Summary
Overview
Work History
Education
Skills
Certification
Community Outreach
Timeline
Generic

Alyssa Shields

Baldwin

Summary

Strategic compliance and communications leader with deep expertise in regulatory change management, risk frameworks, and enterprise culture initiatives across financial services. Proven ability to translate complex regulations into clear, impactful messaging for all levels of the organization, from boardroom to front-line. Skilled at developing and executing communication strategies that drive employee engagement, strengthen ethical culture, and embed compliance into daily operations. Recognized for building scalable programs, closing regulatory gaps, and delivering high-impact campaigns that align with business objectives.

Overview

6
6
years of professional experience
1
1
Certification

Work History

Senior Associate, Compliance Risk Management

CLS Group
06.2022 - Current
  • Serve as Regulatory Change Management SME, crafting enterprise-wide communications and briefings that distill complex federal and state updates into actionable, business-friendly messages for senior leaders and global teams.
  • Conduct comprehensive compliance audits across core functions, helping reduce operational risk incidents by 20% year over year.
  • Designed and launched the firm’s first mandatory compliance and ethics awareness campaign, integrating training, leadership messaging, and intranet content—achieved 95% completion and a 15% increase in policy adherence.
  • Led targeted communication and engagement initiatives for high-risk units, resulting in an 18% reduction in remediation findings and measurable improvement in audit readiness.
  • 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.
  • Authored weekly compliance digests and regulatory impact assessments with actionable insights, becoming a trusted information channel for executives and business stakeholder.
  • Partnered with HR, Legal, and business leadership to develop messaging that reinforced the firm’s ethical culture, supported tone-from-the-top objectives, and embedded compliance values into onboarding and performance discussions.

Legal and Compliance Associate

Meltzer, Lippe, Goldstein & Breitstone, LLP
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.
  • Managed communications with deal teams, external counsel, and acquired entities to ensure seamless compliance integration post-M&A, including tailored training and governance updates.
  • 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).
  • Developed post-merger compliance orientation materials and rollout plans, improving onboarding efficiency and adoption of compliance protocols.

Legal Assistant

Geico
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, Power BI, SharePoint, LMS

Certification

CCEP, In Progress

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.

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

Bachelor of Science - Paralegal Studies

Liberty University

Master of Studies in Law - Corporate Compliance

Fordham University School of Law

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