Microsoft Word
Richard Tabizon
South San Gabriel,CA
Work Preference
Summary
Dynamic individual with hands-on experience in Regulatory Compliance and talent for navigating challenges. Brings strong problem-solving skills and proactive approach to new tasks. Known for adaptability, creativity, and results-oriented mindset. Committed to making meaningful contributions and advancing organizational goals.
Overview
23
23
years of professional experience
Work History
Election Assistant III, NC
Los Angeles County Registrar Recorded / County Clerk
05.2022 - Current
- Restructured the Mobile Vote Section election training program, improving staff readiness and ensuring more effective mobile voting operations for the Los Angeles County (RR/CC) Mobile Vote Section.
- Developed comprehensive daily training schedules with various modules to engage the temporary election staff and ensure they received the training necessary to succeed in the field during the eleven-day election period.
- Designed a three-day driving course for the temporary box truck driving staff, resulting in improved safety, efficiency, and confidence in their ability to handle the assigned units.
- I was responsible for procuring and inspecting the rental fleet. This inspection included a comprehensive assessment of the following types of vehicles: 26-foot supply trucks with air brakes, 30-foot mobile trailers, cargo vans, 3/4-ton trucks, and passenger vans. This inspection followed all guidelines established by the Federal Motor Carrier Safety Administration (FMCSA) and the Department of Transportation (DOT) to ensure all vehicles were safe for operation.
- Due to space constraints, I searched for an off-site location to conduct off-site election training for the (RR/CC) Mobile Vote Section. This endeavor required planning and coordination across multiple moving pieces involving various county agencies and outside vendors.
- Developed comprehensive written operational plans for the Mobile Vote Section, leading to improved efficiency and compliance. Created and implemented training programs such as Election Training Schedules and Modules, PreTrip / PostTrip Inspection Plan, Motor Vehicle Key Distribution Plan, Driver Training Program, Driver Training Skills Test, and Trailer Preventive Maintenance Plan. These efforts directly enhanced staff readiness, safety, and adherence to standards, including those for Disability Access Services, in accordance with the California Secretary of State guidelines.
- I assess and negotiate new and existing vote center facility drop box agreements for cities, libraries, and college campuses. I negotiate these agreements directly with City Clerks and City Managers. I oversee the permanent installation of these boxes for 5 to 7 years or the temporary installation for 30 days prior to an election.
- I recruit vote center locations for our Mobile, Flex, and Pop-Up Teams by holding in-depth conversations with City Clerks, public and county entities, and private and religious organizations, then immediately begin and complete the contract process once discussions start. Lastly, we facilitate all certificates of insurance for indemnification upon request from the vote center site location.
- Awards: Government Experience Awards, EAC National Clearing Awards, National Association of Counties Achievement Awards, Quality and Productivity Commission (LA County Board of Secretaries), California State Association of Counties Annual Challenge Awards, Election Center Professional Practices Award.
Owner / Self Employed
Richard Tabizon Self Employed
07.2018 - 04.2022
- I analyzed freight markets and shared pricing trends to evaluate competitive lanes in Los Angeles and across the 48 contiguous states. I negotiated local and national rates to ensure profitability. I also expanded the carrier base by developing new owner-operator relationships.
- I assessed and approved Owner-operator compliance packages to confirm carrier eligibility. I verified Safer, Freight Guards, and Motor Carrier history.
- I purchased, assigned, and dispatched loads to owner-operators and broadcast direct shipper loads over various load boards to sell the freight. I established a collection plan to track aged receipts from brokerage firms, carriers, and direct shippers.
- I inspected received items and reconciled bills of lading against the invoice. I recorded and reported shortages and damaged goods to insurance carriers to avoid future liability. I received, reviewed, and processed all invoices, receipts, bills of lading, and accessorials before submitting them to the factoring company.
- I handled a variety of maintenance and over-the-road breakdown requests to ensure the owner-operators met their deadlines. If a carrier was unable to reach its predetermined arrival time, I contacted the receiver and the shipper to arrange a new delivery time slot.
Risk Analyst
AppleOne Employment Services
07.2017 - 12.2017
- I performed tasks supporting anti-money laundering, fraud, and FinCEN CIP Identification regulations. I examined bank and card transactions for anomalies and identified potential money laundering and fraud. I flagged suspicious activity for further investigation.
- I identified transactions that warranted PSAR or SAR filings. After flagging a transaction, I notified the BSA officer, who determined the appropriate report to file.
- If suspicious activity occurs at a branch, I request surveillance footage and review it for illicit conduct. I verify customer identity by processing CIP details, including name, address, date of birth, and government-issued ID number.
- Once I collect all documentation, I screen the information against the McDonald's Information for OFAC matches. If there is a positive match, the account is restricted pending OFAC guidance.
Chief Compliance Officer / Chief AML Officer
NMS Capital Securities, LLC
09.2011 - 03.2015
- As the firm's executive principal, I oversee and supervise all Broker-Dealer OSJ (Office of Supervisory Jurisdiction) and non-OSJ offices nationwide, ensuring their compliance.
- As an Investment Banking firm, we handle a variety of duties daily. I most often review due diligence and legal engagements before we onboard clients.
- I have led numerous branch audits for both Office of Supervisory Jurisdiction (OSJ) and non-OSJ locations. I established robust internal procedures for inspections and background checks. I also instituted advanced surveillance protocols and heightened supervision.
- I was responsible for all aspects of hiring both licensed and unlicensed candidates. I set up orientation and arranged training schedules for various departments. I handle all internal complaints from departments and regulatory bodies. I conduct performance evaluations and ensure all aspects of the Central Registration Depository (CRD) are correctly updated
- I authoritatively review and investigate all transactions that suggest high-risk client activity or suspicious asset movement. I analyze data to decisively detect illicit patterns. I ensure strict adherence to anti-money laundering laws, including the Bank Secrecy Act, the Patriot Act, and all regulatory requirements.
- I assess whether CIP requirements reasonably verify identity or require escalation. I create, maintain, and update all firm regulatory training, policies, and procedures.
EVP, Operations
NMS Capital Asset Management Inc
01.2011 - 03.2015
- As Chief Compliance Officer, I must ensure that all SEC standards are adhered to. These standards include drafting Form ADV Parts 1 and 2, Firm Privacy Policies and Ethics Policies, and the firm's Business Continuity Policy.
- Additional duties include reviewing all advertising and sales literature to determine whether SEC standards are met and identifying target areas for improvement.
- Develop and maintain detailed written supervisory procedures to ensure compliance with SEC-mandated policies and procedures.
- Overseeing the firm's continuing education requirements and annual compliance training for all registered and non-registered employees.
- Developing and drafting policies and procedures to ensure compliance with AML guidelines and setting standards for all Branch audits.
- Conduct field examinations, draft detailed reports outlining areas of compliance and improvement, and prepare for all SEC and State audits.
- Handling day-to-day compliance-related issues arising from customer complaints, regulatory inquiries, disciplinary actions, registration, books, and records requirements.
Executive Vice President / Compliance / Risk Management
Emmett A. Larkin Company, Inc
04.2005 - 08.2009
- Responsible for overseeing all Branch Managers supervising OSJ and non-OSJ offices (Institutional and Retail) across U.S. regions, and for monitoring their trade practices with regard to regulatory requirements.
- Develop and review long-range production strategies and objectives. Introduce and develop new products to help registered reps meet goals within set timeframes.
- Develop and execute strategies that enable managers to rigorously audit institutional and retail customer account activities for violations, including sales practices, documentation, marketing materials, customer statements, and middle market transactions, to maintain full compliance with diverse regulatory and legal requirements.
- Approve all licensed and unlicensed individuals seeking employment with the firm and update the CRD system accordingly.
- In my role, I spearheaded numerous OSJ, non-OSJ, and internal audits; engineered internal procedures for branch inspections and employee background checks; and established surveillance and heightened supervision procedures.
- Responsible for supervisory oversight of the Longview, Texas, operations center. This center was responsible for the following: Cash Reconciliation, Margin Review and Sell Outs, Rule 144, NSCC and DTC-related issues, Risk Analysis, Money Transfers, and clearing-related issues.
- Oversee all hiring, orientation, and training schedules for licensed and unlicensed staff across departments. Resolved all internal complaints across departments and executed performance evaluations.
- Lead and resolve regulatory inquiries relating to General Securities, Managed Accounts, Fixed Income, and Insurance Services.
- Provide a detailed compliance review for all communications with the Public and make necessary FINRA, SEC, and State filings regarding customer-initiated complaints.
- Additionally, I provided on-the-record testimony for FINRA and the SEC.
- Scrutinize all clearing firm transactions involving high-risk and questionable asset movement daily.
Vice President / Chief Compliance Officer
PMB Securities Corp
11.2002 - 04.2005
- As the firm's executive principal, I am responsible for the supervisory oversight and general supervision of the Broker-Dealer and all OSJ and non-OSJ offices throughout Southern California.
- Duties vary from reviewing trade tickets, proprietary accounts, client statements, and correspondence to supervising support staff and conducting daily reviews of all exception reports.
- I am responsible for developing and reviewing long-range goals and objectives. I also hire and train new team members to help the firm achieve its goals in a reasonable timeframe.
- During this period, I effectively used the departmental budget and identified opportunities to reduce operating costs while increasing the firm's growth and profitability.
- I assess the firm's risk exposure. This is done by developing and reviewing policies and procedures that monitor and prevent fraud or regulatory risks.
- Oversee institutional Bond trading and ensure compliance with MSRB and NASD reporting rules.
- My duties included reviewing all advertising and sales literature to determine whether the firm and its parent company complied with NASD and SEC standards, and identifying target areas for improvement.
- I develop and maintain detailed written supervisory procedures. This ensures compliance with policies mandated by the NASD, SEC, and FDIC. I oversee the firm's continuing education requirements and annual compliance training for all registered and non-registered employees.
- I developed and drafted policies and procedures to ensure compliance with AML guidelines. I also set standards for all OSJ and non-OSJ branch audits.
- Conduct field examinations. Draft detailed reports outlining compliance and improvement areas. Prepare for all NASD, SEC, MSRB, FDIC, and State audits.
- Handle daily compliance issues, including Customer Complaints, Regulatory inquiries, Disciplinary Actions, Registration, and Books and Records Requirements. Oversee daily aspects of OATS and Trace.
Education
J.D. - Law
Irvine College of Law
Bachelor of Arts - Organizational Leadership/Business Administration
Brandman University
Irvine, CABachelor of Arts - Ministry
The International College of Christian Ministries
Los Angeles, CA08-2014
Skills
- Election management
- Professionalism
- Analytical skills
- Staff supervision
- Document preparation
- Comprehensive Presentation Planning
- Collaborative Team Development
- Conflict Management
- Analytical thinking
- ADA Drop Box / Vote Center Survey
- Regulatory compliance
- Problem-solving abilities
- Knowledge of Confidentiality Protocols
- Strong Organizational Abilities
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
swipe to browse
Software
Microsoft Excel
Timeline
Election Assistant III, NC
Los Angeles County Registrar Recorded / County Clerk
05.2022 - Current
Owner / Self Employed
Richard Tabizon Self Employed
07.2018 - 04.2022
Risk Analyst
AppleOne Employment Services
07.2017 - 12.2017
Chief Compliance Officer / Chief AML Officer
NMS Capital Securities, LLC
09.2011 - 03.2015
EVP, Operations
NMS Capital Asset Management Inc
01.2011 - 03.2015
Executive Vice President / Compliance / Risk Management
Emmett A. Larkin Company, Inc
04.2005 - 08.2009
Vice President / Chief Compliance Officer
PMB Securities Corp
11.2002 - 04.2005
J.D. - Law
Irvine College of Law
Bachelor of Arts - Organizational Leadership/Business Administration
Brandman University
Bachelor of Arts - Ministry
The International College of Christian Ministries