Mark Rodriguez

Background

About Mark Rodriguez

My first major experience as an enlisted member of the US Navy truly reinforced the values of discipline and rigorous attention to detail. Both attributes have served me well throughout my legal career. My keen eye for detail, coupled with my highly inquisitive nature, are what eventually steered me in the direction of analyst roles. Working as a Legal and Compliance Reporting Manager for an international investment advisory firm in the early I took on more and more responsibilities that allowed me to develop my analytical skills. I quickly progressed from general administrative support duties to working in specialized areas such as legal entity formation document review, financial statements preparation, and gathering and analyzing investment compliance and legal related data. Soon, my eye was set on greater legal responsibilities. I have developed into a topnotch analyst over the last 7 years, as I have advanced through a broad range of business areas including leasing, compliance, litigation support, and risk management until leading to my current role as a Legal Analyst in Regulatory Compliance. Currently, highlights include; Creating a company-wide, global centralized reporting system. Establishing and maintain a single-source-of-truth database globally for regulatory-disciplinary and litigation events related to the Company's registered investment advisers. Creating a centralized report tracking tool for the firm to ensure timely reporting of critical events impacting litigation and regulatory disciplinary events. Consistently called upon to conduct vital investigations to prevent securities violations. As my experiences indicate, I have a thirst for professional growth and an unceasing desire to improve. Working as a Legal Analyst in the investment advisory industry has become my passion. I am ready to leverage that passion and my extensive expertise to succeed in a challenging role for the next great company.