Cynthia Cordero is a highly focused and dynamic Supervisory Principal at Citi, where she leverages over 12 years of extensive experience in the securities industry to ensure compliance with regulatory standards and best practices. In her current role, Cynthia is responsible for meticulously reviewing all...
Cynthia Cordero is a highly focused and dynamic Supervisory Principal at Citi, where she leverages over 12 years of extensive experience in the securities industry to ensure compliance with regulatory standards and best practices. In her current role, Cynthia is responsible for meticulously reviewing all prior day trading and sales activities conducted by Financial Advisors (FAs). Her keen analytical skills enable her to identify unusual transaction patterns that may indicate compliance issues, ensuring adherence to critical industry regulations such as Anti-Money Laundering (AML), Know Your Customer (KYC), Customer Identification Program (CIP), and Office of Foreign Assets Control (OFAC) guidelines.
Cynthia's expertise extends to the evaluation of monthly Surveillance Reports, which capture all trades and serve as a vital tool in identifying potential inadequacies in trading practices. Her proficiency with industry-leading compliance software, such as Actimize, enhances her ability to monitor transactions effectively and implement corrective measures when necessary. With a strong attention to detail and a client service-oriented approach, Cynthia excels at fostering a culture of ethics and integrity within her team, ensuring that all activities align with Citi’s commitment to responsible investing.
Key projects under Cynthia's leadership have included the development of enhanced training programs for Financial Advisors, aimed at promoting awareness of regulatory requirements and best sales practices. Her problem-solving skills and deep understanding of securities, equities, and mutual funds position her as a trusted resource within the organization. As a holder of the Series 24 license, Cynthia continues to be an invaluable asset to Citi, driving compliance initiatives that safeguard both the firm and its clients in an ever-evolving regulatory landscape.
