Robert Rubano Email & Phone Number

Portsmouth, New Hampshire

Support the New England Branch Manager and Northeast Complex Chief of Controls for all compliance related functions and operational issues. Review and investigate items flagged in surveillance systems with keen attention on DOL/Reg BI rules and regulations. Conduct annual financial advisor reviews and audits, including the inspection of business practices and physical locations across the branch. Manage all required record retention. Assist in the training, education and tracking of nearly 150 financial professionals.

Portsmouth, New Hampshire

Leveraging a sound, holistic plan, I assisted individuals, families and small business in establishing and maintaining a path to overall financial well being. Utilizing the full depth and resources of a 160 year old, well established company, in addition to the local knowledge of an experienced agency, I fully engaged my deep money management experience and packaged it into a thorough, practical and implementable financial plan which covered all facets of my clients’ lives : retirement planning ; investment management ; downside protection ; estate planning ; corporate retirement plan management.

Andover, Ma

Oversee and conduct various levels of ice skating and hockey skill instruction to program participants, both on and off-ice. Coordinate camp drills and activities with a staff of junior hockey Instructors. Provide the participants with the highest quality of instruction based on a well-established program, leveraging many years of experience playing and coaching ice hockey.

Topsfield, Ma

Grounded locally in the community, I built client relationships based on trust, experienced professional advice, continual communication and prompt personal service. Building from the foundation of a strong financial plan, I assisted clients in accomplishing their goals by assessing their situations, developing a sound yet simple to understand strategic approach, while educating, providing objective advice and making myself easily accessible.Services I provided included: financial and retirement planning, portfolio and investment management, education planning, 401(k) and corporate retirement plan management, real estate investments and 1031 exchanges, as well as charitable giving programs. In addition, I partnered with professionals to provide estate and trust planning as well as tax return preparation.

Boston, Ma

Assisted in the design and implementation of the Enterprise Risk Management framework for the Investment Division and the WAM business on a global basis. Delivered a consistent and integrated approach to risk monitoring and governance that aligned to Manulife's ERM policy, while ensuring the risks of the major business segments were well covered.• Contributed to the development of appropriate risk policies, risk appetites, reporting and overall risk framework for the aggregate WAM Business and as required for the overall Investment Division.• Proactively identified potential risks and opportunities to improve policies, procedures, reporting and systems in order to strengthen risk oversight.• Prepared and delivered presentations, discussion documents, and department updates to risk committees, management and executive teams as well as other key stakeholders such as regulators and the Board of Directors.• Supported the design and implementation of reporting to satisfy risk framework elements, and provided meaningful information for risk owner action.• Supported the development and maintenance of WAM level Risk Appetite Statements and associated Key Risk Indicators.• Contributed to various other Risk Management activities of the Investment Division, including support of the Operational Risk Management program and other enterprise-wide ERM initiatives.

Boston, Ma

Advised a large asset management firm as it transforms its global operating model to a streamlined, 24/7 capability through its multi-year Global Optimization (GO) project.• Leveraged past experience to contribute advice and guidance to both the Front Office/Compliance and Risk/Controls work streams.• Responsible for the identification of pain points, inefficiencies, risks and gaps, while developing and socializing best practices across all asset classes. • Areas of focus included reviews of workflows in all asset classes and assigned work streams, broker vote/commission management, MIFID II compliance and segregation of duties. • Liaised with BAU and GO Project Team Leads across North America and Asia to standardize best practices globally.

Burlington, Ma

Utilizing time-tested goals-based wealth management principles, I helped simplify the complexity in my clients' financial lives by providing sound advice and guidance. At the heart of my philosophy was a passion to build enduring relationships with individuals, families and small businesses through my commitment to provide outstanding service. As their first point of contact, I analyzed my clients' financial goals, partnered with a team of specialists and assisted in every aspect of their financial lives.• Participated in Merrill Lynch's Path of Excellence Program

Boston, Ma

Delivered a risk governance structure which facilitated risk discovery, prioritization, and management in order to influence business discussions and decision-making while promoting consistency and best practices.• Rebuilt and restructured global team to assist the organization in effectively managing the risks of achieving its business objectives by executing a framework which identified, measured, mitigated, and monitored its risks.• Developed a comprehensive plan and approach to complete a global deep dive of the firm’s risk self-awareness profile. This plan was adopted as the model for the Corporate Risk Control Self-Assessment (RCSA) program and satisfied the requirement of the Federal Reserve.• Chaired and streamlined the Global Operational Risk Committee to eliminate redundancies and effect meaningful change within and across business units to ensure regional consistency. Formed a sub-committee to reconstruct Key Risk Indicators (KRI) for meaningful intelligence.• Met regularly with the Federal Reserve to review ongoing initiatives.

Boston, Ma

Managed an engaged, global team responsible for the efficient implementation of investment policy for over 200 quantitative and fundamental institutional portfolios invested in domestic, international, and emerging equities as well as nearly 4,000 retail, managed accounts.• Developed a strategic plan to re-engineer the portfolio production process, globalize implementation and installed the portfolio production platform. • Expanded capabilities in Europe and Asia with the creation of teams in London and Hong Kong/Sydney, ensuring consistency in management practices across borders. Nurtured a diverse and mobile workforce, sourcing and relocating talent around the globe.• Streamlined processes to gain scales of efficiency and a reduction in operational errors, resulting in reduced dispersion across similarly mandated portfolios and significant cost savings for the company.

Boston, Ma

Senior member of global team responsible for $6B in client assets using quantitative techniques for both country and stock selection in overseas markets.• Specialized in managing the group’s investments in the Middle East and Africa, including extensive research travel and focus on Israel’s technology and biopharmaceutical sectors.• Led set-up of SSgA’s first Islamically screened active emerging markets portfolio for a significant Gulf based client.• Trained junior portfolio managers.

Boston, Ma

Lead manager on $1.5B flagship International Stock Selection Fund.• Selected lead manager of the new SSgA Active International Mutual Fund.• Selected to assist with staff training in our new investment center in Sydney, Australia.

Boston, Ma

Provided a full range of operational support to the portfolio management team, including tracking the timely settlement of security and currency trades, required hedging, and reconciliation to custodial books.

Quincy, Ma

Audited group’s portfolios to ensure strict adherence to State Street’s quality control guidelines and maintained accounting and record-keeping systems on behalf of corporate pensions and other trusts.

Education record

Master Of Business Administration (M.B.A.), Finance

Bachelor'S Degree, Government And Mathematics

Activities and Societies: Ice hockey, Beta Theta Pi national fraternity, Mathematics tutor.