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Nancy
Nbgoldstein04@yahoo.com
305-588-1460
1800 Purdy Avenue
Miami Beach, FL 33139
Independent Consultant
32 years experience W2
0
Recommendations
Average rating
16
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
New England Scholar
University of Vermont 1985
Commonwealth of
State of New York * Federal
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