1. Eddie Rodriguez
5-7 Arthur Street • Belleville, New Jersey 07109 • Tel 646-271-1047• E-Mail: erod91269@yahoo.com
KEY QUALIFICATIONS
* On-Boarding institutional accounts. Working directly with Clients, Front Office, Middle Office, Legal, and KYC & Credit.
Monitor and Track the flow through out the On-Boarding lifecycle to completion. Manage ad-hoc On-Boarding process &
issues. Project collaboration across the NA Client On-Boarding, Reference Data, Due Diligence, QC, Credit & Legal.
* Over eighteen years of professional experience working in financial services. Serving a broad range of roles
that includedmanagement,supervision,clientfacingroles,regulatory,audit,compliance andsome clienton-boarding
* Recently completed 13 plus years working with major international investment broker dealer and was responsible for
external accountmanagement, some KYC,daily CIP/AMLandsome DoddFrankcompliance.
* Conducted some sales and trading compliance surveillance on listed equity, OTC equity, bulletin board, collateral
accounts, option, mutual fund, and fixed income trading accounts relating to alternative investments, DTC, DVP,
Collateral Agreements, Discretion, Alternative Investments, and Structured Product Agreements . To include some
experience inriskmanagementparadigmof compliance,suitability,riskprofileforhighlevel securityaccountapprovals.
CAREER HIGHLIGHTS
JPMorgan Chase (RandstadUSA), Brooklyn, NewYork
Compliance COB Group, MSFTA Project, CIB 04/2014–12/26/2014
· On-Boarding accounts/clients project (MSFTA) Master Sec Forward Transfer Agreement.
· Working directly with Front Office,Middle Office, Legal, KYC & Credit.
· Work as one of the main point of contact on all On-Boarding aspects.
· Facilitating the end to end On-Boarding process.
· On-Boarding Top, Regular Stand Alone & Sub Accounts.
· Pre On-Boarding checks and & SPN setup for accounts.
· Gather and disseminate client documents to correct areas.
· KYC sign off checks,Credit Review and Reference Data creation, if needed.
· Legal initiation, review/negotiation and approval.
· Monitor and Track the flow throughout the On-Boarding lifecycle to completion.
· Ensure On-Boarding from beginning to its completion constantly communicating with clients.
· Reporting (produce MIS that shows status, escalation, bottlenecks, backlogs and Prioritization).
· Root Cause Analysis template created to find cause and effect of bottlenecking so it would not happen again
· Project collaboration across the NA Client On-Boarding, Reference Data, Due Diligence, Quality Control
· Use Client Central, MarkIt, IntraLinks, COLT, SELM, SKYC, and SCOT to perform daily work as needed.
AXA Equitable, Jersey City, NewJersey
Central Supervisory Unit, Broker Dealer 07/2007–10/31/2013
· Approved, reviewed and monitor new business account documents for suitability
· Worked on Audit work for FINRA& SEC for legal and Compliance
· Analyzed and reviewed data from financial reports, financial plans and required documents
· Collaborated with management, directors and other departments for suitability information.
· Identified, proof read and communicated with field reps on client personal identifiable information required.
· Maintained relationships with eternalvendors, broker dealers and internal department partners
· Approved alternative investments, hedge funds, structured products and business developments
· Worked closely with compliance, AML, audit & legal to ensure work procedures are clear and up to date
· Indexed, reviewed, gave best business practice comments and approved Financial Plans (NAVI PLAN and eMoney)
· Assessed client eligibility for risks tolerance and other information given and did EDD Enhance Due Diligence
· Assisted financial professionals and LPL when preparing client Business Development Company applications
· Oversaw the application process for all field representatives on Hedge Fund for Fund approval and 1031 exchanges
AXA Equitable, NewYork City, NewYork
Merger Transition Team 02/2007-08/2007
Transfer Supervisor
· Responsible for supervising 30 licensed Representative schedules, meetings, trainings, promoting & hiring.
2. · Prepared, recorded and reported client incident reports daily adhering to company policy and procedures
· Responsible for weekly audits on quality assurance recordings utilizing RGTS communications systems
· Helped develop, recommend, coordinate & implement a comprehensive employee training plan.
· Developed curriculums and conducted on-going training for management and staff
AXA Equitable
Paramount Producer Group 02/2005-03/2007
Senior Customer Service Representative
· Responsible for processing ACH,wires, and transfers and incoming inquires
· Worked with high producers from the company daily to ensure processing of all type of requests
· Responsible for call center recordings and communications system with Rockefeller Communication Group
· Helped develop, recommend, coordinate & implement a comprehensive employee training plan.
· Developed curriculum and conduct on-going training for personnel
AXA Equitable
Customer Service Call Center 08/2000-07/2007
Senior Customer Service Representative
· Responsible for department schedules, meetings and trainings.
· Prepared, recorded,and reported client incident reports daily while following all policy and procedures.
· Responsible for call center Quality Assurance monitoring weekly and monthly for service reps.
· Facilitated, developed, recommend, coordinated & implemented a comprehensive employee training plan.
· Developed operational curriculum procedures and conducted on-going personnel training
TD Waterhouse, NewYork City, NewYork
Reorganization Department 04/1994-08/2000
Lead Financial Analyst
Processed corporate action request in computer systems daily
· Processed Employ Stock Option Shares (ESOP),restricted shares,required client documentation.
· Processed and validated reports from Option Clearing System daily to ensure deliverables were accurate
· Assisted clients in daily request, funds distribution, deposits, wires, transfers and others
· Prepared operation training materials for new and current employees
EDUCATION:
Utica College, Utica, New York
Masters of Economic Crimes & Cyber Security/Terrorism ( Currently Attending )
Baruch College, New York, New York
Bachelors of Finance & International Economics (Conferred May 2002)
Borough of Manhattan Community College, New York, New York
Associates of Banking & Finance (Conferred May 1995)
TRAINING:
VARIOUS (FINRA) TRAINING AND KNOWLEDGE COURSES AND LICENSES ( SERIES 7, 24 & 63 ALL ACTIVE )
SKILLS:
Fluent in Spanish, CentreView, Daily CIP reviews on LexisNexis Bridger Insight XG, Proficiency in Microsoft
Office applications; Some knowledge of Oracle Enterprise scheduling systems, Branchnet (LPL), StreetScape
(Fidelity), NetXPro (Pershing), ADP (TDWaterhouse), eDox Rollout, Bloomberg, Schwab Advisor Central.
AFFILIATIONS:
A-Journey for 911 Head Quarter Aid
A Journey 2012 Class Member
Baruch College Alumni Association
Active AXA-Way Volunteer
Alianza Dominicana Volunteer
