Marlo Dieguez

Email: abqfhf@r.postjobfree.com

Address: *** ****** ******, *** **

City: Coral Gables

State: FL

Zip: 33134

Country: USA

Phone: 786-***-****

Skill Level: Management

Salary Range: $140,000

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

14495 SW 173 STREET. MIAMI. FLORIDA 33177

PHONE 786-***-**** * EMAIL abqfhf@r.postjobfree.com

MARLO DIEGUEZ

SUMMARY

An aggressive and success-driven trader with 3 years of experience trading within financial markets at the Institutional and Client level as well as 9 years in the Private Wealth Management division. A disciplined investor with a passion for high-volume trading and a solid understanding of global markets. Consistently grew net revenue and increased penetration at both long-only and hedge fund accounts by utilizing effective communication skills, strong stock and bond selection and interpersonal skills. A collaborative team player with noted leadership capability.

EDUCATION

2013 - Trinity International University Miami, Fl.

Masters in Arts and Religion

2003 - Florida International University Miami, Fl.

B.A. in Finance

RELEVANT WORK EXPERIENCE

2012 - Present Cornerstone Capital Management (Full Service Broker Dealer) Miami, Fl.

Managing Director

Manage $100MM in Institutional Bank assets and $35MM in Client assets (NRA and Domestic).

Specializing in Ultra High Client

2009- 2012 FBM Bank of Miami Miami, Fl.

Vice President

Managed $100MM in Institutional Bank assets and $30MM in Client assets. Oversee the day to day activities within the investment services division. 2010 Gross Production: $761MM; 2011 Gross Production: $642MM.

Responsible for trading both client and institutional accounts. Responsible for managing the Banks overall portfolio with regards to Cash Management, Liquidity requirements, interest rate management. Maintain lines of credit with BBVA Compass and BB&T. Reported directly to the President and CEO.

Create and maintain new accounts, managed and reviewed portfolios

Preparing and analyzing performance and annual reports for shareholders and board of Directors

Monitoring and maintain report of portfolio security changes

Analyzing present market situation; predict dividend and interest and fund payouts

Create Suitability, KYC and Non-Deposit Investment documentation. Responsible in Overseeing the BSA/AML program with regards to the Wealth Management Operations; Supervise a team of 3 producers

2005 - 2009 SG Private Banking (Suisse) S.A. (name of institution changed due to mergers) Miami, Fl.

Subsidiary of Societe Generale (formerly CBG)

BSA/AML Compliance Officer / Office Manager / A.V.P.

Ensuring that applicable BSA and AML requirements are complied with in a timely manner as set forth in the BSA/AML Compliance Manual; performing Office of Foreign Assets Control (OFAC) verifications; in charge of ensuring strict compliance by all the employees of the Miami Representative Office of all applicable state and federal Anti-Money Laundering (AML) laws and regulations, including the Bank Secrecy Act (BSA) as set forth in the BSA / AML Compliance Manual. Manage all bank accounts, accounts payable, basic bookkeeping, bank deposits and transfers, Complete required reports and paperwork for organizations and governments, as needed.

Developed, maintained and reviewed policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program; Collaborated with other departments (e.g., Risk Management, Internal Audit, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution, in addition to consultations with the Corporate Legal department as needed to resolve difficult legal compliance issues.

Development and monitoring of $3.1 million annual budget; Serve as liaison between the Miami office and the Compliance, Accounting, Credit and Treasury departments in Switzerland.

Operation Management: Compliance, Office Administrator, Auditing, Accounting, Accounts Payable, Personnel Management, Training and Benefits, customer Service and Budgeting.

Supervise all equipment purchasing and maintenance, including contracted IT maintenance, Daily cash updates and regular bank reconciliations, Full responsibility for purchase ledger, including raising and monitoring purchase orders, supplier invoices and payments.

Supervising, establishing and communicating department goals and results to employees, staffing the department and delegating the workload, actively supporting employee growth, and upholding cooperative policies.

2003-2005 CBG Compagnie Bancaire Geneve Miami, Fl

Administrative Assistant

Support staff to Marketing officers for Venezuela and Mexico. Responsibilities include managing operational and investment issues, servicing customers' requests daily, cash flow analysis, designated contact for all Agents responsibilities including monitoring of accounts and due diligence efforts

Maintenance of over 100 accounts assisting in managing investment portfolio of over $100MM. Open Bank Accounts, Payable through Accounts and Investment Accounts. Also responsible for payment instructions and account inquiries.

1998-2000 Washington Mutual Bank Miami, Fl

Bank Teller

Supervised daily cash balance

Top bank referral (i.e., mortgages, investments)

CERTIFICATIONS

Bloomberg Fixed Income Certified

CAMS Certified, ACAMS Member

FIBA: Private Banking Certificate

FIBA: Compliance Certificate for Management

AML/CA - AML Certified Associate sponsored by FIU & FIBA

Series 7 and 66 (Series 24 in process)

LANGUAGES

English

Spanish

COMPUTER EXPERTISE

Microsoft Word, PowerPoint, Excel, Outlook, Novell, Microsoft Office, WordPerfect, Bloomberg, Quickbooks, Quicken, World-Check

MEMBERSHIPS / CHAPTERS

ACAMS - South Florida Chapter

UCEN [United Crimes Elimination Network]

Notary

REFERENCES:

FURNISHED UPON REQUEST

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