Oscar Rodriguez
Chief Compliance Officer at C/M Capital Partners, LP
- Role
- Chief Compliance Officer at C/M Capital Partners, LP
- Location
- Miami, FL, US
- LinkedIn followers
- 500 followers
About Oscar Rodriguez
Knowledgeable Chief Compliance Officer responsible for all compliances matters in a Registered Investment Adviser (RIA), including monitoring and enforcing the code of ethics (Personal Securities Transactions, Outside Business Activities, Review of Emails, Gift and Entertainment, and Client Complaints). Updating the Compliance Manual, and Policies and Procedures as necessary, and assure the RIA adheres to all the Securities and Exchange Commission (SEC) rules and regulations, including the updating of the RIA\'s Forms in the IARD system (Form ADV Parts 1A, 2A, 3 (CRS), and Form PF.Experienced Investment Operations Manager skilled in Banking, Securities, Private Equity Funds onboarding of Limited Partners and team management, with a focus on Lean Processes and Project Management ensuring established risk and compliance procedures are followed. Experience includes overseeing Private Equity Treasury operations, securities trade settlements, Money Market deals, and funding of the accounts with various custodians.
Experience
Chief Compliance Officer
Jul 2024 — Present · Miami, FL, US
Education
Florida International University
Bachelor's degree, Sociology
Skills
- Management
- Credit Risk
- Operational Risk
- Investments
- Trading
- Commercial Banking
- Banking
- Mutual Funds
- Risk Management
- Team Management
- Financial Risk
- Securities
- Retail Banking
- Financial Services
- Credit
- Relationship Management
- Settlement
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