John Reyes
Paralegal, Tds @TD Securities
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WORK HISTORY
Paralegal, Tds @TD Securities
NY, US
Responsibilities:Develop and maintain compliance reporting frameworks, including dashboard trackers and user manuals, to monitor and streamline regulatory reporting obligations, measure audit scoring, and strengthen matter governance across cross border teams.Review and redline agreements (NDAs, licensing, Options), and create and maintain playbooks of negotiated terms and fallback provisions, with emphasis on risk mitigation policies, regulatory requirements, and legal precedents and standards.Assisted with compliance initiatives during and post TD-Cowen merger, including SEC filings of Schedule 13Gs, reviewing privacy disclosures during regulatory sweeps, and updating membership exchanges and the OSC relating to the merger. Achievements:Maintained 100% resolution rates for four consecutive months for each of the two cross border teams, and implemented playbooks of negotiated terms and risk positions for agreement reviews (NDAs, licensing and Options).
ABOUT JOHN REYES
I am a legal and regulatory compliance professional with extensive experience in regulatory U.S. immigration law, data privacy, governance, and risk mitigation. I excel at drafting, reviewing, and analyzing legal agreements, executing regulatory disclosures, and ensuring compliance with U.S. and international regulations. My proven ability to collaborate with cross-functional teams, execute audit compliance practices, and develop policies in alignment with a multitude of legal and regulatory frameworks are key assets to any organization. Key Competencies: Regulatory filings and disclosures (SEC, Canadian regulators) Data privacy compliance (GDPR, cross-border data governance) Contract review and risk mitigation (NDAs, licensing, service agreements) Employment-based immigration and compliance audits Agile methodologies in compliance and risk assessment Strong analytical and critical thinking skills
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