CHRISTIAN A. MARQUEZ 69 Oakwood St. San Francisco, CA 94110 (323) 573-1342 chris.a.marquez@gmail.

com
SUMMARY

Compliance Analyst with 6 years experience in the Legal space and 3 years experience in financial services.
Direct experience drafting responses to information, client, and regulatory requests.
Strong written and verbal communication skills with the ability to interface with all levels of management.
Extensive experience analyzing, reading and interpreting policies and regulations.
Profound analytical acumen with the ability to reach sound decisions within a collaborative environment.
Currently working in Los Angeles but relocating to San Francisco, CA in October 2017.

EDUCATION

University of San Francisco School of Law, Juris Doctor, December 2012

Received Business Law Certificate with International Law Concentration

University of California, Berkeley, B.A. in Political Science and English, December 2004

PROFESSIONAL EXPERIENCE

Mizuho Corporate Bank Los Angeles, CA

Compliance Analyst - 04.2017 to 08.2017 (Contract)
Analyze OFAC and FCPA violation reports submitted by different bank departments; update the Banks filtering
systems with sanctions lists and FinCEN 314(a) reports; monitor customers risk rating changes.
Use discretion and sound judgment to conduct ongoing bank account monitoring for potential suspicious activity.
Gather and analyze data from internal systems and perform transaction look backs to make final determinations.
Successfully present cases to the Banks SAR Committee; upon final Committee recommendation, assist the
Compliance Officer with SARs drafting and filing.

Rodeo Realty - Northridge, CA

Compliance Associate - 08.2016 to 04.2017
Provided oversight to compliance and operational risk functions; assisted with the development and monitoring of
risk-based compliance program to guarantee firm and broker compliance with federal, state, and local real estate
transaction and consumer lending policies and regulations.
Gathered, synthesized and interpreted real estate trends and data analysis for business development
opportunities and client support.

First Republic Bank - Century City, CA

Documentation Compliance Analyst - 01.2016 to 05.2016
Monitored the Banks compliance management system and analyzed highly confidential data to ensure proper KYC
documentation compliance for all new and trigger Preferred Banking Client accounts, applying knowledge of
banking regulations and internal bank compliance policies.
Guaranteed the Banks enhanced due diligence (EDD) by reviewing and validating all onboarding documentation;
performed regular testing of accounts to verify quality, accuracy and consistency of KYC documentation by
reviewing KYC files, identifying issues and making sound recommendations to Front Office team.
Analyzed and reviewed BSA/AML and KYC violation alerts and conducted follow-up investigations; made final
determination as to violation at issue.

Tracy McCalla Design - Los Angeles, CA

Project Manager, Legal Affairs - 08.2014 to 10.2015
Drafted, edited, and managed all building contractor agreements and vendor contracts. Successfully negotiated
final contract terms to meet project goals and achieve acceptable levels of risk.
Collaborated with the Lead Project Manager to build out a compliance program for project teams to ensure all
projects complied with applicable building codes and passed City inspections.
CHRISTIAN A. MARQUEZ 69 Oakwood St. San Francisco, CA 94110 (323) 573-1342 chris.a.marquez@gmail.com
Hassell Law Group - San Francisco, CA
Law Clerk - 01.2012 to 08.2014
Investigated potential employment law, third-party injury and consumer product liability claims prior to firm
representation; met with all potential clients to determine adequacy of firm representation.
Reviewed product liability claims and complaints, researched breaches of applicable consumer compliance
regulations and general Tort law, and reported findings to Senior Attorneys.
Managed all aspects of case investigation and litigation, including conducting document review, witness
interviews, assisting with discovery by drafting and answering subpoenas and interrogatories, conducting
extensive legal research, and drafting motions, briefs and memoranda of law.

Investor Justice Legal Clinic - San Francisco, CA

Securities Compliance Examiner (FINRA) - 07.2011 to 04.2012
Represented investors in actions involving the fraudulent sales of securities by investment banks and brokerage
firms through data analysis, audits and arbitration before the Financial Industry Regulatory Authority (FINRA).
Provided sanctions guidance and conducted sanctions reviews related to FINRA/SEC violations.
Analyzed highly confidential financial data and conducted examinations of securities firms to determine FINRA and
SEC regulation compliance; investigated fraud with respect to sales, practices and procedures.
Analyzed trading activity for trades at issue to establish regulatory breaches; reviewed opening account forms to
determine if client portfolios were invested per client guidelines and goals.

Cooper, White & Cooper - San Francisco, CA

Ethics Research Associate - 08.2012 to 02.2013
Researched and tracked emerging legal issues affecting potential revisions to the Model Rules of Professional
Conduct; made recommendations to the Vice-Chair of the CA State Bar Commission on Revision of the Model
Rules on these pressing issues.
Reviewed databases, litigation records, academic articles, and research reports to determine which topics of CA
Rules of Professional Legal Conduct were due for revisions. Drafted proposals of revisions to the Rules that were
subsequently presented to the State Bar of CA.

Mediated Negotiations - San Francisco, CA

Dispute Resolution Clerk - 06.2011 to 10.2011
Assisted in the management of conflicts between corporations, including international commercial contract
disputes; researched all clients and disputes at issue, reviewed clients legal briefs, and contributed to analysis of
the dispute prior to mediation by performing root-cause analysis.

Blackman Legal Group - Redwood City, CA

Case Manager - 05.2005 to 06.2009
Provided administrative and litigation support in third-party injury and product liability cases, managing an
average of 165 cases and projects simultaneously.

SKILLS

Fluent in Spanish
Proficient with Microsoft Office (Microsoft Word, Excel, Outlook and PowerPoint)
Proficient with Westlaw and LexisNexis legal research
Working knowledge of database management systems including Bridger Insight XG, CCDB, Palantir Technologies,
FlightPath and OnBase
Superior working knowledge of BSA/AML and KYC regulations and guidelines; strong knowledge of OFAC sanctions
Strong negotiation skills