Strong quantitative and qualitative analytic skills coupled with technical expertise. Sophisticated in analyzing credit and modeling structure of fixed income transactions and managing ratings expectations in high pressure, time-sensitive global capital markets environment. Securities law, regulatory and compliance experience. Due Diligence. Seven years credit and surveillance. Ten years of trial, litigation, and mediation. Proven ability to design
Strong quantitative and qualitative analytic skills coupled with technical expertise. Sophisticated in analyzing credit and modeling structure of fixed income transactions and managing ratings expectations in high pressure, time-sensitive global capital markets environment. Securities law, regulatory and compliance experience. Due Diligence. Seven years credit and surveillance. Ten years of trial, litigation, and mediation. Proven ability to design and implement training modules. Training in Ethics, Corporate Governance and Professional Responsibility. Strong public speaker. Excellent at customer relations.
Senior Claim Counsel @ FI/PCL Claim Group -- Manage litigation and coverage issues for active book of D&O insurance business for market leader in specialty financial claims. From May 2010 to Present (5 years 8 months) Senior Bank Examiner @ OTC Derivatives Operations Group
• Address prudential and regulatory issues impacting the global derivatives market.
• Implement knowledge sharing sessions on derivative documentation. From January 2009 to October 2009 (10 months) Derivatives Attorney @ • Secunded by Axiom Legal to the law department at Wells Fargo Bank, N.A., handled all legal issues arising in the area of Equity derivatives for Financial Products and the Securities Investment Group. Advised further on Commodity and Forex derivatives. From October 2008 to January 2009 (4 months) Claims Attorney @ • Consulting assignment on behalf of Alan H. Gray Company of Boston that advised on claims handling and underwriting issues involving high volume book of Hartford Financial Products' MPL and E&O claims.
• Updated underwriters on issues affecting litigation versus various sectors of financial services industry.
• Determined and evaluated coverage, estimated and set loss reserves, and advised on claims monitoring and policy exhaustion issues with respect to HFP and co-carriers as between coverage layers within insurance tower. From July 2008 to October 2008 (4 months) Director @ • Managed analysis, compliance, criteria and business development for ABS fixed income product. Advised on securitized derivatives as well as SPV based complex structured finance transactions. Employed cash flow and interest rate models. Credit estimates of LCDS for CLO's and of CDS for CDO's. ABS asset classes included residential and commercial mortgages, NIMs, Risk Transfer, auto loans, synthetics, LOC and ABCP.
• Interacted with issuers, servicers and counterparties as required.
• Speaker at national industry conferences. Prepared internal criteria pieces.
• Served as relationship manager to and spearheaded difficult negotiations of client needs for bulge bracket investment bank. Trained new hires in customer relations. Fielded investor inquiries. Spoke to media as necessary.
• Negotiated ISDA documentation for all equity and credit derivatives and repos throughout structured finance. From August 2001 to June 2008 (6 years 11 months) Complex Director @ • Handled full caseload of securities claims reported under Directors and Officers Liability insurance policies. Fluent with US securities laws including the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940. Handled full caseload of class action product liability claims.
• Analyzed substantive legal issues and interpreted policy language regarding coverage, reserves, liability, damage exposure and resolution. Set reserves. Managed reinsurance issues. Addressed regulatory concerns. Delivered creative financial solutions to resolve uncovered claims under finite risk models. Proposed endorsement language.
• Performed underwriting reviews; compliance and claim audits of insureds, co-insurers and reinsurers. From June 1996 to June 2001 (5 years 1 month) Student @ From 1998 to 1999 (1 year) Attorney @ • Labor law practice. Conducted 300 administrative law trials with extensive litigation experience in workers’ compensation. Intensive examination of medical witnesses at trial and deposition. Appellate practice.
• Represented and counseled labor union members in discrimination, wrongful discharge and ADA cases.
• Interpreted and advised on collective bargaining agreements. From October 1987 to May 1996 (8 years 8 months)
M.B.A., Finance & Statistics @ New York University - Leonard N. Stern School of Business From 1997 to 2001 J.D., Law @ Rutgers Law School From 1981 to 1984 B.A., English @ Rutgers, The State University of New Jersey-New Brunswick From 1976 to 1980 Wardlaw George L. Kimmel is skilled in: Structured Finance, Trials, Securities Regulation, Securities, Mediation, Litigation, Legal Writing, Insurance Law, Insurance, Fixed Income, Finance, Due Diligence, Derivatives, Corporate Governance, Commercial Litigation, Capital Markets, Administrative Law
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