams to create and organize inventory of state, federal, and international regulatory requirements • Provided Quality Assurance of 200+ regulatory requirement summary documents applicable to front line company businesses/products, ensuring serviceability throughout company • Performed compliance monitoring of requirement summary documentation process and conveyed compliance issues to summary drafters to ensure corrective action prior to distribution • Analyzed data sets to identify error trends in review processes and execute strategies based on the associated information to limit errors, improve efficiency, and minimize redundancy Show less

• Developed risk mitigation processes to decrease legal exposure and prevent material loss based on U4/U5 reporting standards and FINRA 4530 disclosure criteria customer complaints and disputes• Facilitated regular Compliance, Legal, & Risk Department meetings focused on identifying and mitigating legal exposure, developing strategic plans, and tracking metrics to inform stakeholders• Ensured compliance with the regulatory obligations for brokerage firms, submitting 100+ FINRA 4530… Show more • Developed risk mitigation processes to decrease legal exposure and prevent material loss based on U4/U5 reporting standards and FINRA 4530 disclosure criteria customer complaints and disputes• Facilitated regular Compliance, Legal, & Risk Department meetings focused on identifying and mitigating legal exposure, developing strategic plans, and tracking metrics to inform stakeholders• Ensured compliance with the regulatory obligations for brokerage firms, submitting 100+ FINRA 4530 filings • Acted as liaison between Compliance, Legal, & Risk Department, representatives, and customers developing effective communication procedures to move case through lifecycle • Investigated potential legal exposure and drafted memoranda for pre-litigation disputes Show less

Fort Mill, South Carolina

• Resolved 1,000+ pre-litigation disputes between clients, advisors, financial institutions, and regulatory agencies • Provided compliance guidance in accordance with policies set by the SEC and FINRA to financial representatives • Performed reviews of investment accounts to ensure compliance with trading policies and mitigate legal risk• Maintained updated case files for 60+ active cases at a time, performing document reviews and tracking case records• Collaborated in team… Show more • Resolved 1,000+ pre-litigation disputes between clients, advisors, financial institutions, and regulatory agencies • Provided compliance guidance in accordance with policies set by the SEC and FINRA to financial representatives • Performed reviews of investment accounts to ensure compliance with trading policies and mitigate legal risk• Maintained updated case files for 60+ active cases at a time, performing document reviews and tracking case records• Collaborated in team meetings with paralegals, attorneys, and senior management to review new and existing policies and procedures for handling customer disputes that minimize legal, regulatory and reputation risk for the company Show less

• Researched ecommerce products to identify strategy, liability concerns, regulatory conformity, and market demand• Led vendor communications tracking product availability, terms of sale, and other potential partner opportunities• Managed CRM, Sales, and inventory system databases, entering new products, clients, and other verified information• Partnered with data science teams to design business solutions and marketing strategies based on reported metrics• Gathered key insights… Show more • Researched ecommerce products to identify strategy, liability concerns, regulatory conformity, and market demand• Led vendor communications tracking product availability, terms of sale, and other potential partner opportunities• Managed CRM, Sales, and inventory system databases, entering new products, clients, and other verified information• Partnered with data science teams to design business solutions and marketing strategies based on reported metrics• Gathered key insights and background information about marketing strategies to report to senior leaders in briefs Show less

Charlotte, North Carolina Area

• Drafted speeches, submitted op-eds on behalf of the congressional office, conducted and consolidated policy research • Facilitated constituent and stakeholder communication by establishing and disseminating monthly District Newsletter• Managed internal and external correspondence, drafting communication materials, directing mail and calls• Served as point of contact for office, responding to inquiries, resolving concerns, and recommending resources

Charlotte, North Carolina

o Educate prospective, international, transfer, and admitted students about the University by leading groups of 12+ through campus weeklyo Assist in the intake of 1200+ students during Open House, including speaking at student seminars/panels and providing campus tours to 30+ parents and prospective studentso Develop social/digital media campaign ideas and branding strategies designed to assist in the marketing of the tour guide program and University Admissions Office

Charlotte, North Carolina Area

o Aid in the retention and graduation of over 130 SAFE Program studentso Personally provide ongoing academic and social support for three SAFE students throughout their first yearo Familiarize students with campus and academic resources, and accomplished a first year small group average of 3.4 GPA

Charlotte, North Carolina Area

o Manage classroom of 11+ students while teaching literacy techniques and utilizing the Integrated Reading Curriculum, with the overall goal of curbing summer learning losso Drafted lesson plans for 20+ students based on learning timeline and student academic levelo Facilitated six parent-intern events, including parent-intern meetings, chaperone opportunities, and volunteer events o Completed over 90 hours of training on procedure, policy, and instruction style

Cybersecurity Boot Camp

Bachelor Of Arts - Ba, Political Science And Government