1. Rosemary Francavilla
Massapequa, New York
516-314-2875 rosemaryfrancavilla@gmail.com
Summary
Results-driven Senior Compliance Officer with a solid and expansive knowledge of
Regulatory Compliance including Registration, Risk and Control, Testing, Policy and
Procedure, Operations and Insurance Licensing. Effective communicator across all
business lines and management levels successfully enacting new regulations and policy.
Experienced analyzing regulatory and policy changes and writing clear procedures.
Strong management skills specializing in working with diverse groups of all sizes and with
staff located both on-site and telecommuters.
* Dodd Frank, SEC, FINRA * Risk Assessment/Mitigation * Policy and Procedure
* Investment Advisers Act * RCSA, KRI, KPI * Testing and Control
* Insurance Licensing * Project Management * People Management
Accomplishments
FINRA licenses: Series 7, 63, 79, 99 qualified.
Established an effective system of risk management and supervisory reviews that
significantly reduced internal audit and regulatory exam findings.
Achieved and maintained FINRA on-time disclosure reporting level 35% better than
industry standard.
Eliminated late disclosure and termination filings caused by notification delays.
Organized project management process to complete 8 FINRA mass transfers including
the largest FINRA mass transfer to date.
Migrated proprietary Registration/Insurance/Document Imaging systems from
mainframe to Web. Included project development, test case design, UAT testing.
Experience
Citigroup Global Markets Inc. / Smith Barney 1997 - present
Senior Compliance Officer, Senior Vice President
Subject Matter Expert in Registration, Insurance Licensing, Disclosure, Risk and Control.
Responsible for Security, Commodity, Investment Adviser, Swap Dealer, Insurance
individual and branch registrations worldwide - Forms U4, U5, 8R, 8T, BD, ADV, 7R.
Appraise, monitor, validate risk scenarios and present results and recommendations to
senior business, legal, compliance, risk and audit committees.
Keep abreast of regulatory requirements, changes and best practices, coordinate
meetings across business lines firm wide and collaborate on policy, document procedures,
implement and test. Current example - FINRA Rule 3110.
Successfully manage a team of 12 analysts in a dynamic environment.
RCSA process - proactively identify risk scenarios, KRI, KPI, and process gaps; create
and implement corrective action plans to reduce regulatory and operational risk.
Perform in-depth examinations of audit or regulatory review findings to determine root

2. causes and correct. Respond to SRO examinations and internal audit reviews.
Independently generate adhoc exception reports to highlight areas of potential concern
for legal, compliance, finance, risk and business lines.
Ensure compliance with FINRA Continuing Education training requirements and Outside
Business Activity disclosure.
Communicate with securities, commodity and state regulators on a daily basis on behalf
of the firm and registrants.
Operations Internal Control
Managed 4 analysts responsible for risk assessment over 5 divisions within Security
Operations.
Performed Third Party Audit Reviews and assisted outside auditors.
Maintained NASD OSJ 27A and Policy / Procedure documents for all divisions.
Developed Operational Risk Reviews to identify, analyze and minimize risk issues.
Performed Monthly Derivative Audit, DVP Exposure Review and Trial Balance Analysis.
Education
BBA - Business Management
Pace University, New York, NY
Cum Laude Graduate
Qualifications
FINRA Licensing and Registration Council since 2008.
Association of Registration Management (ARM) member.
Contributor SIFMA Registration Working Group.
Notary Public State of New York
Skills
Microsoft Suite, Microsoft Office, EXCEL, WORD, PowerPoint, Access, Outlook, Adobe
Acrobat, Business Objects, SharePoint, Visio, Sircon, FINRA WebCRD, NFA ORS.
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