ROSEMARY SANTANA
New York,USA
Summary
Senior financial services leader with 14+ years of experience delivering high-touch client service and onboarding to ultra-high-net-worth clients across both independent RIAs and a global financial institution. Former Vice President at BNY Mellon, managing billion-dollar RIA relationships and leading strategic projects that enhanced service delivery, operational efficiency, and client retention. At GM Advisory Group, directed onboarding, technology integration, and multi-custodial operations to create a seamless UHNW client experience. Known for collaborating with portfolio managers, compliance, and technology teams to implement tailored solutions, strengthen relationships, and support growth in complex, high-stakes environments.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Vice President, Client Program Manager
BNY Mellon, Pershing
01.2023 - 04.2024
- Led elite and high-value client portfolios, including billion-dollar institutional relationships across strategic, operations,and technology initiatives within the financial services and wealth management space.
- Delivered tailored, high-impact solutions by partnering with C-level and senior stakeholders to drive operational excellence, increase service efficiency, and meet evolving client needs.
- Spearheaded adoption and optimization of BNYM Pershing’s product suite, using deep client insights to align solutions with business objectives and regulatory requirements.
- Anticipated client and operational challenges proactively, developing forward-thinking strategies that safeguarded project success and strengthened client trust.
- Designed and executed cross-functional program strategies that directly supported client growth, strengthened engagement,and contributed to multimillion-dollar revenue expansion.
Vice President, Client Service
BNY Mellon, Pershing
01.2021 - 01.2023
- Served as the primary relationship and service lead for a portfolio of high-performing, billion-dollar+ RIAs, delivering white-glove, strategic support across daily operations and long-term growth initiatives.
- Advised RIAs on operational improvements, applying deep knowledge of service workflows and process optimization to increase efficiency, reduce risk, and improve scalability.
Acted as a trusted advisor to clients, collaborating cross-functionally with internal operations, legal, and tech teams to deliver tailored solutions that supported both client success and firm objectives.
Manager of Operations
GM Advisory Group
03.2017 - 12.2021
- Led UHNW client onboarding for complex entities, transfers from contra firms, and operational setup across Pershing and Schwab.
- Directed CRM integration (Salesforce, Microsoft Dynamics 365 AI) and technology upgrades to improve workflow and reporting accuracy.
- Managed multi-custodial operations, asset reconciliations, quarterly fee schedules, and portfolio reporting.
- Partnered with CTO for system implementations and compliance alignment with SEC regulations.
- Coordinated with relationship managers, trading, and compliance teams for seamless execution of investment strategies and alternative investments.
- Developed scalable workflows that increased operational efficiency and reduced error rates.
Office Manager & Compliance
LionEye Capital Management
03.2014 - 02.2016
- Oversaw daily operations, compliance updates, and firm-wide initiatives ensuring SEC alignment.
Operations & Compliance Associate
Forefront Capital Management
07.2012 - 08.2014
- Managed onboarding and servicing of high-net-worth accounts at RBC, Schwab, and Interactive Brokers.
- Oversaw daily trading operations ensuring compliance with firm policies.
Education
Bachelor of Arts - Forensic Psychology
John Jay College of Criminal Justice, CUNY
New York, NYSkills
Client Service & Relationship Management: UHNW Client Onboarding, Complex Entity Account Opening, Alternative Investments, Portfolio Reporting, Fee Schedule Management, Service Model Design, Relationship Building, Client Relationship Development
Operations & Technology: Multi-Custodial Platforms (Pershing, Schwab), CRM Integration (Salesforce, Microsoft Dynamics 365 AI), Technology Implementation, Asset Reconciliation, Compliance Operations, Workflow Optimization, Operations Management
Leadership & Process Excellence: Strategic Planning, Cross-Functional Collaboration, Process Improvement, Team Leadership, Coaching & Mentoring, Training & Development
Tools: Salesforce, Microsoft Dynamics 365 AI, MS Office (Word, Excel, PowerPoint), JIRA, Black Diamond, Addepar, API Integrations, SSO
Certification
Certified Transformational Coach – Addicted2Success Academy by Joel Brown
Languages
Spanish
Native or Bilingual
Timeline
Vice President, Client Program Manager
BNY Mellon, Pershing
01.2023 - 04.2024
Vice President, Client Service
BNY Mellon, Pershing
01.2021 - 01.2023
Manager of Operations
GM Advisory Group
03.2017 - 12.2021
Office Manager & Compliance
LionEye Capital Management
03.2014 - 02.2016
Operations & Compliance Associate
Forefront Capital Management
07.2012 - 08.2014
Bachelor of Arts - Forensic Psychology
John Jay College of Criminal Justice, CUNY
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