Ray Rueda Email & Phone Number

United States

• Vice President of Finance and Operations
• Verifying, allocating, and reconciling accounts payable and receivable.
• Collaborating with the CEO on company strategy, growth, productivity, and efficiency of the organization.
• Analyzing financial information and summarizing financial status.
• Perform daily and weekly payroll and bank operations.
• Making recommendations based on analysis and status of reserves, assets and expenditures.

United States

• On Site Controls Officer, VP Group Financial Services - US
• Support the Head of On-Site Controls in developing and executing the On-Site Controls audit plan, through appropriate planning and resource management.
• Manage the delivery of On-Site reviews to time, plan, budget and quality using methodology and quality standards.
• Lead and develop the review team, delegate day-to-day management to the team leaders. Demonstrate a comprehensive understanding of areas reviewed in relation to Financial Security risks (Sanctions and AML).
• Lead teams for on-site missions on a Group wide basis at BNP global locations, (APAC, Paris and others.) this includes but is not limited to, ensuring adherence to BNP Code of Conduct, determining scope of review.
• Day to day interaction with overseas/global teams or global regulators.

United States

• Compliance Assurance Manager, VP RBS Americas AML/STF Assurance9/2011 – 10/2014
• Conduct reviews of key areas including program governance, risk assessment, Know Your Customer, OFAC/sanctions, transaction monitoring, suspicious activity reporting, information sharing, and ad hoc reviews.
• Prepare planning, fieldwork, and reporting documentation in accordance with AML/STF Assurance standards.
• Develop and maintain relationships with key stakeholders.
• Effectively communicate findings to clients
• Manage the regulatory issues database ensuring all issues are tracked and validated for proper closure and reporting.

United States

• Supervise examinations and managed staff.
• Perform financial reviews to verify member’s capital position in compliance with NYSE and SEC rules and regulations.
• Communicate findings to senior management of the member firms, NYSE and other regulatory agencies.
• Prepare reports for final examination exit reviews.