Daniel Rodriguez-Ortiz Email and Phone Number

Lead a team of Supervisory Principals and Complaint Analysts as the North America Product Supervision Team Leader for Citi Global Wealth Investments (“CGWI”).

As a Supervisory Principal for Citi Private Bank, carried out FINRA license requiring supervisory reviews.

Created written supervisory procedures, handled escalated issues, corresponded with regulators and legal for regulatory items, internal audit for validations, and compliance for testing of departmental processes.

Drove escalated matters, trends, and addressed senior management matters. Partnered with the CCO to develop policies and procedures.

Reviewed advisory accounts for Supervisory and Compliance responsibilities including position concentration, suitability, Mutual Fund share class transactions, inactive accounts, and portfolio model creations.

Monitored financial advisor questions pertaining to advisory platforms, approved firm products, and reviewed policies and procedures to propose process enhancements. Executed trading activity reviews such as trading ahead, contrary trading, discretionary trades, in addition to position concentration and client suitability to identify potential risks or trends. Performed branch examinations to ensure all branch personnel compiled with firm policies per FINRA requirements

Operated in custody department processing paper stock certificates, analyzing client paperwork, and depositing shares via the Depository Trust and Clearing Corporation (“DTCC”).