Management Technician
Resume:
SEAN DEREK RODRIGUEZ
Jersey City, NJ 07302
********@*****.***
COMPLIANCE EXPERIENCE
Citibank N.A. / Bank of Chile, New York, NY 6/07 – Present
AML Compliance Officer
Proactively involved in the removal of Bank of Chile’s “cease and desist” order placed by the Office of
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the Comptroller of the Currency (OCC) by managing High Risk Client reviews.
Create daily production metrics for Senior Management to monitor staff and workflow.
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Manage information submitted by Data Mining Unit for AML in-house applications (PRIME & CASEIt).
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Generate Suspicious Activity Reports (SARs) for Senior Management to review and submit to Law
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Enforcement Agencies.
Monitor and investigate high profile Government Embassy accounts, signatories and associated parties
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with OFAC and NESS databases.
Daylight Forensic & Advisory, New York, NY 8/06 – 6/07
Associate
Supervised, managed, and motivated a professional team of researchers with various backgrounds that
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focused on forensic accounting investigations.
Provided Anti-Money Laundering (AML) reviews for Israel Discount Bank (IDB) “look-back” project to
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assist in the removal of the “cease and desist” order placed by the OCC.
Researched transaction counter party names with OFAC and Worldcheck databases.
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Liased with due diligence vendors (Lexis Nexis / Choicepoint) to source business applications, which
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would enable Daylight Forensics’ to further assist bank clientele.
U.S. Trust, New York, NY 3/03 – 8/06
Compliance Officer
Managed and administered the implementation of U.S. Trust’s Investment Adviser Code of Ethics
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(IACOE) and Code of Business Conduct and Ethics - Act of 1940 (BCE) to all employees.
Managed team of Compliance Analysts who monitored trading by U.S. Trust Fund Managers and
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Research Analysts with Charles River Investment Management System.
Lead investigations involving employee trading misconduct and reporting sanction metrics for Senior
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Management Investment Compliance Group.
Performed due diligence verifications for new and existing customer accounts using applications (Lexis
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Nexis, Worldcheck and OFAC) to comply with PATRIOT ACT, KYC and CIP policies.
Liaised between Senior Management and staff on new procedures under PATRIOT ACT / CIP Policy.
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Provided OCC Examiners with support documentation on U.S. Trust customers, accounts and employees
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under review annually.
Created and managed several MS Access databases to provide statistical workflow metrics to Senior
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Management.
TECHNICAL EXPERIENCE
Personal Computer Services, Westchester, NY 6/01 – 3/03
Desktop Support Technician/Jr. Network Administrator
Yale University/Yale School of Nursing, New Haven, CT 6/02 – 12/02
Web Developer/Graphic Designer - Consultant (Simultaneously with PCS Contract)
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Market Data Corporation, Rye Brook, NY 6/99 – 6/01
Desktop Support Technician/ Jr. Network Administrator - Permanent
1/97 – 5/99
Consulting Assignments
• Desktop Support Technician, Computer Instructor, Technologies Planner
EDUCATION
Le Moyne College, Syracuse, New York
Bachelor of Science in Business Administration, December 1996
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