Iman Abdella
Belford,NJ
Summary
Experienced regulatory and compliance professional adept at managing relations and programs for global financial firms. Skilled in interpreting and implementing complex requirements to ensure adherence and mitigate risks. Strong at developing policies and procedures to maintain compliance with industry regulations. Effective communicator with keen attention to detail and commitment to upholding integrity and ethics in business practices.
Overview
25
25
years of professional experience
Work History
VP, Team Manger, Office of Regulatory Relations
Goldman Sachs & Co
09.2024 - Current
- Responsible to manage a team of regulatory relations professionals in the firm’s regulatory affairs with functional regulators for the futures, swaps, and commodities businesses including the SEC, and FINRA.
- Developed and implemented governance frameworks aligned with firm-wide standards.
- Partner with legal, compliance, and regional stakeholders to manage complex regulatory requests and provide timely responses.
- Cultivated strong relationships with key stakeholders, including customers, vendors, regulators, and community leaders to promote collaboration and long-term success.
Compliance Vice President/Team Coordinator
Goldman Sachs & Co
02.2018 - 09.2024
- Coordinate the Inquiry/matter intake process of US securities regulators
- Inquiry submission of certain inquiry responses to firm regulators and the regulator contact person for responses of those inquiries
- Primarily responsible for compilation, distribution and upkeep of Weekly Matter Summaries, which include all open inquiries and exams currently open for the US securities regulators
- Lockbox administration for setting up external accounts for firm regulators and internal accounts for relevant stakeholders
- FINRA Firm Gateway administration
- Onboarding of onsite regulators
- Assists in the coordination and drafting of post-examination response letters to regulators.
- Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests
- Generally, assists the Regulatory Practice Group leadership team as necessary
40 Act Paralegal
Tower Legal - Prudential
10.2017 - 02.2018
- Managing the preparation and filing of mutual fund registration statements on Form N-1A or Form N-2, as well as other federal securities filings (such as filings on Form N-SAR, Form N-PX, proxy statements, and prospectus supplements)
- Maintaining and updating fund books and records as needed, including the maintenance of current files of advisory agreements
- Drafting disclosure documents, including revisions to existing prospectus disclosure language
- Drafting responsibilities will also include preparation of selected agreements, including new advisory agreements, revisions to existing advisory agreements, as well as other types of agreements
- Coordinating and obtaining input and review of regulatory filings by other stakeholders (both internal and external), including fund counsel and fund accounting
Consultant/ UAT Tester
Bank of Tokyo - Pro Unlimited
01.2017 - 05.2017
- Working in Data Assurance Department Static Data and Project Team. Delivering clients’ trading reports, and following regulations such as DFA, EMIR, Portfolio Reconciliation for products include FX, Options, and Rates
- Managed aspects of web project by migrating data, managing templates and creating test cases
- Conducted user acceptance testing to ensure that developed systems satisfied the needs of business clients as specified in the functional requirements
- Drafted a Manual for the Operation Procedure of the web portal
- Met all project timelines and deadline
Acquisitions Process Manager/Paralegal
JPMorgan Chase/ Propel Financial Services/Encore Capital Group
03.2011 - 10.2016
- Research, review, prepare and assign due diligence on potential acquisitions
- Attend and bid on New Jersey Tax Lien auctions
- Acquisitions and process management of subsequent taxes
- Preparing, reviewing and assisting in the execution of legal documents
- Conduct legal research
- Refer and follow up on foreclosure cases
- Generated payoff quotes.
- Processed legal billing
- Processed attorney status reports
- Corresponded with clients and outside counsel.
Senior Specialist/40 Act Paralegal
BlackRock /Merrill Lynch
09.2001 - 01.2008
- Managed the SEC filing process for assigned new fund offerings, annual fund updates, fund mergers, tender offers, supplements, proxy statements and 497 filings including drafting updates for mutual fund prospectuses, SAIs, supplements and proxy statement
- Coordinated the filings with multiple internal and external parties to facilitate every step of the prospectus production process
- Managed the Tender Offer process for the continuously offered closed end funds
- Ensured filed documents with the SEC stayed in compliance
- Assisted Senior Management with the collection and delivery of data for the BlackRock/MLIM Cluster Board of Directors and Officers. IQ Advisors, MASS HEFA, Offshore, Duff & Phelps and Responsible for various administrative functions such as updating SEC filing codes and posting documents to the Intralinks web site
- Reviewed and cleared the mutual fund prospectuses to print
- Maintained corporate records of Registered Investment Companies
- Developed and maintained regulatory compliance calendar for the funds
- Responsible for various administrative functions such as updating SEC filing codes and posting documents to the Intralinks web site
Senior Specialist/40 Act Paralegal
Merrill Lynch - Randstad
08.2000 - 09.2001
Education
Associate Degree in Applied Science - Accounting
Middlesex County College
05.1998
Skills
- Regulatory Relations
- Regulatory Inquiries and Exams
- Management
- Policy and Procedures
- Non-Financial Regulatory Reporting
- Regulatory Remediation
- Governance
- Skilled in using Windows operating systems and Office tools
Languages
Arabic
Native or Bilingual
Timeline
VP, Team Manger, Office of Regulatory Relations
Goldman Sachs & Co
09.2024 - Current
Compliance Vice President/Team Coordinator
Goldman Sachs & Co
02.2018 - 09.2024
40 Act Paralegal
Tower Legal - Prudential
10.2017 - 02.2018
Consultant/ UAT Tester
Bank of Tokyo - Pro Unlimited
01.2017 - 05.2017
Acquisitions Process Manager/Paralegal
JPMorgan Chase/ Propel Financial Services/Encore Capital Group
03.2011 - 10.2016
Senior Specialist/40 Act Paralegal
BlackRock /Merrill Lynch
09.2001 - 01.2008
Senior Specialist/40 Act Paralegal
Merrill Lynch - Randstad
08.2000 - 09.2001
Associate Degree in Applied Science - Accounting
Middlesex County College
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