Rebecca Rodriguez
Orlando,FL
Summary
Experienced financial professional with 25 years in international operations, spanning roles with investment advisors and broker dealer. Proven track record of optimizing operational efficiency and compliance adherence serving Wealth and Institutional client base. Seeking new opportunities to leverage expertise and drive success in the financial industry.
Overview
31
31
years of professional experience
1
1
Certification
Work History
Global Network Manager Senior VP
Pershing LLC
2010.06 - Current
- Manage a network of 16 offshore clearing relationships that support our clearance and custody services for 64 international markets
- Explore new markets and long-term strategy in existing markets
- Maintain over 2,000 securities and cash accounts across 64 foreign markets including the account openings, closings, and audits
- Collaborate with BNY Mellon as it pertains to the third party governance of our custodian bank relationships
- Responsible for completing, signing, and maintaining of documentation such as clearing and custody agreements, SEC Good Control Location Letters, Fee Schedules, and No-Lien letters.
Global Trade Processing Team Lead
Pershing LLC
- Assist, train, and support clients in booking, amending and/or cancelling international trades on our Netx360 platform
- Provide quality and complex client service and support to internal and external clients on a daily basis including problem resolution and transaction processing
- Primary point of contact for clients on all international trade related issues based on specific client needs
- Work with KPMG on quarterly audits
- Responsible for approving trades at a supervisor level in the work corner queue.
International Settlement’s Associate
Pershing LLC
- Responsible for ensuring timely settlements for all trades in Latin America such as Mexico, Argentina, Chile, Columbia, Peru, and Brazil
- Serve as primary contact for IBD’s, brokers, and internal departments for these markets
- Expedite resolutions on items greater than $100,000 and/or greater than 10 business days
- Take appropriate action to reduce aged items
- Monitor exception queues, daily reports, and service centers, and take appropriate action
- Process journals, transfer of assets, and fed wire payments as needed.
Settlement Administrator / Trading
Zesiger Capital Group, LLC.
1995.12 - 2005.06
- Responsible for creating and overseeing all aspects of settlement department, such as resolving dk’s and fails, provide settlement instructions, and serve as primary contact for custodian banks and brokers
- Executed trades (domestic and foreign equities including 144a, Reg S, prospectus stock, and foreign exchange) utilizing various brokers and ECN’s such as Instinet, Future Trade, and ESpeed
- Monitored the execution of all domestic and foreign trades to ensure accuracy and compliance
- Maintained Alert and Oasys systems, as well as the Merrill Lynch platform, MLX
- Settled all trades via DTC, Euroclear, Cedel, Fed, or local international markets
- Coordinated the sales and settlement of prospectus stock with brokers, banks, transfer agents, and legal counsel
- Handled the allocation of commissions to brokers, based on directed business, research, and soft dollars.
Settlement Administrator
Offitbank
1993.05 - 1995.07
- Processed, confirmed, and settled all trades such as fixed income, equities, currency, mortgages, repo's, and local international settlements
- Primary contact for custodian banks and brokers to resolve all dk’s and fails
- Trained all new associates in the department.
Education
Bachelor of Science (B.S.), Business Administration, Finance -
New Jersey City University
Jersey City, NJ01.1993
Skills
- Management
- Leadership Development
- Document Management
- Standard Operating Procedures
- Workflow Processes
- Effective Multitasking
- Operational Support
- Teamwork and Collaboration
Other Notables
- Actively participate in events throughout the organization, some of my highlights from 2023 consisted of:
- I was interviewed by my peer for a Global Clearance Employee Spotlight where I was able to share information about myself and my career journey to the OTIS team (Operations, Trading, & India Services).
- I also represented my team as a manager participating in a speed networking event providing insight to the new hires on the functions within the OTIS team.
- I was an active participant in the annual Insite Event where I not only attended myself, but I also mentored summer interns and took them to the event where they were able to have a meet and greet with the senior leaders of the organization.
Certification
Series 99 FINRA License obtained October 25, 2018
Languages
Spanish
Native or Bilingual
Timeline
Global Network Manager Senior VP
Pershing LLC
2010.06 - Current
Settlement Administrator / Trading
Zesiger Capital Group, LLC.
1995.12 - 2005.06
Settlement Administrator
Offitbank
1993.05 - 1995.07
Global Trade Processing Team Lead
Pershing LLC
International Settlement’s Associate
Pershing LLC
Bachelor of Science (B.S.), Business Administration, Finance -
New Jersey City University
Series 99 FINRA License obtained October 25, 2018
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