Management, Operations and Compliance Specialist
Resume:
MIGUEL FONTAINA
**************@*****.***
SUMMARY
Over 10 years of successful experience in financial services, retail operations, project management, business management, compliance and administration.
Fluent in English/Spanish and Galician (similar to Portuguese)
Excellent interpersonal, analytical, observation and communication skills.
Studied International Business Management at Berkeley College, received AML/BSA Compliance Training and Dodd-Frank Act Certifications.
EXPERIENCE
Citigroup (Axelon Services) - Contractor Sept 2015 - Present
Compliance and Control Analyst (FRO)
Communicating and follow up with CFOs, Managing Directors and other levels of Senior management
Controlling and tracking the process of receiving completed ICSAs and supporting regulatory documents for the GRA Project (Global Revenue Allocation)
Coordinating, scheduling and leading meeting with different countries to resolve regulatory concerns, delays and to get status on returning completed documents
Reviewing issues which are delaying completion and resolving the issue and if needed escalating to Senior Management for resolution
Preparing the reports and communicating the status of the GRA project to senior management
Assisting in implementing the resolution determined by Senior management
Coordinating the entry and maintaining APS program once ICSAs and all supporting documents are completed with the team.
UAT testing on the E-Source platform for TPM project and communicating findings and suggestions
Review Business Requirement Documents (BRD) and Functional Requirement Documents (FRD)
Express Enterprises Corp. Mar 2007 – Aug 2015
Director of Operations/Compliance Officer
Management position accountable for soliciting new business accounts and developing current business accounts to generate additional revenue.
Reconciliation of all bank accounts and review all account receivables, payables and commissions.
Increased location profitability within states of operations in Pennsylvania.
Devised and implemented marketing promotions.
Determining the cash flow and budgets needed for all locations.
Reviewed and developed new revenue streams.
Analyzed the monthly P&L, balance sheet and other financial statements for accuracy and to maximizing profits.
Implemented, modified, developed and enforced company policies and procedures as needed in accordance with federal, state and city laws and ordinance (Patriot Act, Dodd-Frank, etc)
Filed and litigated civil complaints in magisterial district, city and county courts.
Prepared and filed the mandatory forms to comply with IRS, Patriot Act, BSA/AML Laws, state banking regulations, Dodd-Frank, and other laws.
Developed incentives for products and services to increase revenue, profits and reduce expenses.
Developed a strategic marketing campaign which generated substantial referrals and a revenue increase of 20%.
Increased profits by 30% by reviewing all expenses, operations, procedures and expanding products and services.
Improved compliance procedures to improve banking relations.
RGIS 2005- 2007
Area Manager
Day to day operations to set up the opening or reopening of a location.
Coordinated staffing levels and timing from local offices.
Analyzed blue print for implementation and modifying as needed.
Trained employees of the company and clients as needed.
Reviewed operations of clients for objective consulting, observation and opinion.
Established budgets and schedules for completion of projects.
Operated projects and consulted client’s nationwide and devised improvements to operations while maintaining individual state and federal standards.
Implemented and enforced company policies and procedures as needed in accordance with federal, state and city laws and ordinance.
Completed projects on time and within budgets.
Reduced the timing to complete a project from 30 days to 20 days.
Reduced budget and costs by 10%.
Led a team to complete projects which were designated as extremely difficult.
Walgreens Co. 2001- 2005
Store Manager/Group Leader
Day to day operations of the entire store and all departments.
All human resource needs.
Purchased/ordered merchandise from both the corporate warehouse and outside vendors to generate, develop and maximize profits.
Trained and promoting staff to excel and expand their abilities and careers.
Implemented corporate incentives and created store incentives which are specific to the season and/or customers to generate revenue.
Merchandised properly to maximize profits.
Reviewed monthly P&L to improve revenue, cut costs and improve profits and exceeding sales and profit forecasts established by corporate.
Devised and implemented marketing promotions.
Reviewed and developed new revenue streams.
Analyzed the monthly P&L, balance sheet and other financial statements to maximize profits.
Enforced company policies.
Mentored new store managers and executive assistants to excel and improve their skills and their stores and staff.
Developed incentives for products and services to increase revenue and profits.
Improved sales and profits of poorly performing stores in New Jersey by changing merchandising, procedures scheduling and employee morale.
Decreased inventory levels and increase product turnover by 15%.
EDUCATION
Berkeley College of Business, NJ 2001
International Business Management.
Training and Certifications:
AML/BSA Compliance Training Certification.
Dodd-Frank Act Certification.
Certified Pharmacy Technician
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