Alice Lobo-Rocha serves as Vice President at Guggenheim Partners, where she plays a pivotal role in the Registration-Central Compliance team. With her extensive experience in the financial services industry, Alice has developed a robust expertise in securities registration processing and auditing, ensuring that all regulatory...
Alice Lobo-Rocha serves as Vice President at Guggenheim Partners, where she plays a pivotal role in the Registration-Central Compliance team. With her extensive experience in the financial services industry, Alice has developed a robust expertise in securities registration processing and auditing, ensuring that all regulatory requirements are meticulously met. Her analytical mindset allows her to navigate complex compliance landscapes, while her forward-thinking approach enables her to devise innovative solutions to challenges that arise in the dynamic financial sector.
In her current role, Alice is instrumental in overseeing the registration processes for various securities offerings, ensuring that all documentation is accurate and compliant with FINRA regulations. She has spearheaded key projects aimed at enhancing the efficiency of registration workflows, which have significantly reduced processing times and improved overall compliance accuracy. Her commitment to excellence is evident in her meticulous background check reviews and her adeptness at interpreting court documentation, which are crucial for assessing criminal classifications and ensuring thorough due diligence.
Alice is not only a dedicated team player but also a strong communicator, often leading training sessions to empower her colleagues with the knowledge and skills necessary to navigate compliance requirements effectively. Her exceptional organizational skills enable her to manage multiple projects simultaneously, ensuring that deadlines are consistently met without compromising quality. As a compliance professional, Alice Lobo-Rocha continues to make significant contributions to Guggenheim Partners, driving a culture of compliance and integrity within the organization.
