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Nancy
Nbgoldstein04@yahoo.com
305-588-1460
1800 Purdy Avenue
Miami Beach, FL 33139
Independent Consultant
21 years experience W2
0
Recommendations
Average rating
15
Profile views
Summary

  • Litigation & dispute resolution
  • Anti-money laundering compliance
  • Internal investigations
  • Anti-corruption compliance
  • Fraud prevention & detection
  • Employee training
  • Business development
  • Project/case management (including staffing & budget planning) SKILLS
  • Research
  • Witness interviews & depositions
  • Drafting policies & procedures
  • Report writing/editing
  • Drafting litigation & other documents
  • Native English speaker proficiency in written & spoken Spanish
  • Contract & settlement negotiations
  • Proposal writing
  • BOD & senior management presentations
  • Research
  • Witness interviews & depositions
  • Drafting policies & procedures
  • Report writing/editing
  • Drafting litigation & other documents
  • Native English speaker proficiency in written & spoken Spanish
  • Contract & settlement negotiations
  • Proposal writing
  • BOD & senior management presentations

Experience
Independent Consultant
Information Technology
Jan 2018 - present
Miami, FL
* Compliance-related projects for brokerage firms and registered investment advisors including:
  • Anti-money laundering/anti-corruption and data privacy compliance program evaluations
  • Website and disclosure reviews for compliance with marketing and privacy regulations
  • Drafting general compliance policies and procedures
  • Updating policies and procedures in accordance with regulatory change (e.g. EU General Data Protection Regulation) Kroll Associates, Inc. Associate Managing Director, Latin America and Caribbean Region
No skills were added
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Anti-Money Laundering Compliance Practice Leader
Jan 2013 - Jan 2014
Extensive travel to Mexico for the region
  • Managed multijurisdictional matters with multiple personnel and varied budgets
  • Originated business, managed client relationships and cases/projects, and conducted work for existing and new clients including:
    • Fraud and due diligence investigations
    • Evaluations of fraud prevention, anti-money laundering (AML) and anti-corruption compliance programs
    • Risk assessments, lookbacks, and high-risk account reviews
    • Litigation and investigative support to companies and counsel
    • Training of internal and client staff on AML-related and other topics
    • Development of corporate compliance and ethics policies and procedures
    • Participation in regional industry conferences in LatAm and the Caribbean
No skills were added
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Senior Regional Attorney
Jan 2004 - Jan 2007
Boca Raton, FL
(now FINRA)
  • Brought disciplinary actions based on violations of NASD rules and federal securities laws
  • Advised examiners during investigations and conducted investigative testimony
  • Prepared recommendations for formal action 2
No skills were added
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Senior Counsel
Jan 2000 - Jan 2004
Miami, FL
  • Investigated and prosecuted violations of federal securities laws
  • Subpoenaed testimony and documents and conducted investigative testimony and depositions
  • Presented findings and evidence before the Commission for approval
  • Drafted pleadings for federal court proceedings and assisted litigation unit in trials
No skills were added
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Trial Counsel and Arbitration Counsel
Jan 1989 - Jan 1999
New York, NY
  • Investigated and prosecuted violations of NYSE rules and federal securities laws by NYSE membership
  • Presented investigative findings (based on document review, on the record testimony and other evidence) to Enforcement Action Committee for authorization to pursue enforcement action
  • Administered arbitration hearings
No skills were added
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Edit Skills
Non-cloudteam Skill
Education
New England Law Review
New England School of Law 1988
Record has not been verified.
New England Scholar
University of Vermont 1985
Record has not been verified.
Commonwealth of
State of New York * Federal
Record has not been verified.
Certifications
Association of Certified Anti-Money Laundering Specialists ACAMS
BAR ADMISSIONS AND LICENSES
the State of Florida-License #C 1000518 currently inactive
Skills
compliance evaluations
2020
30
investigations
2020
30
research/due diligence
2019
30
AML Compliance
2020
18
litigation/arbitration
2020
30
Training
2018
13
Languages
Spanish, Intermediate