Summary
Overview
Work History
Education
Skills
Certification
Languages
Affiliations
References
Timeline
Generic

ROSELYN FERNANDEZ

Summary

Banking and Financial Services Professional with over 15 years of industry experience in Management, Compliance, Controls and Regulatory Oversight. Leverage connections to establish lasting banking relationships and secure strategic partners. Expertise in cultivating and maintaining key relationship Engaged, pragmatic and charismatic leader that influences for impactful results. Successfully managed multiple internal/external projects utilizing change management skills. Co-Chair of HOLA! Hispanic/Latinx Employee Resources Group

Overview

18
18
years of professional experience
1
1
Certification

Work History

Vice President- Deputy Branch Manager

BNP Paribus Fortis
New York, NY
12.2021 - Current
  • Managed day to day operations and control functions at BNPP Fortis Bank US, including Head Office Reporting, Risk Management, Regulatory Compliance, Finance, Legal, IT and HR
  • Implemented process improvement procedures that resulted in cost savings across the board.
  • Responsible for overseeing organization and execution of monthly and quarterly management committees with the Branch Manager
  • Ensured regulatory compliance and territorial/global management satisfaction by overseeing BNPP Fortis Bank US as the Deputy Branch Manager
  • Responsible for monitoring treasury and providing activity updates to the Branch Manager.

Vice President-Regulatory Trade Reporting and Controls

BNP Paribus
Jersey City, NJ
08.2015 - 11.2021
  • Hired, trained, and mentored staff members to maximize productivity. Provided guidance and support to newly hired employees through comprehensive training programs.
  • Provided upper management in North America with weekly and monthly analysis of Εquities transaction regulatory reporting statistics
  • Provided subject matter expertise and change management for end-to-end planning and implementation of new regulations.
  • Reviewed business requirements documents and facilitated rigorous testing for implementation changes.
  • Implemented updated control mechanisms and created additional measures to meet bank regulatory reporting obligations
  • Updated and enhanced existing written supervisory procedures while also creating new ones
  • Provided subject matter expertise and conducted extensive testing in the planning and implementation of a multi-million dollar technology enhancement project for Regulatory reporting, resulting in successful project delivery.
  • Ensured successful implementation and production deployment for the initial phase of SEC Consolidated Audit Trail (CAT), a major industry-wide regulatory reporting mandate.

OATS Specialist

KCG Holdings (fka Knight Capital Group)
Jersey City, NJ
01.2012 - 07.2015
  • Manage the daily review and monitoring of billions of records for Equities transactions (OATS) for the Firm and over 30 Broker Dealers for which the Firm reports OATS on their behalf
  • Provide subject matter expertise and active leadership of several Regulatory changes projects, including consolidation of Broker Dealers Merger, Industry changes, such BATS/EDGEX Migration, Firm's Alternative Trading System (ATS) MPID migration
  • Work closely with different Head of Business Units, Compliance and Developers in the implementation, testing and approval of new business lines and order flows
  • Coordinated Firm participation in industry testing, BATS migration, ORF, and FINRA Regulatory changes
  • Performed surveillance for potential OATS violations, implementing corrective measures to mitigate risks and maintain data integrity
  • Coordinate Regulatory changes for Trade Reporting Facility, TRF, ACT, ORF

Compliance Associate and Assistant to General Counsel

Muriel Siebert & Co., Inc
New York, NY
12.2006 - 01.2012
  • Oversaw the management and execution of regulatory reporting for various types of transactions including Fixed Income, Municipal Bonds, and Equities
  • Ensured compliance by investigating client accounts for possible suspicious activities, AML infractions, fraud occurrences, OFAC designations as well as conducting FinCen reviews. Filed SARs promptly when required.
  • Monitored employee trading and outside business activities.
  • Updated, wrote, and edited Written Supervisory Procedures (WSP) and Compliance Manual.
  • Worked alongside CCO and General Counsel to ensure readiness for FINRA regulatory exams and audits.

Education

Bachelor of Arts - Criminology

John Jay College of Criminal Justice
New York, NY
05.2004

Skills

  • Risk Management
  • Process implementation
  • Fixed Income
  • Equity Trading
  • FIX Protocol
  • Proposal Writing
  • Business Development
  • Policy and procedure development
  • Relationship Building
  • Client focused
  • Project Management
  • Change Management
  • Cross-functional team leadership
  • Creativity & Innovation/problem solving

Certification

Credit Analysis Certification, 2024, NYU Professional Studies

Languages

Spanish
Native/ Bilingual

Affiliations

  • Association of Latinos Professional for America (ALPFA)
  • Financial Information Forum (FIF)
  • Financial Women's Association (FWA)

References

References available upon request.

Timeline

Vice President- Deputy Branch Manager

BNP Paribus Fortis
12.2021 - Current

Vice President-Regulatory Trade Reporting and Controls

BNP Paribus
08.2015 - 11.2021

OATS Specialist

KCG Holdings (fka Knight Capital Group)
01.2012 - 07.2015

Compliance Associate and Assistant to General Counsel

Muriel Siebert & Co., Inc
12.2006 - 01.2012

Bachelor of Arts - Criminology

John Jay College of Criminal Justice

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ROSELYN FERNANDEZ