IVIA RODRIGUEZ
Philadelphia
Summary
Driven Compliance Analyst with extensive experience in the financial service industry. Skilled in developing and implementing compliance programs to ensure adherence to laws, regulations, and industry standards. Strong background in risk management, internal auditing, and regulatory compliance. Proven ability to analyze processes, identifying areas for improvement, and implement strategic solutions. Adept at collaborating across departments, delivering training, and maintaining up-to-date knowledge of evolving regulations.
Overview
22
22
years of professional experience
Work History
Compliance Testing Team
Macquarie Asset Management
10.2023 - 10.2024
- Conducted Compliance testing across multiple entities to validate processes noted in compliance manuals to ensure adherence to regulatory requirements
- Identified ways to improve efficiency in operations and implemented process changes
- Participated in risk assessments and evaluated existing regulatory controls
- Performed comprehensive data analysis and articulated findings in detailed written reports
- Reviewed and presented test results to Senior Compliance Leadership
- Skilled in using various software applications and programs including Microsoft Office and Adobe Creative Suite
Drexel Co-op Program-Manager
Macquarie Asset Management
03.2015 - 10.2024
- Managed the Drexel Co-op program, ensuring compliance with company policies and procedures
- Provided mentorship and training to all co-op employees guiding their professional development
- Evaluated program performance, worked with HR for identifying areas for improvement and strategic enhancements
- Created training materials, onboarding resources, and structured learning programs
- Developed co-op staffing schedules based on projected needs and senior leadership requests
Compliance Analyst
Macquarie Asset Management
11.2002 - 10.2024
- Developed and implemented effective procedures to ensure compliance with all applicable laws, regulations, and standards
- Identified areas where improvements could be made in existing methods used for managing risks associated with regulatory compliance
- Evaluated current processes for identifying areas of non-compliance within the organization
- Performed periodic reviews of organizational processes to ensure ongoing compliance with applicable rules and regulations
- Facilitated communication between internal departments regarding compliance issues
- Maintained up-to-date knowledge of changes in relevant regulations, standards, and best practices
- Drafted reports summarizing findings from compliance audits and investigations
- Provided training to staff members on relevant policies and procedures related to compliance
- Investigated potential violations of established guidelines, documented results, and identified corrective actions as needed
- Verified that valid licenses and permits were displayed and that licensing standards were being upheld
Education
HIGH SCHOOL DIPLOMA -
Olney High School
Philadelphia08.1995
Skills
- Regulatory Compliance
- Risk Management
- Due Diligence
- Internal Auditing
- Legal Research
- Documentation Review
- Compliance Monitoring
- Process Improvement
- Training
- Staff Development
- Problem-Solving
- Critical Thinking
- Team Collaboration
- Leadership
- Attention to Detail
- Organizational Skills
- Microsoft Office Suite
- Adobe Acrobat
Timeline
Compliance Testing Team
Macquarie Asset Management
10.2023 - 10.2024
Drexel Co-op Program-Manager
Macquarie Asset Management
03.2015 - 10.2024
Compliance Analyst
Macquarie Asset Management
11.2002 - 10.2024
HIGH SCHOOL DIPLOMA -
Olney High School
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