Management System

JOSEPH L. RODRIGUEZ

Hallandale, FL Cell: 954-***-****

Email: **************@*****.*** http://www.linkedin.com/in/jrodriguez2101

SUMMARY

Analytical, resourceful, results-oriented Senior Compliance Professional with proven experience in negotiating skills and problem resolution in customer driven industries. Demonstrated ability to multi-task and prioritize workload on a daily basis. Flexible self-starter, successful at working as an individual as well as within a cross-functional team. Capable of fostering and maintaining positive working relationships with all levels of management. Outstanding work ethic and leadership ability to bring about new improved approaches to problem solving. Bilingual English / Spanish. Knowledge of Cash Management Business and Electronic Banking Products, and Account Documentation. Strong Leadership, Project Management skills.

• Training and Facilitation

• Deadline Conscious

• Enthusiastic, Assertive • Research and Analysis

• Regulatory Compliance

• Negotiation Skills • Creative Problem Solver / Communicator

• Trouble Shooter, Resolutions

• Departmental Mediator / Liaison

PROFESSIONAL EXPERIENCE

CITIBANK N.A., San Antonio, TX September 2011 – November 2011

Senior KYC Compliance Analyst (Contract Position through Deloitte Financial Advisory Services LLP)

Performed EDD on “Triggered” HRAC accounts (consumer/business) captured in Citibank’s eCADD (Customer Acquisition Due Diligence) case management systems.

• Ensure CIP required information in all “Triggered” accounts

• Update KYC information on branch wide client application (Concierge)

• Effectively navigated various Citibank’s CISC-based applications including: Teller system; Check Archival system; National Client System; Statement Archival System and provided EDD documentation for each eCADD case.

• Employed AML investigation on (consumer/business) account activity captured by scenarios designed to detect ML(money laundering) typologies:

o Cash deposits/withdrawals

o Velocity

o MSB-like activity

o Average balance

• Provided AAR (Activity Alert Report) for cases deemed suspicious and escalate to FIU.

• At times performed customer outreach to validate KYC information (employer, annual income etc.)

• Performed QC (quality check) on other analysts, completed EDD documentation and provided metrics.

BANK HAPOALIM SECURITIES, Aventura, FL December 2010 – August 2011

Compliance Specialist - Private Banking (Contract Position)

RFL: Assignment ended.

Research and analyzed various corporate governing documents for International and domestic Private Banking, Platinum / Diamond clients. Ensure documentation is compliant with Bank Secrecy Act (BSA), Anti - Money Laundering (AML) and Know Your Client (KYC) policies.

• Manage team of consultants, delegate daily assignments, assist Bankers and Relationship Managers with banking documentation to ensure all requirements are in keeping with the banks Policy benefiting Client experience.

• Review Customer Due Diligence (CDD) and Enhance Due Diligence (EDD) files for the purpose of flagging any anomalies that may violate BSA.

JOSEPH L. RODRIGUEZ Page Two

CITIGROUP, Fort Lauderdale, FL March 2008 – November 2009

AVP, Senior Compliance Specialist

RFL: Position transitioned out of country.

Managed complex multi - million dollar external client contractual and account opening documentation for major Global Regional Banks (GRB), Global Financial Institutions and Global Broker Dealers. Ensured all account

activation adhere to Citibank’s Compliance and Anti - Money Laundering (AML) policies and Know Your Client (KYC) as well as ensure all documentation adhere to Central Bank Requirements.

• Provided documentation and transaction management support to Americas Global Transactional Services Cash and Securities business to ensure all requirements are in keeping with Firm Policy benefitting Client experience with the Bank.

• Directly worked, led and coordinated discussions with Senior Level of Legal, Product, Compliance and Risk in all regions of Citigroup to comply with Citibank’s internal control and Central Bank’s regulatory requirements in nearly 100 markets so an established time frame for relevant documentation can be produced to Clients.

• Identified operational improvement initiatives which streamlined process to greatly reduce Citigroup’s financial and regulatory risk.

• Managed / maintained global account opening website containing all internal and external audit requirements ensuring verbiage on contracts does not place the Bank at risk.

• Worked directly with Cash management and provided solutions for multi country and multibillion dollar GRB clients.

• Identified potential risk issues. Complied with Risk and Control Self Assessment (RCSA), and Key Risk Indicators (KRI’s) in order to achieve minimum 98% adherence to 48 hour account opening process.

CONCORD CAMERA CORP, Hollywood, FL July 2006 – January 2008

Senior Corporate Paralegal / Compliance

RFL: Business closure.

Prepared corporate legal documents relating to contracts, patents, trademarks, litigation, commercial matters and general corporate matters.

Confirmed and prepared contract extensions and termination notices for attorney review.

• Monitored due dates relating to pending patent applications for issued patents and trademarks ensuring no lapse or expirations.

• Maintained legal department files including filing and docketing litigation matters for Supervisor / Attorneys.

• Provided general litigation support, including assisting with collection and organization of documents and monitoring due dates.

• Conducted Legal research – Pacer research on cases for relevant laws and regulations; monitored and retrieved case filings for future interest in purchasing of new patents.

• Coordinated with in-house counsel, business personnel and outside counsel on legal issues relating to general filing and maintenance of company corporate records including documents and company contracts for auditing purposes.

LENNAR CORPORATION, Miami, FL November 2005 – May 2006

Corporate Paralegal / Compliance

RFL: Contracting assignment ended

Assisted Senior Counsel on various corporate and SEC issues with respect to the company’s 2006 proxy.

• Organized information and coordinated production in response to corporate governance matters - legal entity formations; FEIN applications authorizing resolution for closings on land / homebuilder acquisitions or financings; officer elections / removals; corporate document request and bonds to transfer liens.

• Prepared proxy questionnaire for directors and executive officers for quarterly review.

• Prepared monthly reports of legal entities and DBA for Lennar beneficial ownership.

• Researched, analyzed and updated corporate information of parent and subsidiary companies.

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MERRILL LYNCH, New York, NY March 2003 – April 2005

Senior Compliance Specialist

RFL: Headcount / cost reduction.

Facilitated various securities industry and regulatory issues with In House and Outside Counsel. Interfaced with numerous departments throughout the Firm with respect to Know Your Client, (KYC), Anti-Money Laundering, (AML) and Bank Secrecy Act (BSA) policies.

• Provided information to government regulators and self-regulatory organizations in conjunction with inquiries and investigations regarding Client accounts and regulatory policy.

• Organized / coordinated company and client information in response to regulatory request.

• Assisted Counsel with internal review of legal corporate documentation and employee interviews.

• Presented developing strategies by preparing and participating in regulatory investigations.

• Furnished preventive compliance related procedures to various departments on regulatory and policy violations.

• Dispensed and amend forms U-4, U-5 and RE-3 for Financial Analyst.

• Complied with request from various areas of Merrill Lynch, including Client Relationship Services and Executive Services supporting private Client Capital Markets Litigations, and Pre-Litigation in order to respond to client complaints resulting in security trading transactions.

MORGAN STANLEY & CO., Brooklyn, NY June 2002 – January 2003

Data Research Analyst

RFL: Contracted after 911.

Researched and analyzed financial and operating information of parent and subsidiary companies to ensure validity of its operational status and its group structure.

• Conducted research using tools such as Bloomberg, Dun & Bradstreet and Bankers Almanac to ensure non-duplication of corporate structure.

• Created statistical exhibits to analyze comparative data performance.

• Restructured corporate hierarchies within the MSDW database through remapping of accounts, correction of global linkages, and removal of duplicate entities.

SALOMON SMITH BARNEY, New York, NY November 2000 – February 2002

Senior Compliance Specialist

RFL: Business interruption due to 911.

Maintained and distributed Firm’s supervisory research control and research quiet list utilizing Bloomberg through contact with Investment Bankers and other members of control group, information to be utilized by compliance offices worldwide.

• Reviewed and analyzed computer generated reports of Firm, Customer and Employee trading using Financial Consultant Inquiry System (FCI), collection of various applications used to communicate and impose specific research and /or trade controls and restrictions to US retail sales force and proprietary trading desks for the purpose of performing due diligence against violation of securities law.

• Utilized Compliance Supervisory System (CSS), trade surveillance system used to log all pertinent information for a particular transaction and move these details from one list / category to another, capturing trading activities.

• Conducted entry level internal audits within the compliance department ensuring documentation met SEC / Firm policy and procedures.

• Monitored daily trading surveillance on Chinese Wall issues, “watch list” and “restricted trading list” for SEC violations and insider trading.

PRUDENTIAL SECURITIES, INC., New York, NY December 1999 – October 2000

Senior Compliance Specialist

RFL: Department closed, recruited into Salomon Smith Barney.

Provided operational support to Senior Vice President and Senior Counsel at Prudential Securities Inc. and its subsidiary, Wexford Clearing Services. Reviewed new account documentation, monthly statements, stock record reports, commission runs, and trade runs using SIAC, Lawpack and ERRE, all internal operational systems to review policy violations.

• Responded to all subpoenas served by FBI, FINRA, US District Courts and other financial institutions by conducting thorough investigative research regarding an investor’s account and possible security sanctions.

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MERRILL LYNCH, New York, NY January 1998 – December 1999

Senior Paralegal

RFL: Poor market conditions, and department merger.

Facilitated / implemented underwriting Initial Public Offerings, in equity market for reserved shared program.

• Maintained syndicate position for up to 12% of total equity offerings.

• Prepared participant client FINRA “Lock – up” agreements and prohibition letters.

• Coordinated tender and exchange offers with Investment Banking, Dept Capital Markets Reorganization and Transfer Agents.

• Approved purchase of new issues through FINRA review, internal and external Counsel.

EDUCATION

Coursework, Masters of Public Administration, (MPA)

John Jay College of Criminal Justice, New York, NY

Lawyers Assistance Program, (ABA) Adelphi University, New York, NY

Bachelor of Science, (BS) John Jay College of Criminal Justice, New York, NY

AML/CA, Florida International Bankers Association (FIBA)

Certified Internal Auditor (CIA), The Institute of Internal Auditors (IIA), Florida Atlantic University (FAU)

TECHNICAL SKILLS

Proficient in Microsoft Office: MS Word, MS Excel, Access, Lotus Notes, Outlook and Power Point. Knowledge of Citibank’s CISC-based applications including: Teller system; Check Archival system; National Client System; Statement Archival System and eCADD. Knowledge of MDC (Master Data Center/Thompson), relating to contracts, patents and trademark issues. Knowledge of ADP, Bloomberg, Focus 6.21 (Ad Hoc Reporting Tool), Merrill Lynch Offering Control System and OLAP (Historical Reporting Tool), Dun & Bradstreet, Bankers Almanac, World Check. Experienced with Lexis-Nexis, Westlaw, the Unified New York Court System and MA-3000, Pacer.

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