Summary
Overview
Work History
Education
Skills
Community Outreach
Certification
Timeline
Generic

Alyssa Shields

Baldwin

Summary

Experienced compliance and legal professional with expertise in regulatory change management, risk framework design, and legal governance across financial services. Proven ability to translate complex regulations into actionable strategy and deliver data-driven insights to senior leadership. Recognized for building scalable compliance programs, closing regulatory gaps, and strengthening enterprise-wide controls. Skilled in cross-functional collaboration, training delivery, and fostering an ethical, risk-conscious culture. Well-suited for leadership roles requiring regulatory expertise, operational execution, and analytical precision.

Overview

6
6
years of professional experience
1
1
Certification

Work History

Senior Associate, Compliance Risk Management

CLS Group
New York
06.2022 - Current
  • Serve as a Regulatory Change Management Subject Matter Expert (SME), monitoring, interpreting, and analyzing federal and state regulatory updates to assess their impact on business operations
  • Conduct comprehensive compliance audits across core functions, helping reduce operational risk incidents by 20% year over year.
  • Designed the firm’s first mandatory compliance and ethics training, achieving a 95% completion rate and boosting internal policy adherence by 15%.
  • Delivered tailored training to high-risk units, increasing audit preparedness and reducing remediation findings by 18%.
  • Led the development of CLS’s Compliance Risk Management Framework, strengthening risk identification processes, improving control mapping, and enhancing enterprise-level risk reporting.
  • Successfully managed a high-priority project that resulted in the closure of a five-year-old audit finding, significantly improving organizational compliance posture
  • Prepare and disseminate comprehensive regulatory impact assessments and weekly compliance digests to senior leadership with actionable insights on emerging regulations
  • Drive strategic compliance initiatives, fostering a culture of accountability and ethical decision-making across business units

Legal and Compliance Associate

Meltzer, Lippe, Goldstein & Breitstone, LLP
Mineola
10.2021 - 06.2022
  • Led compliance oversight and legal governance for complex M&A transactions, ensuring alignment with SEC disclosure obligations, AML/KYC requirements, and corporate governance standards.
  • Conducted legal and regulatory due diligence across multiple jurisdictions, identifying and mitigating compliance risks pre-close for transactions totaling over $60M.
  • Drafted corporate resolutions, operating agreements, and compliance certifications to ensure regulatory and fiduciary obligations were met post-acquisition.
  • Collaborated with internal stakeholders and external counsel to remediate legacy compliance gaps in acquired entities, including control redesign and policy updates.
  • Advised deal teams on regulatory filings and reporting requirements related to changes in beneficial ownership, licensing, and foreign investment scrutiny (e.g., CFIUS considerations).
  • Implemented post-merger compliance integration plans, including risk assessments and training programs tailored to newly acquired business units.

Legal Assistant

Geico
Melville/Hicksville
05.2019 - 09.2021
  • Drafted legal briefs, pleadings, and regulatory responses annually with a strong emphasis on clarity, legal precision, and compliance alignment.
  • Identified errors and inconsistencies in subpoena responses and case files, helping reduce rework requests by 30% and minimizing legal exposure.
  • Supported litigation strategy by preparing detailed case timelines, evidentiary summaries, and risk reports for attorneys and senior legal staff.
  • Maintained and updated a centralized legal and compliance database containing 1,000+ case files, improving retrieval speed and audit preparedness.
  • Escalated procedural gaps and compliance risks to senior counsel, contributing to faster resolution on high-risk matters and improving internal response time by 20%.
  • Collaborated with legal operations to streamline document workflows, reducing administrative processing errors.

Education

Master of Studies in Law - Corporate Compliance

Fordham University School of Law
New York, NY

Bachelor of Science - Paralegal Studies

Liberty University
Lynchburg, VA

Skills

  • Regulatory Change Management
  • Horizon Scanning
  • Regulatory Impact Analysis
  • Compliance Risk Framework Design
  • Control Evaluation
  • Audit Remediation
  • Regulatory Reporting
  • Executive Governance Advising
  • Cross-Functional Project Leadership
  • Legal Due Diligence
  • M&A Compliance
  • Policy Drafting
  • Training Program Development
  • Training Program Delivery
  • Organizational Culture
  • Ethical Leadership
  • Tools: Excel (pivot tables, vlookups, trend analysis), Power BI (basic), SharePoint,Confluence, LMS

Community Outreach

  • Mentor, I AM Cultured, New York, NY, Providing guidance and mentorship to youth, fostering personal and professional development. Facilitate workshops and activities to promote cultural awareness and leadership skills.
  • Host and Organizer, Community Baby Showers, New York, NY, Organizing baby showers for underserved communities, providing essential items and support to new and expecting mothers. Coordinated with local organizations and volunteers to ensure successful events and outreach.

Certification

  • CCEP - In Progress

Timeline

Senior Associate, Compliance Risk Management

CLS Group
06.2022 - Current

Legal and Compliance Associate

Meltzer, Lippe, Goldstein & Breitstone, LLP
10.2021 - 06.2022

Legal Assistant

Geico
05.2019 - 09.2021

Master of Studies in Law - Corporate Compliance

Fordham University School of Law

Bachelor of Science - Paralegal Studies

Liberty University

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