Quality Assurance Audit Manager

Pedro L. Rodriguez

** ******** ******, ******, ** 11003 Cell:347-***-****

*****************@*****.***

Qualification Summary

Experienced and skilled operations professional with a proven track record in strong client relations, with diverse experience in Operations, OTC Clearing, and Options CMTA. Enthusiastic individual and an excellent communicator, focused on fostering and building positive client and professional relationships. Finra Licenses: SIE and SERIES 99

PROFESSIONAL EXPERIENCE

HSBC, Current Contract, New York, NY April 2024 – Dec. 2024 Regulatory Control Specialist

• Manage daily reporting exceptions, by executing quality assurance controls to identify potential reporting issues and escalate to IT, Compliance and FO Business.

• Monitor and resolve Cash Equity Trades. Report transactions to US regulators (i.e., FINRA and SEC) and ensures the firm is compliant with its regulatory CAT and CAIS reporting. TOURMALINE PARTNERS, LLC, Stamford CT April 2021 – Jan. 2023 Director of Operations

• Reconciliation of prior days trades, shares, commissions and fees.

• Compare in house date vs OMS system and identify and fix any discrepancies.

• Review daily break sheets, identify all unmatched and failed trades.

• Scan live trade blotters to note anything that needs special attention (high volume/nominal and new client trades.

• Obtain Client and Traders requested stock locates.

• Assist in closing out days; i.e. checking all client allocations and commissions; ensuring confirms accurately and timely. Option CMTA allocations sending all end of day trade files; post client trades on CTM; new security set ups, client new account setups; assist traders with any trade questions and issues.

GFI SECURITIES, New York, NY Jan. 2008 – Nov. 2020 Equity Desk Middle Office Associate

• Point of contact for OATS reporting and worked with compliance and operations to ensure that all OATS reports were in compliance with all external and internal regulations.

• Monitored daily trade commission’s report.

• Responsible for resolving daily trade breaks, account reconciliation, corrections and confirmations.

• Processed, confirmed and monitored client trades by phone, fax or electronic mail; interacted on a daily basis with prime brokers and client counter-parties.

• Liaison between Equity Desk, Options, ADR desk and OMS-FIDESSA.

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CATHAY FINANCIAL, LLC, New York, NY April 1999 – Oct. 2007 Operations Service Representative – Trading Desk

• Point of contact for new accounts, reviewed all account openings; responsible for controlling all new account documentation, worked with compliance and operations to ensure that all documents were in compliance with all external and internal regulations.

• Monitored daily trade commission’s report.

• Responsible for processing and reconciling Option breaks and CMTA Option Clearing Trades with the New York, CBOE and ISE floor traders

• Responsible for resolving daily trade breaks, account reconciliation, corrections and confirmations.

• Monitored clients’ bank pledges/escrows with customers and brokers in order to resolve trade discrepancies.

• Processed, confirmed and monitored client trades by phone, fax or electronic mail; interacted on a daily basis with prime brokers and client counter-parties.

• Cleared, monitored and settled trades for Hedge Fund Benton Capital LP under a Joint Back Office Agreement with Cathay Financial

BANC OF AMERICA SECURITIES, New York, NY May 1998 – April 1999 Service Representative – Trading Desk

• Monitored and resolved domestic settlement problems, equity and fixed income aged items.

• Trader and customer liaison on OTC fixed income and floor trades/breaks.

• Point of contact between P&S and clients.

• Responsible for DTC confirmation, breaks and affirmations. MORGAN STANLEY & CO., INC., New York, NY July 1989 – May 1998 Service Representative, Correspondent Clearing Services

• Monitored and resolved domestic settlement problems, equity and fixed income aged items.

• Trader and customer liaison on OTC fixed income and floor trades/breaks.

• Contact representative between P&S and clients.

Customer Representative

• Monitored and serviced customer accounts, resolved exceptions, handled settlement problems, margin issues, reorganization issues and researched historical data. SOFTWARE

MS Word, Excel, ACT, OMGEO-CTM

FIDESSA

EDUCATION

St. Francis College, Brooklyn, New York 1993 – 1994 Major: Business Administration

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