Matthew Richman

Experience

• 

  US Attorney's Office, Southern District of New York

  Jun 2009 - Aug 2009

  Intern

  Assisted in paralegal work for several Assistant US Attorneys. Responsibilities included transcribing prison calls and wire taps, researching expert witnesses, locating key documents in evidence boxes, and various chores around the office.

• 

  Projects Abroad

  Jun 2010 - Aug 2010

  Intern

  Volunteered to help at a nomadic farm for two weeks by herding, planting, and assisting my hosts in the various tasks and chores associated with survival on the steppe. Later, managed educational media for the “Mongolian Adolescent’s Development Centre” (ADC) in Ulaanbaatar.

• 

  Office of the Attorney General of the State of New York

  Jan 2011 - Feb 2011

  Intern

  Assisted in paralegal work for the Solicitor General’s office. Responsibilities included organizing the office’s libraries and various chores around the office.

• 

  New York City Department of Investigation

  Jun 2012 - Jul 2012

  Intern

  Assisted with ongoing investigations in a unit concerned with fraud and other financial crimes. Responsibilities included writing memos, receiving complaints, reviewing emails, and retrieving documents from other agencies, researching investigative subjects, and various chores around the office.

• 

  NYC Department of Investigation

  Oct 2012 - Oct 2013

  Confidential Investigator

  Carried out detailed investigations of New York City employees and oversight board members. Responsibilities included conducting investigatory interviews and reviewing subjects’ records with respect to net worth, motor vehicles, living situations, tax history, credit history, academic degrees, criminal history, past employment, and professional licenses. Candidates were guided to compliance with NYC government rules regarding private judgments and liens and parking tickets. Assisted with clearing an investigations backlog. Show less

• 

  Goldman Sachs

  Oct 2013 - Feb 2015

  Compliance Analyst

  Conducted reviews of transactions and trading activity in low-price securities to guard against illegal activity, including tax evasion and market manipulation. Reviews included a detailed examination of account activity, due diligence, and market research. Responsibilities included writing Suspicious Activity Reports to regulatory authorities, training new hires, and developing a better practices manual for use by investigators.

• 

  Convergex

  Aug 2015 - Jun 2017

  Served on a three-member team that acted as the main US compliance contact for trading staff in a mid-sized broker-dealer. Conducted reviews of trading activity across US-listed equities to detect potentially manipulative trading patterns. Worked to implement a new exception system to detect manipulative trading schemes. Managed the process by which trading errors were approved and handled by the Firm’s finance team and reported to senior management. Conducted in-person branch office reviews to inspect facilities and practices and deliver training. Worked with sales trading staff and clients to address ad hoc issues and senior management requests. Responsibilities included responding to inquiries and speaking with auditors and regulators about Firm practices and policies, running surveillance on sales staff phone correspondence, and delivering annual compliance training to client-facing staff. Trained personnel on managing risk associated with high-frequency trading activity using a variety of generated reports. Show less

  • AVP - Compliance Officer

    Apr 2016 - Jun 2017

  • Trade Surveillance Analyst

    Aug 2015 - Mar 2016
• 

  Cowen and Company

  Jun 2017 - Oct 2017

  Associate
• 

  Revlon

  Oct 2017 - Mar 2020

  Global Compliance Manager

  Reported to the Chief Compliance Officer. Coordinated investigations with HR and Global Security worldwide across all business lines. Managed investigations by other departments that escalate matters to Compliance. Delivered training in person and online to staff in corporate offices and manufacturing facilities. Trained and mentored legal assistants and indirect reports on compliance processes and requirements including investigative techniques and managing third-party risk. Assessed senior management’s potential conflicts of interest. Drafted and coordinated global policies. Led teams and task forces comprised of indirect reports to address issues and design and implement new systems and processes. Designed and implemented process by which products are registered for distribution in foreign countries. Designed and implemented new software and processes for: managing incidents across multiple departments and generating relevant metrics, conducting due diligence on third parties, managing compliance attestations and questionnaires for distribution across the company, and managing risk associated with the EU’s GDPR. Managed teams of indirect reports to ensure continued compliance with international laws and policies. Show less

• 

  Self Employed

  Mar 2020 - now

  Freelance Researcher

  Manage and direct qualitative and quantitative research and reports for a variety of clients. Subjects include international laws and regulations, complex commercial litigation, federal criminal investigations, labor relations, occupational patterns, and elder care. Methods include public records, contacting experts, and background research to develop the most accurate possible portrayal of a subject. Implemented system for geographical analysis of competition between healthcare providers. Written or oral reports to all levels of staff, senior management, or client’s investors. Clients include:Elk Hills Research, an investigatory firm focused on litigation finance and activist investingEthena, a corporate training provider focused on complianceAlexandra Bowie Consulting, a guidance provider to not-for-profit organizations Show less

• 

  Madison Square Garden Entertainment Corp.

  Nov 2021 - Jul 2022

  Senior Intelligence Analyst

  Lead member of a team dedicated to preventing and detecting security risks caused by insider threat. Investigations and analysis conducted using a variety of OSINT sources, including social media, as well as proprietary records including email, video surveillance, and facial recognition data. Coordinated with multiple teams across the company, including IT and Legal Departments, to develop the best system for mitigating the threats to the Company posed by its employees. Lead of a project to implement an intelligence software platform that included a case management system integrating teams dedicated to internal investigations, ticketing fraud, security incident responses, and intelligence assessments. Lead of a project to detect threatening social media and dark web posts concerning the Company. Lead of project to establish surveillance of company communications to ensure ethical conduct and data retention. Conducted assessments for presentation to senior management regarding the backgrounds and risk profiles of individuals and companies that are to be engaged by the Company or are involved in a security-related issue. Show less

• 

  Investment Firm

  Jul 2022 - now

  Co-Founder
• 

  New York American Healthy Alternatives Association

  Oct 2024 - Nov 2024

  Chairman