Shelley Rodriguez Email & Phone Number

Minneapolis, Minnesota, United States

800 Nicollet Mall, Minneapolis Mn

Greater Minneapolis-St. Paul Area

Responsible for risk management oversight and complaince for SEC registered investment advisor businesses including The First American Funds (money market funds and private fund), separately managed institutional account portfolios, and Securities Lending Program. Oversight consists of business, reputation, credit, liquidity, and compliance risk. Ongoing risk management performed through participation in and monitoring of risk related projects, key performance metric identification (KPI) and reporting, impact and gap assessments, and issue management to ensure USBAM compliance with applicable federal, state, local laws and OCC, EU and SEC regulations.Self-identifies issues and effectively owns risk management for the business.Business Continuity (BCP) coordinator for business ensuring preparedness for mission critical process recovery.Works with business lines to implement, maintain and test AML policies and procedures ensuring alignment with EFCC program objectives.Administrates policy intake review and compliance process.BASEL/SOX coordinator for business providing assistance and oversight to certification processLead third party oversight team providing proprietary business review and oversight of all third parties impacting USBAM businesses.Disaster Recovery (DR) coordinator assisting technology and business in successfully completing recovery exercises requirements.

Minneapolis, Minnesota

Woodbury, Mn

Managed staff of expert service account managers in building, strengthening, and fostering mutual fund and 529 college savings service operations and technology relations with the top broker dealer, clearing, trust and third party administrators in the industry. Led team as key points of contacts for broker dealer and clearing firm needs related to agreements, new industry technology implementation, platform transitions, escalated service, trade and advisor issues, intermediary oversight, regulatory and compliance risk analysis, AML oversight, corporate action communication, and transfer agent and trading platform systems readiness.Creation, oversight, and support of compliance governances and attestations for AML policies, intermediary operating agreements, industry data integrity program and business continuity planning tasks and deployment readiness.Provided on-going staff coaching and development, performance reviews, promotion, and compensation recommendations.Employee Recognition and Career Development Committee leader increasing employee satisfaction through hosting of cross line of business employee career path education engagements and promotion and advocacy of employee rewards and recognition programs. DTCC relationship manager responsible for new NSCC technology and enhancement implementation, firm risk mitigation and proactive broker dealer platform needs assessments - Mutual Fund Profile II DTCC/ICI tactical team member.

Woodbury, Mn

Recognized as best-in-class operations service account manager, providing overall broker dealer relationship management, service and technology support to funds largest key distribution partners. Indirectly led industry leading service account management team in service strategy creation, escalated issue management, relationship building, project ownership, employee development and coaching. Managed operational relationships with key distribution partners with over $2B in assets under management including facilitation of large trade and transfer onbaording. Implementation, oversight and monitoring of intermediary/business partner AML agreement policy adherence including business partner risk tolerance rating/ranking program. Operations SME and business owner on numerous new product launch initiatives, including new funds, platform conversions and fund mergers. Experienced mutual fund and 529 college savings plan services subject matter expert, team lead and service solution specialist.

Woodbury, Mn

Woodbury, Mn

Provided best in class customer service through setting up of shareholder accounts, processing transactions, providing back-up phone support to contact center and mentoring new employees. Drove process improvement initiates through identification and implementation of efficiencies using GAP analysis. Acted as mutual fund processor subject matter expert on key initiatives.

Woodbury, Mn

Responsible for all facets of broker dealer changes and block transfers for advisors, including both proprietary and non-proprietary fund families.

Contemporary Business, Communication And Media Studies

In Progress, Business Administration, 4.0 Gpa

Course work: MS Office Applications, Professional Communications, Supervisory Management, Marketing, Microeconomics, Applied Ethics