MARJORIE HERNANDEZ
Guaynabo
Summary
- Experienced Compliance Officer with a proven track record in developing policies, managing regulatory filings, and integrating compliance standards into business operations. My legal expertise has been instrumental in enhancing compliance processes, mitigating risks, and ensuring seamless alignment with regulatory requirements.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Attorney
Cancio-Biaggi Law Offices
San Juan
02.2023 - Current
- Provided legal advice and consultation to clients in personal injury claims, ensuring they are informed of their rights, obligations, and legal options.
- Prepared complaints, motions, interrogatories and discovery documents based on case specifics.
- Compiled legal documents such as Sworn Statements and Deeds.
Of Counsel Compliance Officer
Retirement Partner Advisors PR
San Juan
02.2018 - 01.2023
- Advised management on compliance best practices and regulatory strategies to align business operations with securities laws.
- Developed, implemented, and maintained compliance frameworks, policies and documentation.
- Evaluated and audited operational processes to mitigate legal and regulatory risks.
Compliance Officer-Principal Review Unit
Santander Securities LLC
Guaynabo
08.2012 - 10.2015
- Reviewed and approved daily sales activities including communication with clients and daily trade activities.
- Monitored Registered Representatives adherence to company policies, laws, and regulations.
- Complete regulatory filings with SEC, MSRB and FinCEN.
- Supported both internal and external audits through maintaining comprehensive compliance documentation.
- New accounts opening and documentation approval.
- Conduct legal reviews of corporate, trust, custodian, and estate accounts, ensuring adherence to regulatory and firm standards.
Compliance Officer and Legal Counsel
Santander Securities LLC
Guaynabo
04.2004 - 07.2012
- Executed and oversaw the Firm's Anti-Money Laundering program.
- Filed Suspicious Activity Reports and other Regulatory fillings.
- Developed and implemented compliance policies and procedures to enhanced the firms AML program.
- Automated proprietary documentation for foreign accounts, reducing regulatory breaches.
- Performed legal reviews of corporate, trust, custodian, and estate accounts ensuring compliance with state law and firm requirements.
Education
J.D. -
Inter American University, School of Law
San Juan05-2003
BBA - Finance
University of Puerto Rico
Mayaguez Campus05-1999
Certification
- General Securities Principal - Series 24 (2013)
- General Securities Representative - Series 7 (2011)
- Admitted to the Supreme Court of the Commonwealth of Puerto Rico (2004)
- Notary Public
Timeline
Attorney
Cancio-Biaggi Law Offices
02.2023 - Current
Of Counsel Compliance Officer
Retirement Partner Advisors PR
02.2018 - 01.2023
Compliance Officer-Principal Review Unit
Santander Securities LLC
08.2012 - 10.2015
Compliance Officer and Legal Counsel
Santander Securities LLC
04.2004 - 07.2012
J.D. -
Inter American University, School of Law
BBA - Finance
University of Puerto Rico