Raphael Roston Email & Phone Number

Remote

• Operational Leadership: Directing daily operations to ensure efficient management and successful execution of growth initiatives.• Strategic Product Development: Spearheading the strategy and development of proprietary custom recruitment software, preparing it for an imminent SaaS launch.• Client Relationship Management: Establishing and nurturing robust client relationships, enhancing collaboration and trust.• Employee Engagement & Support: Proactively addressing and resolving issues and concerns for a diverse team of 400+ employees, fostering a cohesive and positive work environment.• Global Expansion: Establishing Employer of Record (EOR) entities across the globe to facilitate seamless international hiring and compliance.

New York, New York

• Reviewed 1st Line of Defense surveillances covering Bid-Ask Differential, Initial Quote Size, Continuous Quoting and Option Timestamps Out of Sequence, to ensure that they are designed correctly and meet exchange and firm requirements• Authored the test objectives and test steps for a Reg W review focused on the Attribution Rule, vendor and employee payables, the 10/20 collateral calculation and the compilation of the Reg W affiliates list• Drafted scoping document for a compliance review of the America’s Foreign Exchange Desk covering topics such as pre-hedging and trading around the WM/Reuters benchmark fix• Identified an issue relating to delayed reporting of foreign exchange swaps to the CFTC• Performed on-site review of the Chicago branch and identified cross border as well as electronic communication violations

New York, Ny

• Modeled a risk assessment framework to establish and review internal processes and identify the nature and likelihood of regulatory risks, as well as quantify their impact on the firm. The Risk Assessment is designed to evaluate the effectiveness of business and compliance controls, and to determine whether Residual Risks fall within the risk appetite set forth by the Chief Risk Office• Spearheaded a Reg W surveillance enhancement that radically changed the existing methodology. This enhancement resulted in the flagging of $.845 Million in transactions requiring remediation and led to a full scale compliance test and the implementation of tighter business controls • Assisted Asset Management and Lending teams in developing and maintaining an affiliates list comprised of approximately 1880 entities and upward of $14.5B in assets, in order to facilitate their decision making process when investing in private equity funds and lending to affiliates• Evaluated Compliance Due Diligence Questionnaires of Third Party Vendors for compliance, in accordance with changes in Federal Regulations. Approved, rejected and modified risk ratings to relationships in Hipiros (a vendor management tool) • Led a project, from inception to completion, to develop a new trade data feed from CS's loan system into a surveillance platform (Actimize), in order to close multiple gaps discovered in the existing surveillance and feed • Acted as secretary of the CS AG, New York and Cayman Branch Regulatory Committee meetings, responsible for compiling and distributing the meeting minutes• Coordinated a firm-wide project to corral and QA procedures directed at CS AG, New York Branch in order to remediate an MRA by the DFS• Updated and revised compliance governance policies, including Regulation W and Lending, and the Bank Regulatory Compliance Manual

New York, Ny

• Led a regulatory remediation project by identifying gaps in Client ID, for clients north of $1 Billion in assets• Sourced and reviewed AML/KYC documentation working closely with the Bank’s Financial Intelligence Unit to identify and report suspicious activity• Ensured that daily “World Check” alerts were dispositioned in accordance with the Bank’s Suspicious Activity Monitoring and Reporting Procedure, enabling the bank to mitigate AML exposure• Queried Lexis Nexis for negative news relating to Credit Suisse’s Ultra High Net Worth clients, their companies, subsidiaries and affiliates

New York, Ny

• Directed videography of events with often as many as 5 videographers on the team• Monitored technical quality of production and final product to ensure consistency and maintain client satisfaction leading to long-term relationships and an expanded client base

• Managed Returns Department and assigned work to four employees• Developed procedures for refund and replacement eligibility of defective products• Coordinated with customer service department and attended to dissatisfied customers

Bachelor’S Degree, Applied Mathematics, Gpa: 3.8 Magna Cum Laude

Associate Of Arts And Sciences (A.A.S.), Business, Management, Marketing, And Related Support Services, Gpa: 4.0