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Davy
dhabell@yahoo.com
904-571-0852
Jacksonville, FL 32206
Compliance Officer
11 years experience W2
0
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Summary

  • Identification of any DB involved proposed capital market transactions, security offerings and M&A deals which if made public, would likely have a significant effect on the price of any securities. Added the associated securities to the firm's Watch List of material and price sensitive transactions which are confidential and have not been made public.
  • Supervision of the firm's Information Barrier (fka the Chinese Wall). Prevented exchanges of communication of insiders and other bank employees privy to material nonpublic information with the public-side bank employees who trade or advise on the behalf of the Bank or its clients.
  • Monitored the outside business activities and the private investments of bank insiders. Identified conflicts of interest. Adjudicated employee trade requests. Made "red flag" determinations for remedial actions. (continued)
  • Served as the virtual data room (Intralinks) gatekeeper. Determined employee access to restricted online repositories populated with material nonpublic information and other confidential documents meant to facilitate security offerings and mergers and acquisitions.
  • Examined employee personal trade requests. Adjudicated requests of employees to trade, sell or buy securities that are on the firm's Watchlist with respect to the employee's insider status. Evaluated otherwise prohibited trades and then recommended exemptions based on employee hardships and other mitigating factors.
  • Monitored the outward facing work product of the Equity Research Analysts for violations of the "Global Settlement". Approved or denied publication of reports, alerts, recommendation changes, etc. with respect to DB's involvement in imminent capital market transactions, M&A deals or other offerings to prevent claims of market manipulation. Performed a Safe Harbor analysis to justify Research publication pursuant to Rules 138, 139, 144 and Regulation S of the Securities and Exchange Commission.
  • Evaluation of employee trading activity for comparison against the firm's watchlist of imminent undisclosed capital market transactions and creation of subsequent Breach Reports.
  • Responsible for drafting disclosures that acknowledge DB's role as an advisor or underwriter in material corporate transactions.
  • Monitored the Bank's proprietary trading for any securities on the firm's Watchlist. Determined if exemptions were available and appropriate.

Experience
Compliance Officer - Control Room, Associate
Banking/Financial
Jan 2013 - Jan 2018
  • Identification of any DB involved proposed capital market transactions, security offerings and M&A deals which if made public, would likely have a significant effect on the price of any securities. Added the associated securities to the firm's Watch List of material and price sensitive transactions which are confidential and have not been made public.
  • Supervision of the firm's Information Barrier (fka the Chinese Wall). Prevented exchanges of communication of insiders and other bank employees privy to material nonpublic information with the public-side bank employees who trade or advise on the behalf of the Bank or its clients.
  • Monitored the outside business activities and the private investments of bank insiders. Identified conflicts of interest. Adjudicated employee trade requests. Made "red flag" determinations for remedial actions. (continued)
  • Served as the virtual data room (Intralinks) gatekeeper. Determined employee access to restricted online repositories populated with material nonpublic information and other confidential documents meant to facilitate security offerings and mergers and acquisitions.
  • Examined employee personal trade requests. Adjudicated requests of employees to trade, sell or buy securities that are on the firm's Watchlist with respect to the employee's insider status. Evaluated otherwise prohibited trades and then recommended exemptions based on employee hardships and other mitigating factors.
  • Monitored the outward facing work product of the Equity Research Analysts for violations of the "Global Settlement". Approved or denied publication of reports, alerts, recommendation changes, etc. with respect to DB's involvement in imminent capital market transactions, M&A deals or other offerings to prevent claims of market manipulation. Performed a Safe Harbor analysis to justify Research publication pursuant to Rules 138, 139, 144 and Regulation S of the Securities and Exchange Commission.
  • Evaluation of employee trading activity for comparison against the firm's watchlist of imminent undisclosed capital market transactions and creation of subsequent Breach Reports.
  • Responsible for drafting disclosures that acknowledge DB's role as an advisor or underwriter in material corporate transactions.
  • Monitored the Bank's proprietary trading for any securities on the firm's Watchlist. Determined if exemptions were available and appropriate.
No skills were added
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Staff Attorney
Information Technology
Jan 2011 - Jan 2012
  • Analyzed previously denied healthcare insurance claims for contractual breaches of hospital reimbursement contracts, patient insurance policies and other carrier specific requirements.
  • Researched the validity of insurance claim denial reasons such as, but not limited to medical necessity, preexisting conditions, emergent circumstances, coordination of benefits, failure to precertify or preauthorize, past timely filing limits, CCI edits or other policy specific denials.
  • Interpreted federal health care statutes, state law and other regulatory guidelines to ensure proper payments form government payors such as Medicare, Medicaid, Tricare, etc.
  • Negotiated equitable settlements.
  • Vigorously appealed denied and underpaid insurance claims on behalf of hospital systems and other institutional payees. Contacted physicians and other service providers to collect necessary documentation such as letter of medical necessity, doctor's notes and other memoranda for use in appeals.
  • Drafted boiler plate language for future use with appeals.
  • Recognized local and global claim repayment and denial trends
  • Recommended correct business practices and corporate policies to hospital systems and other clients to ensure compliance with federal payer guidelines, state statues, carrier requirements or specific policy language.
No skills were added
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Law Clerk
Information Technology
Jan 2007 - Jan 2008
  • Drafted complaints and discovery documents Responded to discovery requests.
  • Analyzed voluminous medical records, Determined value of client damages.
  • Conducted extensive legal research in civil procedure and tort law.
  • Determined relevant legal issues related to personal injury claims.
  • Participated in depositions, mediations, consultations, etc. (continued)
No skills were added
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Legislative Intern
Information Technology
Apr 2007 - Apr 2007
  • Interpreted and analyzed proposed legislation.
  • Drafted talking points for committee meetings.
  • Coordinated office communication.
  • Prioritized and responded to constituent inquires and concerns.
  • Responsible for policy analysis.
No skills were added
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Claims Adjuster
Insurance
Jan 2004 - Jan 2005
  • Investigated coverage, liability, injury causation, fraud and subrogation issues.
  • Researched and reviewed medical bills, wage exposures and other incurred expenses.
  • Contacted the insured, attorneys and medical providers to bring claims to resolution.
  • Ensured adjustment procedures complied with policy terms.
  • Made accurate claim settlements.
No skills were added
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Assistant Manager
Information Technology
Jan 1999 - Jan 2002
  • Maintained compliance with proper business practices.
  • Supervised and delegated work flow assignments.
  • Monitored and evaluated employee performance.
  • Provided feedback to employees.
  • Handled escalated situations and calls.
Project Management
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Edit Skills
Non-cloudteam Skill
Education
Bachelor's in n/a
Florida State College at Jacksonville 2020
Record has not been verified.
The Florida State University 2009
Record has not been verified.
Psi Chi
The Florida State University 2004
Record has not been verified.
Skills
Project Management
2002
3