Etienne Muhammad
Bridgeport,USA
Summary
Regulatory Compliance Analyst for Law firms, Corporate Entities, Broker – Dealers and International Banks. Regulatory reporting of global pharmaceutical manufacturers. (Physician Payments Sunshine Act) Maintained a comprehensive database of negotiated ISDA master agreements. Regulatory Consultant with over 10yrs in Regulatory Affairs & Compliance of financial institutions. Managed and ensured integrity of US and European entities financial regulatory reporting.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Legal Case Writer
Bronx County District Attorney Office
Bronx, New York
11.2022 - 10.2025
- Interview witnesses (law enforcement and civilian witnesses) and address inquiries regarding case status, procedural issues, and criminal charges
- Analyze and assess factual scenarios and prepare legal affidavits.
Judicial Law Clerk
Judicial District of Fairfield at Bridgeport
Bridgeport, CT
09.2022 - 11.2022
- Duties including courtroom clerk, jury duty coordinator, case flow docket, scheduling pre-trials, managing Judge’s calendars, and other related duties as assigned in the Civil/Family Divisions and Criminal Part A Division.
ISDA Consultant
Mitsubishi UFJ Financial Group - Axiom Law
New York, NY
04.2022 - 09.2022
- Strategic review of ISDA Master Agreements documentation for client counterparties who amend complex derivatives transactions, including options, swaps, credit default swaps, forwards and futures.
- Analysis of ISDA Schedules, Amendments and updates to security/collateral, and close-out netting.
- Conduct legal research and regulatory analysis of issues arising under the U.S. federal and state banking, laws for implementation applicable to U.S. operations
Adjudication Investigator
Robert Half Legal
New York, NY
01.2022 - 02.2022
- Indiana Department of Workforce Development contractor.
- Fact Finder Investigator of claimant’s job separation.
- Adjudication of Claim issues involving Discharge, Voluntary Quit or Misconduct Job separations.
Bank Controls Tester
Protiviti – Robert Half Legal
New York, NY
02.2021 - 12.2021
- Evaluate and test controls for key compliance parameters.
- Regulatory Risk: FDPA, SAFE Act, Regulations AA, BB, B, C, H, V and Z, FCRA, FCPA, FATCA, Fair Housing Act, Fair Lending Controls and UDAAP
Loeb & Loeb LLP
New York, NY
10.2019 - 09.2020
Immigration & Real Estate Paralegal
The Law Offices of Marjory Cajoux
Brooklyn, NY
07.2019 - 08.2019
- Process filings of complex Immigration issues relating to Legal Residency and Naturalization.
- Adoption, Family & Spouse Petition, Employment, Church Sponsorship, Estate transfer matters.
- Violence Against Women Act (VAWA), and High Net Worth Individuals.
- Assist U.S. companies to procure visas for their employees.
Legal Assistant
Fidelity National Financial
New York, NY
11.2018 - 03.2019
- Commercial/Residential Real Estate Transactions Documentation and Escrow services.
- Facilitate Owners/Loan Title Policy Insurance for Investors, Developers, Corporate Interests.
Senior Legal Documentation Manager
Standard Chartered Bank
New York, NY
10.2017 - 04.2018
- Reviewing/checking bespoke/externally prepared documentation for syndicated transactions booked in London.
- Ensuring the Business Credit financing application documentation complies with the terms and spirit of the relevant Credit Facility agreements and all Legal approvals are within the Bank’s policies and procedures.
- Working closely with internal legal counsel and with external counsel through Administrative Agent banks.
- Standard Documentation
- Examination and review of Transactional Products contracts, Collateral security and Parental Support documentation covering bilateral transactions and facilities (European/Americas) are in line with credit approvals.
- Ensuring the financing structure and documentation complies with the terms and spirit of the relevant credit approval and the Bank’s policies and procedures (including Credit Risk department).
- Identifying all Condition Precedent/subsequent documentation.
- Engaging external counsel for the accuracy of Capacity and Authority signatories and review of legal opinions.
- Review of corporate resolutions and constitutional documentation.
Law Clerk
McCabe, Weisberg & Conway
New York, NY
02.2017 - 09.2017
- Examine Titles for issues of Taxes, Prior Mortgages, Liens, Legal description errors...etc.
- Request Satisfaction of Mortgages or find ownership in Vesting of Title instruments.
- Initiate requests for Letters of Indemnity or Reformation in 2nd Cause of Action in the Summons & Complaint and other Title Curative remedies.
- Coordinate between Client Lender, Loan Servicer, Borrower, and Courts during the Foreclosure Process.
Regulatory Consultant
Robert Half Legal
New York, NY
08.2016 - 12.2016
- Forensic Accounting and compliance analysis of regulatory and enforcement of Deferred Prosecution Agreements.
- Audit monitoring and Data Analytics of complex financial institutions information into concise analysis.
- Risk & Remediation policy documentation analysis.
Legal Assistant
Protiviti
New York, NY
06.2016 - 08.2016
- Document Review for accounting revenue recognition, non-disclosure and internal controls.
- Privilege Identification of email content.
Nelson Mullins Riley & Scarborough, LLP
New York, NY
12.2015 - 02.2016
Corporate Formation Contract Analyst
Beechwood Reinsurance
New York, NY
02.2015 - 03.2015
- Updated database with corporate formation documents, Board & Shareholder Resolutions, Credit Risk Participation Agreements, Asset (Note) Purchase Agreements, By-Laws, Term Sheets, Trust Agreements, Tax Assurance Letters, Engagement Letters, Legal Opinions, Custody, Subscription Agreements, and UCC-1 Financing Statements.
Legal Compliance Specialist
Cantor Fitzgerald
New York, NY
12.2014 - 02.2015
- Completed a temporary assignment with Cantor Fitzgerald's Legal and Compliance Department.
- Drafted Repurchase Agreements, Whole - Loan Agreements, and MSFTA contracts.
- NDA - Non-disclosure Agreements, Principle Letters, Prime Brokerage agreements.
- Negotiated with Broker Dealers and executed MSFTA, REPO’S, and ISDA documentation.
- Completed executed contracts using EGUS (Electronic Give-Up System), Hummingbird and DataStore.
ISDA Negotiator - Contract Negotiation Specialist Group
Barclays, PLC
New York, NY
01.2014 - 03.2014
- Negotiated Legal documentation with responsibility for managing a priority list of ISDA related contracts.
- Cleared Derivative Execution Agreements, Prime Brokerage Agreements for clients.
- Managed policy compliance with CFTC Regulations with respect to Dodd-Frank and EMIR, both internally and with counterparty to ultimately complete agreements and prepare them for execution.
- Communicated directly with counterparty and uploaded to the internal SharePoint site.
OTC Derivatives Trading Operations - Dodd Frank Regulatory Reporting Team
UBS AG
Stamford, CT
08.2013 - 12.2013
- Assist with development and implementation of governance programs and procedures for domestic and international regulatory matters (e.g., AIFMD, Volcker, Bank Holding Company Act, FATCA)
- Processing of Reconciliations, and Dissemination of derivative transactions.
- Reported to DTCC, previous trading day exceptions, valuations, cancellations across all Asset Classes; Dividend Swaps, Variance Swaps, Options, Forwards, Equity Swaps, and Structured Products and End of Day (EOD).
- Basel III, EMIR and MiFid analysis and various ISDA related foreign regulatory statutes.
- Extensive used of Excel spreadsheets; Pivot Tables, Macros, V-Lookup functions.
Regulatory Consultant
BNP-Paribas - Bank of the West
San Ramon, CA
02.2012 - 03.2012
- Identified Areas of Conformity with Dodd Frank Wall Street Consumer Protection Act. Assisted with centralized data repository, maintain project documentation in SharePoint. Identified Policies for conformity with their GRC - Governance Risk Compliance Tool application. Researched & developed controls for Bank Secrecy Act, FDPA, SAFE Act, Regulations AA, BB, B, C, H, V and Z, FCRA, FCPA, FATCA, Fair Housing Act, Fair Lending Controls.
Dodd Frank Consultant
Royal Bank of Scotland-Citizens Financial
Providence, RI
08.2011 - 12.2011
- Examined bank policies on SharePoint site, for conformity with Dodd Frank Consumer Protection Act. Made recommendations for improvement within RBS/CFG Policy & Procedure. Completed RBS/CFG - Anti-Money Laundering Training Certifications: 1-Regulation B: Fair Lending; Regulation E: Electronic Fund Transfers. 2-Regulation Z: Truth-in-Lending; E-Banking Platform for Regulatory Risk and Compliance.
Education
Masters of Law - Financial Services Law
New York Law School
Juris Doctor - undefined
Southern University Law Center
Bachelor of Science - Business Economics
Southern University
Skills
- Westlaw
- Lexis-Nexis
- SharePoint
- MS Word
- Excel
- Access
- PowerPoint
- Relativity 9
Certification
Valuation & Financial Modeling - Investment Banking Institute
Timeline
Legal Case Writer
Bronx County District Attorney Office
11.2022 - 10.2025
Judicial Law Clerk
Judicial District of Fairfield at Bridgeport
09.2022 - 11.2022
ISDA Consultant
Mitsubishi UFJ Financial Group - Axiom Law
04.2022 - 09.2022
Adjudication Investigator
Robert Half Legal
01.2022 - 02.2022
Bank Controls Tester
Protiviti – Robert Half Legal
02.2021 - 12.2021
Loeb & Loeb LLP
10.2019 - 09.2020
Immigration & Real Estate Paralegal
The Law Offices of Marjory Cajoux
07.2019 - 08.2019
Legal Assistant
Fidelity National Financial
11.2018 - 03.2019
Senior Legal Documentation Manager
Standard Chartered Bank
10.2017 - 04.2018
Law Clerk
McCabe, Weisberg & Conway
02.2017 - 09.2017
Regulatory Consultant
Robert Half Legal
08.2016 - 12.2016
Legal Assistant
Protiviti
06.2016 - 08.2016
Nelson Mullins Riley & Scarborough, LLP
12.2015 - 02.2016
Corporate Formation Contract Analyst
Beechwood Reinsurance
02.2015 - 03.2015
Legal Compliance Specialist
Cantor Fitzgerald
12.2014 - 02.2015
ISDA Negotiator - Contract Negotiation Specialist Group
Barclays, PLC
01.2014 - 03.2014
OTC Derivatives Trading Operations - Dodd Frank Regulatory Reporting Team
UBS AG
08.2013 - 12.2013
Regulatory Consultant
BNP-Paribas - Bank of the West
02.2012 - 03.2012
Dodd Frank Consultant
Royal Bank of Scotland-Citizens Financial
08.2011 - 12.2011
Juris Doctor - undefined
Southern University Law Center
Bachelor of Science - Business Economics
Southern University
Masters of Law - Financial Services Law
New York Law School