Rafael Del Rosario
Parker,CO
Summary
Driven professional with extensive experience at Charles Schwab Corp, specializing in restricted stock management and anti-money laundering investigations. Excelled in leveraging Charles Schwab applications and equity systems, demonstrating exceptional collaboration and communication skills. Achieved significant improvements in compliance processes, showcasing a profound understanding of Rule 144 and 10b5-1, with a steadfast commitment to outstanding customer service.
Overview
21
21
years of professional experience
Work History
Senior Restricted Stock Specialist
Charles Schwab Corp
02.2006 - Current
- Handle inbound client calls
- Approve accounts for sale and place trades on restricted stock positions
- Obtain pre-clearance and approve Policy Making Officers, Control Person, Section 16 Reporting Persons, Board Members and Affiliates for sale of control securities and/or stock options
- Facilitation of 10b5-1 trading plans including trade entry and record keeping
- Coordinate with issuer's counsel with requesting legal opinions
- Coordinate with Transfer Agents and Stock Plan Administrators on the client's behalf
- Preparing and filing Form 144s with the SEC
Investigative Assistant
Charles Schwab Corp
09.2003 - 02.2006
- Review Daily Office of Foreign Asset Control (OFAC) Reports
- Review all OFAC updates
- Address Anti-Money Laundering and OFAC questions via the hotline
- Familiarize and identify OFAC restrictions, prohibitions, polices and sanctions with all listed OFAC countries
- Review and resolve cases pertaining to anti-money laundering and fraud alerts for all accounts at Charles Schwab Corp.
- Participate in remediation and quality control testing of current scenarios
Education
Associate of Applied Science - Criminal Justice
Middlesex County College
Edison, NJ01.1997
Skills
- Proficient in Microsoft Office
- Proficient in Charles Schwab Applications and equity systems
- Collaboration
- Outstanding oral and written communication / presentation skills
- Positive and professional customer service attitude and capability
- Familiar with Rule 144 and 10b5-1
Timeline
Senior Restricted Stock Specialist
Charles Schwab Corp
02.2006 - Current
Investigative Assistant
Charles Schwab Corp
09.2003 - 02.2006
Associate of Applied Science - Criminal Justice
Middlesex County College
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