Management Manager
Resume:
RANYA ROTOLO
**** **** ******, ********, ** *****
Extensive compliance experience in financial regulation. Expertise in equity and debt markets during highs and lows of each market. Seeking position in compliance where over 10 years of experience will add value to operations.
PROFESSIONAL EXPERIENCE
FINRA, Rockville, MD February 2008-Present
Market Regulation Department, Fixed Income Investigations
Senior Investigator
• Analyze corporate bond and municipal bond trading activity for indications of potentially fraudulent activity in fixed income markets. Manage and track caseload of over 120 active cases.
• Conduct investigations of bond markups and markdowns, and price execution practices within the bond market.
• Routinely present investigative findings to senior management and other constituents with recommendations of direction of case.
• Train new investigators with respect to conducting investigations, communicating with counsel, in addition to conducting training sessions with respect to FINRA rules and regulations, and the subsequent impact on firms and individuals.
• Mentor new staff members with respect to sharing knowledge and expertise pertaining to a wide range of issues such as how to conduct investigations, offering insight and advice regarding the direction of cases, potential challenges, and serve as a sounding board for ideas and career-related decisions.
• On special assignment for eighteen months as lead investigator on Derivatives case, which focused on potentially collusive and corrupt behavior in the credit default swap market, and involved nine firms and over thirty individuals.
• Assumed lead role during testimony of the thirty individuals; responsible for building the case, presenting findings to senior management.
• Provided recommendations to senior management regarding the strength of the case, and possible sanctions against the firms and individuals.
FINRA (formerly NASD), Rockville, MD March 2001-February 2008
Corporate Financing Department
Investigator
• Led investigations of broker/dealers and public offering activity during the burst of the dot-com bubble.
• Primary focus of investigations was compliance with SEC and FINRA public offerings regulatory rules and regulations.
• Investigations focused on IPO distribution activities, underwriting terms and arrangements, and compensation received by broker/dealers in connection with public offerings.
• Routinely presented findings to senior management, and wrote reports detailing findings and recommendations of action.
• Referred investigative findings to FINRA’s Department of Enforcement, and led the joint investigation with the Enforcement team as an IPO expert.
• Testified in disciplinary proceedings as FINRA’s witness during hearings.
• Provided day-to-day rule interpretation and compliance support to the investing public, the SEC, FINRA members, and FINRA District Offices.
NASD, Washington, DC November 1999-March 2001
Corporate Financing Department
Public Offerings Analyst
• Initial public offerings analyst during dot-com bubble; managed over 150 public offerings at any given time, during fast paced and constantly changing regulatory environment.
• Identified and analyzed underwriting compensation received by broker/dealers related to initial public offerings and secondary offerings.
• Analysis included reviewing public offering documents and material agreements, such as underwriting agreements, management practices, and legal involvements, in relation to federal securities laws and regulations, and NASD rules and policies.
• Identified and resolved compliance issues with participating broker/dealers by providing an interpretation of the applicable rules.
• Prepared comment letters and other written materials based on comprehensive analysis of public offering terms and arrangements to broker/dealers, issuers, and counsel, and presented findings to senior management.
• Responded to telephone queries from underwriters, issuers, attorneys, the SEC, other FINRA departments, district offices, and the public regarding public offerings of securities.
The World Bank Group, Washington, DC November 1997-October 1999
Budgeting Assistant
• Assigned to the Climate Change group on temporary assignment.
• Maintained financial records and research on country financing projects for current and future projects.
Merrill Lynch, Vienna, VA June 1996 - August 1997
Consultant Assistant
• Provided market research and financial analysis of large cap companies across many industries to determine investment purposes for a period of 3-5 years.
• Maintained contact with clients regarding investment strategies and portfolio goals.
• As the liaison between the consultant and clients, provided investment recommendations to manager based on changes in client's investment objectives.
ACADEMIC ACHIEVEMENT
Master of Business Administration, May 2010
The George Washington University, Washington D.C.
Bachelor of Business Administration, Finance, May 1997
The George Washington University, Washington D.C.
CORE SKILLS
Proven ability to assume multiple job duties and take on unanticipated tasks. Bilingual: Arabic /French.
REFERENCES
Upon Request
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