AMANDA P. SMITH
St. Charles,MO
Summary
Quality-driven Senior Compliance Analyst familiar with tracking, documentation and reporting requirements. Assesses work, materials and procedures and recommends adjustments to maintain compliance. Over 7 years of experience and motivated, energetic mindset.
Overview
12
12
years of professional experience
Work History
Senior Compliance Analyst
ACA Group
11.2020 - Current
- Co-lead in new Investment Adviser firm registration engagements
- Generate and revise compliance documents for RIA clients
- Assist with conductin client 206(4)-7 exams and reviews to identify areas of improvement
- Help create remediation plans to handle system-wide issues and maintain compliance
- Create initial and annual risk assessments for clients to identify potential compliance risks
- Support consultants and co-lead on client monthly compliance calls
Senior Registrations Analyst
Foreside Financial Group LLC
09.2016 - 11.2020
- Assisted in the execution of assigned registrations
- Guided clients in the preparation and completion of questionnaires and filings required by the SEC and/or State
- Researched SEC and/or State rules and regulations to assist with filings
- Assisted in enhancing internal workflow and processes
Bankruptcy Specialist
Kozeny, McCubbin & Katz, LLP
03.2015 - 09.2016
- Drafted and ensured the accuracy of legal documents and letters before electronically filing in New York U.S Bankruptcy Courts
- Made calls to trustee's offices or court to schedule or verify court hearings
- Communicated with mailroom to forward legal documents and/or letters to appropriate parties
- Took Continued Legal Education (CLE) courses including Ethics and variety of other topics
Paralegal/Legal Assistant
Bradshaw, Steele, Cochrane & Berens, L.C.
11.2012 - 03.2015
- Maintained professional relationship with attorneys, trustees and clients
- Prepared and drafted pleading, petitions, letters and various other legal documents and correspondences
- Electronically filed documents in the U.S
- Bankruptcy Courts and Circuit Courts
- Secretarial duties (i.e
- Mail, e-mail, fax, open hard files and electronic files, attend phones, notarize, dictation)
Education
Bachelor of Arts - Paralegal Studies (Pre-Law)
Southern Illinois University
Carbondale, IL12.2012
Associate of Arts - Political Science
Waubonsee Community College
Sugar Grove, IL12.2010
Skills
- 206(4)-7 Exam Review
- Compliance Monitoring
- Documentation Review
- Client Registration Support
President of Non-Profit, myShiylo Foundation Inc.
Charity
Timeline
Senior Compliance Analyst
ACA Group
11.2020 - Current
Senior Registrations Analyst
Foreside Financial Group LLC
09.2016 - 11.2020
Bankruptcy Specialist
Kozeny, McCubbin & Katz, LLP
03.2015 - 09.2016
Paralegal/Legal Assistant
Bradshaw, Steele, Cochrane & Berens, L.C.
11.2012 - 03.2015
Bachelor of Arts - Paralegal Studies (Pre-Law)
Southern Illinois University
Associate of Arts - Political Science
Waubonsee Community College
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