Linda Alpert

Experience

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  Citigroup Global Markets Inc.

  Aug 1984 - Mar 2005

  Sr. VP and Associate General Counsel

  Senior in-house counsel for Citigroup and predecessor firms including Smith Barney, Smith Barney Shearson and Salomon Smith Barney. Saved hundreds of thousands of dollars in potential judgments and legal fees by providing Smith Barney, its successor firms, and its employees with expert legal advice and defense of sales practice-related and employment-related claims.Prosecuted claims against former brokers who left the firm owing money on promissory notes and forgivable loans, and added to the firm’s bottom line by negotiating settlements requiring the brokers to repay their debts.Educated support staff on best practices for responding to regulatory inquiries and enforcement actions, including updating of broker regulatory U-4 and U-5 forms and timely response to regulators to avoid or minimize further regulatory action. Educated and trained a team of paralegals to respond to Citigroup corporate subpoenas and restraining notices. Created a computerized system for monitoring response due dates, extensions of time and documents provided to eliminate the possibility of unnecessary duplication and to substantiate compliance with the subpoenas. Show less

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  Keeps, Inc.

  Sept 1999 - Aug 2018

  Former Member, Board of Directors (Volunteer position)

  Served on board and its committees, took minutes, supported goals of program, evaluated director, ensured adequate financial resources, provided financial oversight, articulated mission and goals to the public, engaged in fundraising.

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  Pryor Cashman LLP

  Jun 2005 - Dec 2005

  Of Counsel

  Retained to conduct comprehensive review of a major firm’s policies and procedures to determine compliance with the SEC Global Research Settlement.Leading a team of associates, interviewed compliance and research personnel and analyzed compliance documentation.Organized and drafted final report to the SEC.

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  JuriStaff Legal Staffing

  Nov 2007 - Jan 2010

  Legal Analyst

  Expanded and added value to Bloomberg’s customer database offerings by creating, editing and updating sophisticated legal analyses and outlines on a wide variety of broker-dealer topics. As part of a team, created new web-based legal product providing Bloomberg customers a novel way to research SEC opinions and litigation releases.Conducted quality reviews and initiated multiple suggestions for improvement of current and newly created Bloomberg products.

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  Climate Change & Environmental Services, LLC

  Jan 2010 - Jun 2016

  Of Counsel

  I provided general counsel services, including drafting, analyzing, reviewing and negotiating business contracts, non-disclosure agreements, non-compete agreements and other agreements for an environmental engineering firm. I also provided general legal advice and support.

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  Loeb & Loeb LLP

  May 2012 - Sept 2012

  Freelance writer/editor

  Wrote and edited articles, presentations and other publications for the marketing department of Loeb & Loeb LLP and its Advanced Media and Technology and Intellectual Property practices.

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  Goldberg & Pines, LLP

  Mar 2015 - Jan 2016

  Of Counsel

  Of counsel to commercial real estate law firm; prepared documents for loans, lines of credit, satisfactions and assignments; liaised with title companies and banks; prepared and filed deeds; handled closings.

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  Barclays

  May 2016 - Dec 2022

  As a special investigator, conduct investigations on potentially suspicious wire transactions and monetary instruments generated from sources including case management tools, transaction monitoring referrals, subpoenas, and 314(a) and 314(b) requests, in accordance with firm anti-money laundering policies and procedures; draft and file Investigation Reports and Suspicious Activity Reports (“SARs”); review other investigators’ SARs for accuracy and completeness; recommend relationship retention or termination in the process of managing financial crime-related risks; review and close out surveillance alerts, participate in targeted review projects and/or investigations, provide training, liaise with law enforcement, legal and compliance personnel and stakeholders to ensure unusual and suspicious activity is properly escalated in line with AML, legal and compliance related regulatory obligations, and collaborate with Surveillance Optimization team to enhance current models. Successfully completed the Cambridge Career Academy two-year compliance program consisting of monthly trainings, peer discussions and essay examinations Show less

  • VP Manager Process Control and Oversight

    Aug 2022 - Dec 2022

  • AVP, Senior Quality Control Analyst

    Oct 2019 - Aug 2022

  • AVP, Compliance Investigator, Financial Crimes Unit

    May 2016 - Oct 2019