Business Manager, Business Support Manager, Regulatory Compliance

CAROLINA E RODRIGUEZ

Port Chester, NY 203-***-**** *****************@**.*** Linkedin.com/in/carolina-e-rodriguez

BUSINESS MANAGER – TRADING, SALES & GLOBAL STRATEGY

SUMMARY

Accomplished Business Manager with extensive experience in boosting operational efficiency and ensuring regulatory compliance across diverse banking sectors. Expert at spearheading cross-functional teams towards fulfilling business objectives, instilling a culture of excellence and continuous development. Proficient in conducting client analysis and forecasting trends, ensuring strategic agility and informed decision-making. Adept at cultivating and nurturing strong global relationships with key senior stakeholders, facilitating seamless alignment with overarching business goals. Demonstrated prowess in navigating complex regulatory landscapes, guaranteeing compliance and risk mitigation.

COMPETENCIES

• Team Building & Leadership • Stakeholder Relationship Management

• Regulatory Compliance Assurance • Cross-Functional Leadership

• Strategic Planning & Execution • Business Process Improvement

EXPERIENCE

Senior Business Manager, SVP - Global Strategy & US Sales & Trading

NATWEST MARKETS SECURITIES, INC. Stamford, CT May 2013 – June 2023

Directed strategic agenda setting and execution for Global Head of Strategy and Heads of US Sales & Trading in alignment with senior leadership goals. Developed and implemented procedural changes to accommodate new products, regulatory demands, and technological advancements. Ensured rigorous oversight of control and governance frameworks to identify and mitigate material risks effectively. Governed risk forums, enhancing their effectiveness and ensuring consistent risk escalation practices across the organization. Assessed and refined front-to-back control processes in collaboration with Operational Risk, Compliance, and Audit teams. Member of Natwest Markets Rising Stars management program, 2017.

● Facilitated strategic planning and project delivery, engaging with key stakeholders and business partners for optimal outcomes.

● Enhanced global collaboration on risk management, controls, and governance, including support for regulatory and audit engagements.

● Streamlined strategic planning processes, significantly improving project delivery efficiency and stakeholder satisfaction. Identified key areas for improvement that bolstered overall operational resilience by leading comprehensive review of control processes.

● Navigated regulatory changes, including Dodd-Frank, Volcker, Sarbanes-Oxley, 15a-6, AML, Patriot Act, and Business Continuity Plans, implementing adaptive procedures that maintained compliance and facilitated new service offerings.

● Optimized governance model operations, ensuring effective risk forum functionality and uniform risk escalation procedures.

● Supported business during transformation and realignment initiatives without compromising client relationships. Lead US liaison between trading floor and Desktop support during time critical Microsoft upgrade.

● Responsible for new Trading and Sales hire onboarding ensuring adherence to new policies and procedures, ensuring technical and market data requirements are aligned to their respective roles

● Fostered effective global collaboration, leading to streamlined responses and successful management of targeted FINRA, Fed and State of Connecticut regulatory exams and audits.

● Developed and delivered targeted risk-based Front Office Training related to Supervisory Responsibilities, Communications, Anti-Fraud and Manipulation Controls, and Conflicts of Interest Management.

● Served as the business lead liaison with Compliance in developing, managing, and embedding Broker-Dealer Written Supervisory Procedures.

● Coordinated Front to Back multi-stakeholder risk and controls implementation for complex regulatory control initiatives driven by policy implementation, regulatory undertaking, or remediation.

● Enhanced identification and mitigation of operational risks through improved control frameworks.

● Instrumental for providing documentation of process controls to successfully defend the bank during a FINRA arbitration hearing.

● Designed and delivered the annual budget, including ongoing financial analysis with a focus on optimizing cost structure and increasing revenue within established risk limits.

Sales Assistant, VP-Fixed Income Products

NATWEST MARKETS SECURITIES, INC. Stamford, CT May 2005 – May 2013

Delivered backup support to Senior Sales, including answering client calls and executing trades, with a focus on legacy trade inquiries. Addressed margin calls initiated by the Credit Department and clients, ensuring prompt and accurate resolution. Executed finance trades for Trading Desk, involving negotiations of rates and setting initial dollar amounts communicated to clients. Conducted confirmation of trades via Bloomberg and verbally on trade date. Managed the timely resolution of trade issues to ensure proper settlement processes. Investigated and resolved discrepancies related to settlement instructions price difference.

● Improved finance trade process by negotiating rates and setting opening dollar amounts, optimizing financial outcomes for clients.

● Addressed all discrepancies related to settlement instructions and price differences, ensuring accurate and efficient trade executions.

● Played a key role in resolution of margin calls by maintaining integrity of client accounts and firm's credit standing.

● Elevated firm's reputation for reliability in settlement processes by leading initiatives to resolve trade issues.

● Aided in executing trades and managing bid lists, while providing valuable feedback to the Trading Desk.

● Reduced trade discrepancies and strengthened client trust by ensuring accurate trade confirmations.

● Enhanced operational efficiency by streamlining the backup support process for Senior Sales.

ADDITIONAL EXPERIENCE

Senior Funds Control Analyst - VP

ROYAL BANK OF SCOTLAND MARKETS & INTERNATIONAL BANKING Greenwich, CT

Senior Analyst, Cash Reconciliations – AVP

GREENWICH CAPITAL MARKETS SECURITIES Greenwich, CT

EDUCATION

Bachelor of Science, Finance and Investment Fairfield University Fairfield, CT

Alpha Sigma Lambda Honor Society, Co-President Gamma Phi Chapter

LICENSES

FINRA CRD#: 2798212 Series 24 Series 7 SIE MQP

COMPUTER SKILLS

Bloomberg, Tradeweb, MarketAxess, Workday, Concur, Salesforce/CRM, Microsoft Office

LANGUAGES

Spanish, native speaker

VOLUNTEERING

● Class Parent Volunteer, St. Luke’s School - New Canaan CT

● Volunteer, Religious Education Office, St. John Bosco Parish - Port Chester NY

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