Matthew Rossi Email & Phone Number

United States

Providence, Rhode Island, Us

Manage compliance framework, reporting, and audits. Firm AML Officer. Prepare and present comprehensive reports on company-wide risk assessment efforts and all matters subject to formal escalation to upper management. Support enhancements in business processes and controls. Review documents, files, transcripts, and other records to assess compliance and potential risks. -Implemented effective compliance and risk controls for newly established Bond Trading Desk. Oversaw new account onboarding reviews for institutional clients and carried out compliance oversight. Addressed all 12 annual regulatory inquiries, including FINRA’s, on trade surveillance sweep. -Improved auditor score from unacceptable to strong within one audit cycle for Bond and Equity Underwriting business by implementing effective compliance framework.

Charlotte, Nc, Us

Oversaw compliance for company’s broker deals, investments, and subsidiaries. Drafted compliance policies and procedures, providing ongoing compliance support to other divisions. Monitored, tested, and resolved issues within subsidiaries. Managed compliance efforts, reporting, and audits, and advised senior-level business leaders. -Played instrumental role in managing Volcker Rule Compliance Program assessment, resulting in successful performance. Established matrix of exemptions and exceptions for Volcker rule that were implemented across various divisions, enhancing efficacy of future assessments. -Developed innovative digital framework via software platform to track, compare, and report against monitoring and testing results. Carried out over 100 activities within Securities division weekly, monthly, semi-annually, and annually.

Charlotte, Nc, Us

Provided guidance, advice, and training to improve understanding of related laws and regulatory requirements in international banking sector. Spearheaded implementation of Basel III reform measures for counterparty credit risk. Managed team of 6. Identified potential areas of compliance vulnerability and risk to develop corrective action plans. -Carried out surveillance, timelines, and thresholds for over 200 activities to ensure Basel III compliance. Led 50 key controls for counterparty credit risk with Basel III and AB/AC. -Advised senior management of international businesses and carried out training in 7 countries (across Middle East, Europe, and Asia) in AB/AC regulations on responding to escalated compliance situations, completing regulatory filings, and ensuring all appropriate controls are in place.

San Francisco, California, Us

Oversaw institutional compliance for bond underwriting process. Liaised with internal clients to put together deals for syndicating bond underwritings with focus on left-lead transactions. Coordinated with investment banking teams in AML, Legal, Audit, and Technology to resolve compliance issues. Fostered successful relationships with investment bankers.-Escalated and resolved 30 issues involving underwriting during tenure. -Streamlined innovative process to gather aggregate information on company’s holdings and other securities to meet disclosure requirements and address compliance violations. Enhanced regulatory, strategic, and operational performance for high-grade bond investment banking.

New York, Ny, Us

 Responsible for developing, coaching, and training producers within the National Contact Center. Provide leadership and decision making support in staffing decisions, client interactions, and department policies. Develop goals, objectives, and policies for the unit. Evaluate, coach, and manage associates, providing performance evaluation feedback in a sensitive, dynamic environment. Ascertain and implement sales strategies to increase revenue. Utilize resources across business lines to prioritize and resolve time sensitive individual client/institutional client issues, service recovery, and increase asset growth.

Charlotte, Nc, Us

 Approved client correspondence. Reviewed AMA and IRA applications for suitability and replacement regulations. Oversaw the U-4 licensing of Registered Representatives and monitored their continuing education.

Charlotte, Nc, Us

 Maintained schedules, coached registered representatives. Ascertained and prioritized call center goals. Advised customers and bankers in an inbound call setting while servicing and opening accounts.

Ba, Criminal Justice

Certified Financial Planner Program