Daniel Baker
Associate General Counsel at Texas Bankers Association- Claim this Profile
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Bio
Credentials
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Financial License - Series 6
FINRA (Financial Industry Regulatory Authority) -
Financial License - Series 63
FINRA (Financial Industry Regulatory Authority) -
Notary Public
State of Utah
Experience
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Texas Bankers Association
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United States
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Banking
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1 - 100 Employee
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Associate General Counsel
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Mar 2021 - Present
Assist Compliance officers in interpreting and understanding Reg Z, DD, HMDA, B, E, P, X, FCRA, CRA, and most every banking regulation. Prepare and present education classes on compliance hot topics, compliance basics, BSA/AML, and multiple other topics. Publish articles on Legislative/Regulatory concerns, Security Risks, general compliance concerns. Review marketing campaigns, bank policies and procedures, websites, and other misc. documents for regulatory compliance. Assist Compliance officers in interpreting and understanding Reg Z, DD, HMDA, B, E, P, X, FCRA, CRA, and most every banking regulation. Prepare and present education classes on compliance hot topics, compliance basics, BSA/AML, and multiple other topics. Publish articles on Legislative/Regulatory concerns, Security Risks, general compliance concerns. Review marketing campaigns, bank policies and procedures, websites, and other misc. documents for regulatory compliance.
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The Tisdale Law Firm
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United States
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Law Practice
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1 - 100 Employee
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Unlicensed Associate
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Jul 2020 - Mar 2021
Research and advise on legal issues including Privacy, Bankruptcy, Real Property, Civil Torts, and Regulatory Compliance issues such as internal policy and procedures, contract negotiation, and new client intake processes. Research and advise on legal issues including Privacy, Bankruptcy, Real Property, Civil Torts, and Regulatory Compliance issues such as internal policy and procedures, contract negotiation, and new client intake processes.
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Michigan State University
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United States
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Higher Education
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700 & Above Employee
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Tax Clinician
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Jan 2020 - Jul 2020
Assist struggling individuals and families with understanding IRS regulations, policies, and procedures. Conduct onboarding, file OIC’s, and manage Tax Issues. Skills required include legal research, advanced negotiation, compliance, and risk mitigation. Assist struggling individuals and families with understanding IRS regulations, policies, and procedures. Conduct onboarding, file OIC’s, and manage Tax Issues. Skills required include legal research, advanced negotiation, compliance, and risk mitigation.
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Ingham County
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United States
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Government Administration
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400 - 500 Employee
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Judicial Law Clerk
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Aug 2019 - Dec 2019
Draft Bench Memo’s for sitting Judge. Conduct legal research, assist with managing docket, inmate communications, and make verdict recommendations. Draft Bench Memo’s for sitting Judge. Conduct legal research, assist with managing docket, inmate communications, and make verdict recommendations.
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Allpine Title, Inc.
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Alamosa, Colorado
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Title Officer
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May 2019 - Aug 2019
Conduct property and title compliance examinations. Draft title policies, research clouded titles, and review issued contracts. Major projects include patent deed search and policy on 1000+ acres for environmental easements, streamlining subdivision policies, and establishing Trust and Corporation verification procedures. Conduct property and title compliance examinations. Draft title policies, research clouded titles, and review issued contracts. Major projects include patent deed search and policy on 1000+ acres for environmental easements, streamlining subdivision policies, and establishing Trust and Corporation verification procedures.
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Ivanti
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United States
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Software Development
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700 & Above Employee
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Legal Department Intern
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May 2018 - Aug 2018
As a Legal Intern I have had the opportunity to work on a wide range of Compliance Projects. My experience at Ivanti exposed me to additional fields of Data Privacy, Compliance and Risk review - End User Licensing Agreements (“EULA”) - Nondisclosure Agreements (individual and mutual) - Indemnification Agreements - Privacy Policies - Terms and Conditions - Third Party Vendor Agreement Compliance Form Drafting - Software Evaluation License Agreement - Amendments to EULA - International sole provider letter - Legal hold letter - Termination letter - Objection to Subpoena - Modern Slavery and Human Trafficking Compliance Project - General Data Protection Regulation (“GDPR”) - PrivacyShield - Domestic and International Export Classification - Consumer Data Mining Team Project Leader - Internal Security and Organization Audit
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Costco Wholesale
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United States
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Retail
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700 & Above Employee
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Internal Sales Auditor and Vault Clerk
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Oct 2017 - Feb 2018
Working for Costco taught me that there are somethings you can't do. Like working a 30+ hour job and starting Law School. However, while working for Costco I opened a new store and help to establish Internal Auditing practices, vault controls and procedures, management review processes, and corporate compliance reporting that is still being used today. Audit and Compliance - Write programs to streamline gathering data for sales audits - Conduct audits and research into financial discrepancies - Compile and generate P&L auditing reports - Conduct daily ETF, cash, and cash equivalent audits and generate reports - Daily, weekly, and monthly reporting to upper level management - Train individuals on advanced Microsoft Suite skills
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JPMorgan Chase & Co.
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United States
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Financial Services
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700 & Above Employee
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Manager on Duty - Business Specialist - Private Client Banker
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Apr 2012 - Aug 2017
Manage a book of high-balance clients including Trusts, Corporations, and Individuals. Work with partners to establish financial development plans, educate clients on best practices guidelines, and establish in-branch compliance procedures. ACHIEVEMENTS HIGHLIGHTS Compliance Review. Review new trust, corporations, and non-individual entities for KYC, AML, and regulatory compliance. Including Corporations, LLC’s, Sole Proprietorships, Irrevocable and Revocable Trusts, Guardianships, and IOLTA’s. Provide Leadership and Expertise on all aspects of account policy compliance to ensure clients are retained, P&L is positively impacted and staff is educated on proper procedures. Good Client Interaction. Consistently ranked at the top level of satisfaction. National Sales Achiever. Ranked 315 out of 10,000+ individuals while competing against large markets. Drove achievement of organizational goals by establishing and implementing one-on-one training programs in policy compliance, sales, client retention new hire training, and conflict resolution.
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TCF Bank
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Banking
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700 & Above Employee
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Supervisor - Sales
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Oct 2011 - Apr 2012
Responsible for team management, balance growth, and acquisition - Develop business relationships - Assist customers with lending solutions and banking products - Responsible for Core consumer maintenance, acquisition, and satisfaction - Manage incoming requests, concerns, and day to day affairs - Top Performer - Microsoft Suite Responsible for team management, balance growth, and acquisition - Develop business relationships - Assist customers with lending solutions and banking products - Responsible for Core consumer maintenance, acquisition, and satisfaction - Manage incoming requests, concerns, and day to day affairs - Top Performer - Microsoft Suite
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Education
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2017 - 2020
Michigan State University College of Law
Doctor of Law - JD, Law -
2013 - 2017
Utah Valley University
Bachelor of Business Administration (B.B.A.), Business Administration and Management, General -
Michigan State University College of Law
Masters of Jurisprudence, Legal Analysis -
Northville High School
High School Diploma
Community
