Kirk Caby

About Kirk Caby

Reviewed firm’s written compliance policies and procedures for implementation, with a…

Experience

1. Axiom Attorney Consultant

   Axiom

   Nov 2015 — Present · New York, NY, US

   Reviewed, drafted and negotiated constitutional documents and agreements, such as OTC, futures, swaps, listed derivative and others, to ensure on-boarding of hedge funds and private equity were completed in accordance with regulatory rules and internal firm-wide procedures. Ensured regulatory compliance with FATCA reporting rules that requires certain U.S. taxpayers to disclose holding foreign financial assets. Review jurisdictional constitutional documents of private equity funds, up to and including Private Placement Memorandums, Limited Partnership Agreement, Offering Memorandums, to ensure firms compliance and adherence to FATCA reporting. Ensure all required AML/KYC regulatory requirements are updated to reflect current regulatory policies and procedures. Provide a gap-analysis to highlight and correct deficiencies in remediation of existing clients and the on-boarding of new clients.• Amending existing client trading agreements, in particularly, ISDA, futures, swaps, options agreement, Listed and OTC derivative agreements, to ensure that these agreements are in adherence to regulatory rules.• Reviewed, drafted, negotiated, and amended agreements between principal and counter-parties to reflect current regulatory rules and promulgation from FINRA. • Research and advice senior management and investment manager of the fund on FATCA IGA’s (Intergovernmental agreements) specifically how the funds investors’ are effected by IRS rules and regulations. • Provide firm-wide gap analysis to point out deficiencies within bank’s own internal policies and procedures to ensure FATCA compliance within IRS guidelines• Thorough review of the funds Politically Exposed Persons (PEP) alerts by cross-referencing the name of the funds UBO (ultimate beneficial owner) investor against potential matches by utilizing lexis-nexus/diligence, public sources and governmental websites.

Education

• John Jay College (CUNY)

  Bachelor of Arts (B.A.), Political Science and Government

  2006 — 2008

• University of Detroit Mercy School of Law

  Juris Doctorate, Law

  2010 — 2013

Skills

• Microsoft Office
• Civil Litigation
• Legal Assistance
• Criminal Law
• Regulatory Compliance
• Research
• Policy Analysis
• Mediation
• Securities
• Estate Planning
• Public Speaking
• Dispute Resolution
• Family Law
• Finance
• Courts
• Legislative Relations
• Public Policy
• Commercial Litigation
• Legal Research
• Legislation
• Immigration Law
• Leadership
• Lexis
• Investments
• Government
• Due Diligence
• Corporate Governance
• Legal Writing
• Litigation
• Westlaw
• Political Science
• International Law
• Powerpoint
• Microsoft Excel
• Lexisnexis