Robert Rubano

About Robert Rubano

Seasoned global operations, portfolio and risk management professional with many years of experience in the financial services industry. I am a well respected team builder and coach, evidenced both professionally and in youth sports. I strive for quality and productivity initiatives and have led teams in business growth and transition, as well as tournament championships. Focused on operational excellence, process efficiency, collaboration and the establishment of a high performance culture, I drive teams towards maximizing their full potential. Most important, I always keep in mind the positive influence of having some fun and keeping it all in perspective while having at it.I enjoy analyzing, planning and collaborating for the best course of action, with a keen focus on attention to detail. To that end, I leverage my best attributes to bring positive energy and fresh perspectives to life\'s opportunities and challenges, always looking for the silver lining in obstacles while pursuing a happy and healthy, well-balanced life.Competencies include:• Financial Planning & Portfolio Management • Team Development & Leadership• Operational Excellence • Risk Assessment & Management• Process Re-engineering • Continuous Quality ImprovementFeel free to contact me at r••••••••@comcast.net.

Experience

1. Compliance and Controls Supervisor - New England Branch

   Equitable Advisors

   Jan 2023 — Present · Portsmouth, NH, US

   Support the New England Branch Manager and Northern 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.

Education

• Boston University

  Master of Business Administration (M.B.A.)

  1990 — 1995

• Bowdoin College

  Bachelor's Degree

  1983 — 1987

Skills

• Investments
• Operational Risk
• Strategic Planning
• Organizational Effectiveness
• Investment Management
• Hedge Funds
• Analysis
• Portfolio Management
• Finance
• Hands-on Problem Solver
• Financial Services
• Business Development
• Management
• Team Building
• Alternative Investments
• Dependable Team Player
• Process Efficiency
• Equities
• Mutual Funds
• Asset Management