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
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
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
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
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
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
10.2019 - 09.2020
Immigration & Real Estate Paralegal
The Law Offices of Marjory Cajoux
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
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
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
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
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
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
12.2015 - 02.2016
Corporate Formation Contract Analyst
Beechwood Reinsurance
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
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
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
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
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
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