Open to opportunities

Susan Herrera Rodriguez

@susanherrerarodrigue

Message

Economist and compliance leader specializing in global banking markets and regulatory risk.

Colombia

Message

What I'm looking for

I seek a compliance or surveillance leadership role where I can drive regulatory adherence, build monitoring frameworks, mentor teams, and collaborate cross-functionally to mitigate risk and improve controls.

I am an economist and finance specialist with 12+ years in Global Banking Markets and international banking, focused on compliance, surveillance and regulatory risk management. I led a high-performing team of 40 monitoring level 1 communication alerts and ensured adherence to conduct and regulatory requirements.

I have designed and implemented quality control programs, compliance policies, monitoring models for market abuse (fixed income, FX, derivatives), and delivered training to improve awareness and performance. I have managed alert volumes, voice alert remediation, and maintained KPI and quality metric compliance.

I collaborate closely with legal, internal control and business partners, conduct risk assessments and internal investigations, and stay current with regulatory developments to adapt compliance practices quickly. I bring strong organization, problem solving, and leadership skills to drive effective compliance outcomes.

Experience

Work history, roles, and key accomplishments

Manager, Global Banking Markets

Scotiabank

Jan 2022 - Jan 2025 (3 years)

Led a 40-person team monitoring level 1 communication alerts for Global Banking Markets, implementing a Quality Control program that improved compliance with Code of Conduct and regulatory requirements. Managed increased alert volumes including voice alerts and coordinated remediation efforts to maintain KPI performance.

Compliance Monitoring Quality Control Regulatory Compliance Team Leadership KPI Tracking Stakeholder Management

Compliance Officer

Scotiabank Colpatria

Jan 2017 - Jan 2022 (5 years)

Implemented and updated Global Banking Markets compliance policies and procedures, ensuring adherence to laws and rules including Volcker and Swap Dealer requirements and delivering compliance training across the business. Conducted risk assessments and internal investigations into potential market abuse.

Regulatory Compliance Policy Development Risk Assessment & Compliance Volcker Rule Swap Dealer Cross Functional Collaboration

Professional, Market Supervision

Superintendencia Financiera de Colombia

Jan 2013 - Jan 2017 (4 years)

Executed risk-based inspections of infrastructure providers in the Colombian capital market and implemented a monitoring model to detect market abuse in fixed income, FX, and derivatives transactions. Assessed inherent and residual risks to inform supervisory actions.

FX Derivatives Risk Assessment

Treasury Analyst

Credicorp Capital

Jan 2011 - Jan 2012 (1 year)

Created liquidity concentration indicators for accounts managed by brokers and monitored broker compliance for ACH transfers and payments to support treasury operations and risk oversight.

Liquidity Monitoring Treasury Operations ACH Data Analysis

Education

Degrees, certifications, and relevant coursework

Universidad Externado de Colombia

Specialization in Finance, Finance

Completed a specialization in Finance with coursework and training relevant to compliance and financial markets.

NFA (National Futures Association)

NFA - Swaps Proficiency Requirement Certificate, Derivatives Compliance

Obtained NFA Swaps Proficiency Requirement certification related to swaps and derivatives compliance.

Universidad Santo Tomás

Economist, Economics

Earned a degree in Economics with focus on financial markets and regulatory frameworks.

Superintendencia Financiera de Colombia

Professional Training, Financial Regulation

2013 - 2017

Completed professional training and performed inspection processes under the risk-based supervision framework for Colombian market infrastructure providers.