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    New York Bar (2003)|FINRA Series 63 (BD)/65 & 66 (IA) Regulation (2011)| DOD Top Secret-SCI (1990)

    CONSULTANT INTERFOR INCORPORATED INTELLIGENCE GROUP. NEW YORK, NEW YORKOCTOBER

    2010

    Conduct enhanced Due Diligence (DD) & KYC investigations that are corporate personnel, board

    of directors and M&A partnership selection/vetting oriented

    Provide timely and accurate Suspicious Activity Report (SAR) analysis asset location &

    transactional-wiring verification services for the regulatory compliance & risk management

    professional

    Develop litigation/corporate/financial intelligence that is both real world & real time

    Conduct Foreign Corrupt Practices Act evaluations, investigations & consultations

    Advise Strategic Outsourcing Corporations on political & litigation vulnerabilities

    Consultant & External Project Manager Electronic Evidence Discovery (EED) July 2008 - Present Assess EED platform & AML software consistency with client investigative requirements and

    resources

    Translate Client-specific regulatory goals into a Financial Intelligence (FI) collection plan, create

    supporting BSA, AML, & antifraud indicator (Red Flag) lists & develop effective, efficient &

    understandable search indicator-specific search protocols for financial monitoring software &EED database queries

    Use multi-disciplinary approach (Signals Intelligence (SIGINT), Traffic Analysis, Net Work

    Theory & Forensic Linguistics) to locate/identify transactional patterns with a high

    correlative/causation coefficient for illegal/prohibited or legal/mundane conduct & use thesepatterns as search templates to expedite search projects by prioritizing valuable areas of inquiry &

    downgrading if not eliminating low value network topographical patterns

    319 West 92nd StreetNew York, New York 10025917.441.6990markbradle es ahoo.com

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    Aggressively protect the transactional-investigative effort through frequent report

    dissemination, maintenance of required evidentiary logs/documentation, & constant

    update/upgrade of associated databases/software applications

    Instruct/train AML compliance personnel in most effective techniques to maximize EED

    database applications & to use the linguistic idiosyncrasies or corporate artifacts of client culture

    as a search multiplier in the rapid identification or elimination of areas of investigative inquiry

    Securities Litigation & Regulatory Compliance Analyst, Sullivan & Cromwell, LLP,

    New York, NY March 2003 May 2008

    Perform continual White Collar due diligence (anti-fraud/AML/BSA) on behalf of global

    investment bank subject to multiple regulatory-compliance regimes (SRO, state, federal,

    international) constant litigation, & reputational risk

    Conduct incident-specific, discrete assessments of AML compliance in all aspects of

    trading activity by internal electronic data audits/network analysis (email, Bloomberg, im, twitter

    & electronic social network surveillance) & audio review of proprietary lines of telephonic

    communication (squawk box)

    Initiate at request of the United Nations: 3 year look back investigation ofIraqi foodfor oil corruption allegations, involving multinational transactional documentation,international wire transfers & bank routing numbers subject to linguistic, cultural, informal valuetransfer system (IVTS), and Rule of Law complications (WatchDog/Winpro & OFAC

    Analyzer)Review/audit broker-dealer transactional activity that may indicate a pattern ofunreported & aggregated (SMURFED) trade amounts or other evidence of structured payments or

    similar attempts to evade or circumvent CTR or SAR requirements & require multiple-regression,

    look back analysis of wire house trade-traffic or electronic communication network (ECN)

    emissions

    Provide flexible trial support function by archiving all investigative case related

    correspondence & filings in multiple formats, preparing witness binders, evidentiary & privilege

    logs (in excess of 10,000 entries) updating all electronic document databases to reflect current

    agreements or rulings as to inclusion or exclusion for trial, forensic collection/process/return of

    hard copy/drive from client

    Law Clerk, Federal Public Defenders OfficeNew Orleans, Louisiana January 1995 December 1995 Conducting case research and audio & video evidentiary review& trial transcript analysis

    Memoranda preparation for money laundering conspiracy (SMURFING & RICO) trial

    Writing appellate briefs & habeas corpus writs

    Associate, American Bar Association Central and Eastern European Law Initiative (CEELI),

    Moscow, Russian FederationMay 1994 - September 1994

    Conducted survey of white-collar criminal law legislation and AML initiatives in the Russian

    Federation

    Regulation & monitoring of Informal Value Transfer Systems (IVTS) of former Soviet Central

    Asia

    1st Lieutenant, Military Intelligence Corps United Army 1989-1996

    Intelligence Officer with the 1st Armored Division

    Research and analysis of political and military developments in the former Soviet Union and

    Warsaw Pact countries

    Guide and Russian interpreter for the Treaty Verification team of the Conventional Forces Europe

    (CFE)

    Signals Intelligence & Traffic Analysis of Soviet & Warsaw Pact Strategic & Tactical

    Communication in the US Army Europe (USAEUR) Theater

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    PROFESSIONAL EDUCATION/ MILITARY TRAINING

    John Jay College, New York, New York Anticipated Graduation May 2011

    Masters In Forensic Psychology GPA 3.85/4.0

    Thesis Topic: Predictive Ability of Experts In Jury Decision Making Outcomes

    Tulane Law School, New Orleans, Louisiana, Juris Doctor, May 1998

    Maritime Law Certificate

    Tulane Appellate Clinic GPA 4.0/4.0

    Tulane University, New Orleans, Louisiana, Bachelor of Arts, May 1988

    Dual Degree: Russian and International Relations

    Cumulative GPA: 3.51/4.0

    Honors/Awards: Cum Laude, Army ROTC scholarship

    US Army Military Intelligence Officers Basic Course (MIOBC, 1990)

    US Army Officers Psychological Operations Course (JFK Special Warfare School, 1993)US Army Military Intelligence Officers Advanced Course (MIOAC, 1995)

    FINRACOMPLIANCE TRAINING SPRING 2011

    AML: Due Diligence for Private Banking Accounts

    AML-Retail/Operational/Institutional: Recognizing Red FlagsAML-Retail/Operational/Institutional: Know Your Customer

    AML-Retail/Operational/Institutional: Suspicious Activity Recognition & Escalation

    AML-Retail: Variable Annuities/Life Insurance

    AML-Retail/Operational/Institutional: New Risks

    AML-Retail/Operational/Institutional: Customer Identification ProceduresAML-Institutional: Foreign Correspondent Accounts

    AML-Institutional: Identifying & Managing Higher Risk Clients

    PROFESSIONAL AFFILIATIONS/ CERTIFICATIONS/AWARDSNew York State Bar Association, 2003

    Association of Certified Fraud Examiners, 2009

    NASD Series 63 Uniform Securities Agent State Law Examination, 2009

    NASD Series 66 Uniform Combined State Law Examination, 2011NASD Series 65 Uniform Securities Investment Adviser Law Examination, 2011

    Department of Defense Certified Russian Linguist 2+/3, 1995

    Department of Defense Top-Secret, Secret Compartmentalized Information Clearance (TS-SCI),

    1995

    Federal Bureau of Investigation, Behavioral Analysis Unit Award For Original Research, 2004

    New York State Real Estate Brokers License, 2009

    International Association of Blood Pattern Analysts (IABPA), 2003

    ELECTRONIC DOCUMENT REVIEW PLATFORMS & FINANCIAL SOFTWARE APPLICATIONS* Atennex * Bloomberg * Catalyst * Concordance * Discovery Partner * Dochunter * EDGAR

    * Excel * Introspect * Lextranet * Lexis/Nexis * Microsoft Word * NICE (Audio Review)

    * PowerPoint * Relativity * Ringtail * Stratify * Relativity

    MAJORPROJECTS: INVESTIGATIVE REVIEW & PROJECT MANAGEMENT

    Investigative Review

    Bankruptcy Clawback issue involving a multibillion dollar Ponzi Scheme involving allegations of

    banking fraud, BSA violations and money laundering requiring look back reviews of international

    bank wire transfers over a 10 year time span (Ringtail/Relativity)

    Securities Litigation in a 10-b Action between major investment fund & subprime mortgage

    company, involved a complex analysis of GAAP accounting rules and financial instruments

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    including loan tapes & other securitization mechanisms/benchmarks (Lextranet)

    FINRA/ Broker Dealer Investigative review of charges of brokerage misconduct, to include

    misrepresentation of account status, churning, caps, violation of know your client rule,

    comingling, market timing and late trading in investment bank sell side operations, conducted

    exhaustive analysis and cross referenced over 600 Dealer/Rep Dummy codes that were being

    misused by a brokerage member(Concordance)

    Subprime mortgage litigation involving the trading of mortgage backed securities & related

    derivatives, involved complex issues of assignment of culpability/liability among major

    investment bank, mortgage companies and rating agencies (Attenex)

    Perform transactional due diligence & AML compliance evaluation on behalf of Internet SectorMutual Fund, post mortem prospectus investigative-fact checking & timeline verification

    concerning allegations of market timing and late trading by a major investment bank

    (Concordance)

    Internal evaluation of KYC rule violation, allegation, potential breach of investment advisor

    fiduciary duty by client & ISDA violations in the marketing, promotion and trading of municipal

    interest rate swaps and foreign exchange (FOREX) based derivatives by a major investment bank

    (Stratify)

    Litigation concerning fraud, collusion and insider trading of energy futures & options and other

    commodities based derivatives, analysis of documentation & correspondence with regulatory

    agencies and various boards of trade (NICE audio) & (Attenex)

    Antitrust implications of a contemplated acquisition of several Transfer Agent and wire house

    facilities by a top tier investment bank, involved extensive review of SEC Filings: TA-1 & TA-2s to determine relative market share (Bloomberg/EDGAR)

    Conducted: internal audit, reputational due diligence & KYC compliance of Viaticals company

    that was the subject of acquisition negotiations by a Bulge Bracket firm (Attenex)

    Project Manager

    Supervise, train, & provide Quality Control (QC) support for 80 attorneys & 30 paralegals on a 9

    month project in complex, multidistrict, class action, securities litigation representing a major

    Internet media company, handled logistical, administrative as well as substantive review and

    analysis (Concordance)

    Supervise, train and provide QC for 25 attorneys for a 3 month project addressing a complex

    multi-jurisdictional dispute involving substantive issues of The BSA & Patriot Act between amajor international hedge fund and federal regulators in commercial bank de-mutualization

    litigation (Relativity)