Silvia E. Ramirez
Compliance Manager
San Francisco,CA
Summary
Detail-oriented Compliance Manager offering 15+ years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.
Overview
1
1
Certification
Education
Associate of Science - Finance
Diablo Valley College
Pleasant Hill, CABlack Belt III - Management
Six Sigma Management Institute
Boston, MA02.2019
Associate of Arts - Spanish And Iberian Studies
Contra Costa College
San Pablo, CA06.1998
SPANISH CERTIFICATE II - Foreign Languages And Literatures
Diablo Valley College
Pleasant Hill, CA01.1996
Skills
- System development
- Vendor / Supplier Performance Management
- Document reviews
- Risk analysis
- Passed Certified Trading Floor Broker Exam (Series 600)
- Certified Compliance and Ethics Certificate-FINRA 2016
- MBCI ( Member of Business Continuity Institute
- Achieved close to flawless Audit scores from NYSE-REG, FINRA, and SEC
- Started the NYSE annual volunteer program
- Risk Identification, Audit oversight and Violations
- Violations and Infractions
- MS-OFFICE, GOOGLE Suite, FINRA, Python, Fin-Cen, REG-E, OFAC, SARS, Blockchain, Thompson Reuters,, Been Verified, Intelius, Notion, Trello NameScan, JIRA, SQL, SARS, CTRS,
- Awarded Green Business award from city of San Francisco, 2006-2013
Accomplishments
- Collaborated with team of 25 in the development of NYSE-Amex
- .Received almost flawless Audit scores from NYSE-REG, FINRA, and SEC
- Passed Trading Floor Broker Exam (Series 600)
- Launched a new exchange after NYSE acquired the American Stock Exchange. Part of a team that implemented, trained, and launched new exchange.
- Awarded "Spotlight Employee" Award in 2014, 2016
- .Was part of the team to Ring the NYSE opening Bell (2008)
- Published photographer Time-Life 1998
Languages
Spanish
Full Professional
Certification
- Spanish License
- Certified Trading Floor Broker, NYSE - 1999
- CM - Certified Manager Certification (Six Sigma)
Timeline
Associate of Science - Finance
Diablo Valley College
Black Belt III - Management
Six Sigma Management Institute
Associate of Arts - Spanish And Iberian Studies
Contra Costa College
SPANISH CERTIFICATE II - Foreign Languages And Literatures
Diablo Valley College
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