mark bradley derivatives analyst

8/2/2019 Mark Bradley Derivatives Analyst

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

Financial Compliance Consultant & External Case Room Manager Electronic Data & Evidence DiscoveryClients: 2008 to Present

Investigative Finance Consultant, Interfor Intelligence Group, New York, NY

Conduct Enhanced Due Diligence (DD) investigations (KYC, CIP) that are oriented to the mortgagesecuritization and derivatives industry

Analyze counter-party selection/vetting in Credit Default Swap (CDS) strategy Assess liability of securitization & syndicate/sales force promotion of subprime & related products

(MBS/RMBS/CDS & CDO) Provide asset location & collateral verification services for mezzanine & equity tranches of mortgage based

derivatives & synthetic equivalents

Securities Litigation & Fraud Analyst, Quinn Emmanuel, LLP, New York, NY

Investigate and review pre-litigation allegations of fraud, collusion and insider trading against a board ofdirectors member complicated by ongoing hostile take-over litigation: Discovery value analysis of

plaintiffs electronic documentation & correspondence (iConnect)

Provide flexible trial support function by archiving all investigative case related correspondence & filingsin 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

Provide securities fraud litigation expertise in a 10-b action between major investment fund & subprimemortgage company, involving a complex analysis of derivatives industry, GAAP accounting rules and

financial instruments including loan tapes & other securitization mechanisms/benchmarks

Assess ESI & electronic evidence data & discovery software consistency with client litigation requirementsand investigative resources (Lextranet)

Translate client legal strategy into a litigation intelligence collection plan, supported by term-search list ofRed Flag indicators & understandable document review/database search protocols

Investigative Analyst, Baker Hostetler, LLP, New York, NY

Support bankruptcy receivership of largest Ponzi scheme in history involving clawback action, allegationsof securities & banking fraud, BSA violations and transnational money laundering, requiring look backreviews of international bank wire transfers over a 10 year time span (Ringtail/Relativity)

Use multi-disciplinary investigative approach (signals intelligence (SIGINT), traffic analysis, net-worktheory & forensic linguistics) to locate and identify transactional patterns with a high correlative coefficient

for illegal or legal conduct and create search templates to prioritize or downgrade other areas of inquiry

Aggressively protect the transactional-investigative effort through frequent report dissemination,maintenance of required evidentiary logs/documentation, & constant update/upgrade of associated

databases/software applications

319 West 92nd StreetNew York, New York 10025

917.441.6990 [email protected]


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Financial Compliance Consultant & External Case Room Manager Electronic Data & Evidence DiscoveryClients: 2008 to Present

Investigative Finance Consultant, Interfor Intelligence Group, New York, NY

Conduct Enhanced Due Diligence (DD) investigations (KYC, CIP) that are oriented to the mortgagesecuritization and derivatives industry

Analyze counter-party selection/vetting in Credit Default Swap (CDS) strategy Assess liability of securitization & syndicate/sales force promotion of subprime & related products

(MBS/RMBS/CDS & CDO)

Provide asset location & collateral verification services for mezzanine & equity tranches of mortgage basedderivatives & synthetic equivalents

Securities Litigation & Fraud Analyst, Quinn Emmanuel, LLP, New York, NY

Investigate and review pre-litigation allegations of fraud, collusion and insider trading against a board ofdirectors member complicated by ongoing hostile take-over litigation: Discovery value analysis ofplaintiffs electronic documentation & correspondence (iConnect)

Provide flexible trial support function by archiving all investigative case related correspondence & filingsin 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

Provide securities fraud litigation expertise in a 10-b action between major investment fund & subprimemortgage company, involving a complex analysis of derivatives industry, GAAP accounting rules and

financial instruments including loan tapes & other securitization mechanisms/benchmarks

Assess ESI & electronic evidence data & discovery software consistency with client litigation requirementsand investigative resources (Lextranet)

Translate client legal strategy into a litigation intelligence collection plan, supported by term-search list ofRed Flag indicators & understandable document review/database search protocols

Investigative Analyst, Baker Hostetler, LLP, New York, NY

Support bankruptcy receivership of largest Ponzi scheme in history involving clawback action, allegationsof securities & banking fraud, BSA violations and transnational money laundering, requiring look back

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

Use multi-disciplinary investigative approach (signals intelligence (SIGINT), traffic analysis, net-worktheory & forensic linguistics) to locate and identify transactional patterns with a high correlative coefficient

for illegal or legal conduct and create search templates to prioritize or downgrade other areas of inquiry

Aggressively protect the transactional-investigative effort through frequent report dissemination,maintenance of required evidentiary logs/documentation, & constant update/upgrade of associated

databases/software applications

Security Litigation & Transactional Analyst: Sullivan & Cromwell, LLP, New York, NY March 2003-

June 2008

Perform enhanced transactional due diligence on behalf of global investment bank subject to complexlitigation, multiple regulatory-compliance regimes & reputational risk

Create Prospectus Post Mortems for Residential Mortgage Backed Securities (RMBS) offerings, reviewthe decisions of the underwriters, raters, originators, and individual loan officers/mortgage brokers as

reflected in the available origination, securitization & derivatives documentation

Maintain/update litigation/regulatory domain-specific databases, by jurisdiction, plaintiff & Client:responsiveness, privilege/ work product/ attorney client, confidentiality/HIPPA/Business Strategy

1st

Lieutenant Military Intelligence Corps United States Army 1989-1996

Intelligence Electronic Combat Warfare (IECW) Officer with the 1st

Armored Division, Germany


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Document Exploitation (DOCEX): recovery, identification & analysis of Soviet & Warsaw Pact hard copyartifacts & subsequent data base archiving

Signals Intelligence & Traffic Analysis of Soviet &Warsaw Pact Strategic & Tactical Communication inthe US Army Europe (USAEUR) Theater

ELECTRONIC DOCUMENT REVIEW PLATFORMS &FINANCIAL SOFTWARE APPLICATIONS

AtennexBloomberg

Catalyst

Concordance

Complinet

Cognos

D&BDiscovery Partner

Dochunter

EDGAR

Excel

Factiva

IntrospectLextranet

Lexis/Nexis

MSFT Word

MSFT Outlook

MSFT Office/Access

NICE (Audio)PowerPoint

Ringtail

Stratify

iConect

RELATIVITY (KCURA)TRAINING:PLATFORM &APPLICATIONS* Method Overview: Legal Hold Management Solutions

* Building Relativity Applications

* End User (Reviewer) Training

ICONNECT (NXT)TRAINING:PLATFORM &APPLICATIONS* Introduction to iCONECT nXT

* Productions, Exports and Reports

* Advanced Searching and Reviewing

* Images, Redacting Files

PROFESSIONAL AFFILIATIONS AND CERTIFICATIONSNew York State Real Estate Brokers License (2009)

Association of Certified Fraud Examiners (ACFE, 2009)

American Society of Questioned Document Examiners (ASQDE, 2011)

NASD Series 34 Retail Off-Exchange Forex Examination

NASD Series 63 Uniform Securities Agent State Law Examination, 2009

NASD Series 66 Uniform Combined State Law Examination, 2011

NASD Series 65 Uniform Securities Investment Adviser Law Examination, 2011

FINRA-Due Diligence/AML/KYC/CIP Compliance Training Spring 2011

EDUCATION

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

Dual Degree: Russian and Soviet Area Studies

Cumulative GPA: 3.51/4.0

Honors/Awards: Cum Laude, Army ROTC scholarship

mark bradley derivatives analyst

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