Management Internal Audit

Ronald J. Rolleri

** ***** ******, ********, ** *1714 516-***-**** ***.*******@*******.***

Executive Summary:

An integral member of several business teams charged with creating and disseminating company policies.

An attorney with broad experience working with senior management of three financial services firms.

FINRA Series 7 and 24 licensed liaison between the firm and the SEC, FINRA and a variety of other federal, state and international regulators and regulatory agencies.

A deal-maker with a proven record of negotiating favorable agreements and resolving disputes.

A “go to” guy for management peers and subordinates; able to do “damage control” and remain calm in high pressure situations.

Professional History:

Senior Regulatory Liaison, Allianz Asset Management, August 2014 to Present

Primarily responsible for providing advice and counsel to the Internal Audit department of the parent company to two global asset managers, PIMCO and Allianz Global Investors, with combined assets under management of approximately $2 trillion.

Analyze and interpret new and existing regulatory requirements, and assist the global Internal Audit team in incorporating these requirements into the respective audit plans;

Member of Internal Audit Management Team, assisting in training, managing and supervising the global team;

Liaise with stakeholders regarding implementation of regulatory initiatives;

Negotiate contracts with key business vendors, ensuring that appropriate provisions relating to vendor management/oversight are reflected;

Review and assist in drafting individual audit reports;

Provide training to Internal Audit team on regulatory developments;

Assist in preparing quarterly reports to several Audit Committees;

Serve as the primary contact between the Internal Audit team and various stakeholders;

Supervise and participate in audits of various business units; and

Represent the firm at industry events; e.g., SIFMA, ICI.

Director and Associate General Counsel, SS&C GlobeOp, September 2006 to June 2014

Promoted to Director in 2009.

Primarily responsible for compliance with applicable federal, state and international rules and regulations for a leading provider of hedge fund administration and middle/back office services, with over 4,000 employees and 42 offices worldwide.

Drafted and implemented written policies and procedures, including those relating to personal trading, anti-money laundering and the establishment of a 24-hour compliance hotline;

Chief Compliance Officer of FINRA-registered broker-dealer affiliate;

Handle and respond to regulatory examinations, inquiries and requests for information;

Maintain required books, records and filings for broker-dealer affiliate;

Assist in the development and administration of training regarding applicable policies, procedures and regulatory developments;

Assist in the audit and testing of various Compliance Programs, including those relating to anti-money laundering and personal trading;

Member of several internal committees, including the Regulatory Task Force and the Data Management and Security Committee;

Member of Confidentiality Committee, to which breaches or potential breaches of confidentiality are escalated for resolution;

Member of Global Operations Committee, a group of senior personnel to which various issues relating to compliance and client related issues are escalated for resolution;

Developed a program to monitor compliance with the firm’s Personal Trading Policy;

Analyze rules and regulations promulgated by a variety of regulatory bodies, including the SEC, FINRA, CFTC, Central Bank of Ireland, Financial Conduct Authority (FCA), Cayman Islands Monetary Authority (CIMA) and Bermuda Monetary Authority (BMA);

Review advertising and sales materials;

Negotiate resolution of client and other disputes;

Negotiate and draft contracts;

Provide counsel and advice to various business units; and

Handle employment disputes and inquiries, including those relating to FMLA, ADA, terminations and claims of harassment/discrimination.

Chief Operating Officer, Lelands Collectibles, Inc., 2005 to 2006

Responsible for overseeing the day-to-day operations of a well-established and highly regarded international company specializing in vintage sports and entertainment memorabilia. Supervised all aspects of the firm’s business, including legal, finance and marketing activities. Designed and implemented policies and procedures leading to more streamlined and efficient operations.

Associate General Counsel, First Investors Corporation, 1993 to 2005

Primarily responsible for overseeing all broker-dealer regulatory matters for a nationwide organization with $6 billion under management and 1,200 employees, including the development and implementation of compliance policies and procedures, as well as investigation and resolution of customer complaints.

Oversaw internal and external investigations;

Assisted with developing and implementing a firm-wide Compliance Program;

Counseled the Compliance Department on appropriate policies, procedures and potential disciplinary actions;

Interfaced with all other business units on a variety of legal and business matters;

Developed and/or managed creation and implementation of nationwide training programs;

Monitored, and kept internal personnel abreast of, SEC, NASD and other regulatory developments;

Handled NASD (now FINRA) Arbitrations;

Maintained necessary broker-dealer registrations and filings, including Forms BD, U-4 and U-5; and

Reviewed and approved all marketing and advertising materials.

Education:

J.D., St. John’s University School of Law, 1993

Dean John J. Murphy Memorial Award for Best Brief Writer

Moot Court Senior Board

American Jurisprudence Award in Criminal Procedure

Dean’s List

B.S. in Finance, magna cum laude, St. John’s University, College of Business Administration, 1990

Dean’s List

Golden Key National Honor Society

Omicron Delta Epsilon Economics Honor Society

Beta Gamma Sigma Business Honor Society

Executive-in-Residence Program

Dean’s Certificate of Achievement in Finance

Contact this candidate