Compliance Professional

LEMITRA L. RHODES

PO Box *****, Houston, Texas **027 - 713-***-**** – *****.******@*****.***

COMPLIANCE MANAGEMENT LEADER

Detail-intensive corporate policy and regulatory expert in financial services industry, applying rigorous enforcement to the achievement of exceptional business development, legal control, and asset protection.

• Demonstrate expertise in business development, operations direction, process implementation, system management, program management, portfolio / account management, sales / marketing, and fiscal oversight.

• Align corporate policy and procedures with state and federal agencies, as well as SEC and FINRA.

• Achieve and maintain compliance through ongoing and extensive external revisions.

• Investigate and resolve potential issues and violations.

• Collaborate with internal and external entities for achievement of corporate mission.

• Train, direct, and focus teams to surpass enterprise expectations.

• Advance complex, multi-tiered agendas in challenging settings. KEY COMPETENCIES

Strategic Planning • Policy Development & Enforcement • Regulatory Laws • Asset Protection • Research & Analysis • Records Management • Audit Planning • Case Management • Investigations • Talent Development • Goal Setting • Performance Management • Change Management • Communications • Presentations • Contract Management • Negotiations • Consensus Building • Problem Solving • Administrative Leadership & Support

PROFESSIONAL EXPERIENCE

REPUBLIC CAPITAL GROUP, LLC. Houston, Texas • 2019 - 2020 Republic Capital Group offers Investment Banking Services for the RIA, Wealth and Asset Management Communities. Director, Due Diligence & Operations

• Responsible for conducting a comprehensive research and background review on Registered Investment Advisors, Wealth and Asset Management Companies.

• Create and provide research review and reports to Firm’s staff and management. SALIENT PARTNERS, L.P., Houston, Texas • 2012 – 2019 Salient offers a comprehensive suite of strategies that span master limited partnerships (MLPs), real estate, public and private equity, fixed income, credit and managed futures.

Director, Compliance, Salient Partners, L.P.

• Reported directly to the Chief Compliance Officer, responsible for the alignment of corporate policy and procedures with state and federal agencies, as well as SEC, NFA, and FINRA.

• Responsible for compliance oversight of the Investment Advisor advertising and sales literature, as well as creating and implementing several regulatory and annual compliance training programs.

• Review, approve, and provide written responses where necessary for RFPs.

• Conducted and provided to the Board Members an Independent AML Audit of the Firm’s Trust Company

• Completed and provided to the Board Members a Quarterly Risk Assessment of the Firm’s policies and procedures. HINES REAL ESTATE INVESTMENTS, INC., Houston, Texas • 2012, 2008 - 2010 Real estate investors focused on institutional-quality office properties. Compliance Manager, Hines Advisors, LP: Built and maintained books and records for company offerings, as well as persons affiliated with distributions of product offerings. Managed costs relevant to budgetary, legal, and compliance requirements. Coordinated audit requests from regulatory agencies, independent consultants, and internal audit functions, and managed audit exception resolutions.

• Forged and updated policies and procedures consistent with regulatory requirements and business practices, communicated changes, and oversaw policy violation investigations and disciplinary actions.

• Drafted and directed high-impact compliance training programs.

• Secured status as Registered Principal of company. MBM Advisors Inc. a subsidiary of STERLING BANK, Houston, Texas • 2010 – 2011 Provider of a wide range of financial products and services through an extensive network of full-service banking centers. Manager, Investment Operations, AVP

Assistant Vice President SEC Compliance (Registered Principal): Align the company’s Written Supervisory Procedures and Compliance Manuals with SEC and FINRA rules and regulations. Ensure accurate and timely performance management reporting. Educate staff on regulatory compliance standards, retirement plans, investments and personal and career developmental matters through training and mentoring. Calculate and collect fees for all individual wealth management advisory clients.

• Collaborate with top leaders; partnered with CCO to oversee SEC compliance functions and manage regulatory record retention requirements, AML/OFAC procedures, and operational account review requirements.

• Optimize Investment Operations via the creation and implementation of new procedures and best practices standards, as well fine-tuning and enhancing existing processes.

• Play a pivotal role in resolving investment and transactional related issues, while facilitating cross-communication between the firm's clients, vendors and staff, serving in a liaison role. METLIFE, Houston, Texas • 2007

Leading provider of insurance, savings, and retirement planning products and services. Assistant Operations Manager: Supervised 60 Registered Representatives through orientation on policies and procedures, compliance procedures, and ethics; review of advertising and sales literature; preparation of productivity reports; annual individual compliance reviews; and provision of compensation adjustments. Guided quarterly compliance meetings on company’s ethical and compliance requirements, as well as FINRA and SEC compliance requirements.

• Attained status as Registered Principal of company. AIM INVESTMENTS, Houston, Texas • 1996 – 2007

Leading global investment management firm.

Senior Compliance Officer (2000 – 2007): Provided exceptional oversight of 22 cash management fund portfolios, as well as 10 equity and sub-advised funds. Achieved portfolio compliance with rules and regulations of state and federal agencies, as well as SEC and FINRA. Met trust compliance according to rules and regulations of Trust Memorandum, and participated in maintenance of company’s Code of Ethics. Investigated and resolved potential issues and violations. Prepared Board of Directors and SEC reports, filings, and other documents pertinent to compliance for their respective portfolios. Acted as liaison for review and approval of personal securities transactions of employees, and reviewed Investment Advisor advertising and sales literature.

• Achieved status as Qualified Principal of company.

• Processed independent review of company’s anti-money laundering procedures.

• Headed presentations of Matrix trading system to executives and SEC. Support Services Analyst III (1999 – 2000): Performed role of Team Lead for Support Service Group to include optimization of daily and weekly workflow. Provided quality control for outgoing client payments, including wires, ACH, and checks, for satisfaction of legal requirements. Processed outgoing manual payments involving applications to include Automated Forms, and bank applications to include Telecash, iTelecash, and Chemlink. Researched exception items including returned and recalled wires, and prepared monthly bank reports addressing issues between company and custodian banks.

• Participated in development and launch of new software applications for improved efficiency.

EDUCATION

B.S., Health Care Administration

Texas Southern University, Houston, Texas

Master of Business Administration (Graduation date: 8/2011)(cum laude) Texas Woman’s University, Houston Texas

LICENSURE & CERTIFICATION

FINRA Series 7, 24 & 66

CSCP Certification (Certified Securities Compliance Professional

PROFESSIONAL MEMBERSHIP

Texas Wall Street Women

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