Gretchen Garcia
St Louis,MO
Summary
Dedicated legal professional offering experience with compliance in the highly regulated financial industry. Proven success in supporting both individual financial advisors and a growing firm while juggling both legal and compliance responsibilities. Hardworking and ready to grow in a new role.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Compliance Counsel
Renaissance Financial Corporation
08.2019 - Current
- Functioned as the legal advisor to the internal compliance team on a wide variety of issues, including client complaints, trade errors, compliance policies and procedures, and risk management.
- Coordinated with broker/dealer compliance team to support financial advisors on issues from licensure, error and omission insurance claims, client complaints, and regulatory inquiries.
- Served as a trusted advisor for corporate executives on sensitive legal matters impacting company operations and strategy decisions.
- Contributed to the development of firm policies and procedures, fostering a positive workplace culture and high ethical standards.
Law Clerk
Kodner Watkins
01.2019 - 05.2019
- Assisted in the preparation of legal documents, such as motions and petitions, by organizing and assembling information and relevant case law.
- Supported attorneys in preparing for trials by reviewing and organizing discovery.
- Supported legal team by conducting research, drafting briefs, gathering information and interpreting legal documents.
Corporate Legal Intern
Peabody Energy Corporation
05.2018 - 08.2018
- Assisted with document review and legal research on issues relevant to the coal industry, including employment law, data privacy, and immigration.
- Prepared a lunch & learn for the legal department covering types of privileged documents in discovery and the importance of document retention in the context of a litigation hold.
- Participated in meetings with outside counsel regarding pending litigation and research needs.
Law Clerk
Stange Law Firm
05.2017 - 04.2018
- Assisted attorneys in various areas of family law practice, including motion drafting, discovery, and legal research.
- Conducted research on a variety of topics to assist in preparation of Continuing Legal Education presentations.
Academic Peer Advocate
Bellarmine University Residence Life
08.2015 - 05.2016
- Lived in freshman residence hall to provide academic support to freshman students in order to improve university retention.
- Identified students who were struggling with grades, study habits, and class attendance and intervened early in the semester.
- Provided the Office of Residence Life with updates on student progress for those students that had been identified as needing intervention.
- Maintained office hours and a general 'open door' policy to foster relationships with students and provide support and advice when necessary.
Peer Tutor
Bellarmine University Academic Resource Center
08.2014 - 05.2015
- Helped fellow students prepare for quizzes and examinations in 100-level history and political science courses.
- Assisted students with homework and provided alternative explanations to enhance understanding of difficult topics.
- Served as a mentor to struggling students, providing emotional support alongside academic assistance when necessary.
- Promoted development of good study habits and learning skills.
- Maintained close relationships with professors in the history and political science departments in order to better support students.
Assistant Swim Coach
Clayton Shaw Park Tideriders
08.2016 - 07.2019
- Assisted head group coaches with writing workouts and instructing swimmers ranging from age 9 to 18.
- Covered practices for head coaches when they were unavailable.
- Provided technical advice to swimmers to improve strokes and performance.
- Communicated with parents regarding progress and improvements.
Education
J.D. -
Saint Louis University School of Law
St. Louis, MO05.2019
Bachelor of Arts - History & Political Science
Bellarmine University
Louisville, KY05.2016
Skills
- Legal Research
- Legal Drafting
- Regulatory knowledge
- Legal Compliance
- Written Advocacy
- Legal Analysis
- Evaluating contracts
- Document Preparation
- Efficient researcher
- Corporate and business legal issues
Certification
- Member of the Missouri Bar
- FINRA Registrations: SIE, Series 7
Timeline
Compliance Counsel
Renaissance Financial Corporation
08.2019 - Current
Law Clerk
Kodner Watkins
01.2019 - 05.2019
Corporate Legal Intern
Peabody Energy Corporation
05.2018 - 08.2018
Law Clerk
Stange Law Firm
05.2017 - 04.2018
Assistant Swim Coach
Clayton Shaw Park Tideriders
08.2016 - 07.2019
Academic Peer Advocate
Bellarmine University Residence Life
08.2015 - 05.2016
Peer Tutor
Bellarmine University Academic Resource Center
08.2014 - 05.2015
J.D. -
Saint Louis University School of Law
Bachelor of Arts - History & Political Science
Bellarmine University
Similar Profiles
Bailey BaylorBailey Baylor
Investment Advisory Operations Assistant at Renaissance FinancialInvestment Advisory Operations Assistant at Renaissance Financial
Nkechi OnyemaNkechi Onyema
Executive Assistant at Renaissance FinancialExecutive Assistant at Renaissance Financial
ALINE CLARKEALINE CLARKE
License Professional at Global Renaissance/United Financial FreedomLicense Professional at Global Renaissance/United Financial Freedom
Devon ReeseDevon Reese
Front Desk Receptionist at Planet FitnessFront Desk Receptionist at Planet Fitness
Theresa MazzolaTheresa Mazzola
Director of Customer Success & Product Engagement at InfoPlus Commerce WMSDirector of Customer Success & Product Engagement at InfoPlus Commerce WMS