Ivonne Roque

Ivonne Roque's multifaceted personality and illustrious career are heightened by her commitment to delivering the best possible result each time. She is a seasoned executive with an extensive background in private banking, consumer banking, and investment brokerage. She strongly focuses on compliance, anti-money laundering, operational risk, and strategic planning initiatives. With over 17 years of expertise in designing and implementing strategic risk and controls programs, operating model enhancements, regulatory remediation initiatives, and client-centric excellence programs, she truly stands above the rest with her vast experience. 

Ivonne’s journey to becoming a leader in risk management frameworks and client-centric excellence is driven by continuous learning, hands-on experience, and strategic thought leadership. Over the years, she has led the enhancement of critical enterprise and business-level processes, collaborating with senior stakeholders to address regulatory concerns, mitigate risk exposures, and foster innovation. These efforts have directly improved business performance while elevating client and employee experience, further refining her expertise. She says, “I am committed to empowering teams to drive progress, champion innovation, and ensure the firm remains proactive in managing risks, optimizing revenue, and sustaining long-term growth.”

She has completed her Bachelor of Business Administration from Florida International University and then her Master of Business Administration at Nova Southeastern University. She also has a Leadership Certification from Wharton Executive Education and several FINRA licenses. Her expertise in driving strategic growth and innovative solutions, focusing on risk reduction, has enabled her to develop robust risk management and client excellence programs. This foundation allows her to guide individuals and teams through complex challenges while aligning priorities to benefit employees, clients, and the firm. She mentions, “I am passionate about mentoring colleagues to embrace innovative strategic planning and collaborative leadership at an enterprise level. By empowering individuals as key contributors and leaders, I help them navigate their career trajectories with clarity and purpose, helping them achieve their professional goals while ensuring the long-term sustainability of the firm’s frameworks and programs.” 

Ivonne prides herself on being authentic and transparent in all aspects of her life, personally and professionally. She feels that integrity is at the core of everything she does, and she places great importance on aligning her words with her actions while staying true to her values. She mentions, “I am a highly motivated self-starter who thrives on fostering meaningful relationships and driving collaboration. Resilient and adaptable, I hold myself to high standards and strive for excellence in every endeavor.” 

She finds fulfillment in empowering those around her, helping them grow and succeed as she works toward shared goals. Seeing others thrive and deliver results because of her guidance and commitment is what she deeply finds rewarding. Her communication style emphasizes inclusivity, empathy, openness, and collaboration, creating an environment where everyone feels valued and engaged. While she remains focused on delivering results, she never compromises on relationships, ensuring success is built on mutual trust and respect.

Throughout her esteemed career, she has had the privilege of positively influencing the career growth of colleagues and peers. One notable example she discloses involved hiring an individual with limited experience in compliance risk management within the financial services industry. She dedicated time and effort to providing them with a comprehensive understanding of the firm’s risk management frameworks, empowering them to identify and address inefficiencies in siloed processes left by predecessors.

Their ability to quickly learn and contribute to meaningful enhancements demonstrated their talent and allowed them to display their work, resulting in a well-deserved promotion. Today, they are a leader in the risk management field at a top global competitor. She proudly says, “We remain in touch, and I take pride in celebrating their ongoing successes as a testament to the impact of mentorship and empowerment.” 

Ivonne believes a role model holds a deeply personal yet significant place in one’s life and career. For her, Jane Fraser, CEO of Citigroup and the first female CEO of a major financial institution, and Maria Bartiromo, Anchor and Global Markets Editor for Fox Business Network, are inspiring examples. She feels that they exemplify resilience and determination, breaking barriers in leadership roles traditionally dominated by men and serving as role models for women worldwide. On a personal level, her role models include Joel Osteen and Tony Robbins. Both are visionaries who lead with empathy and have an extraordinary ability to connect with people. 

Her most impactful tools for imparting knowledge are active listening and understanding the unique needs and challenges of those she collaborates with. While thorough research and a strong grasp of data are essential, she prioritizes understanding the day-to-day obstacles and motivations that influence success. She helps establish a clear, simplified vision for their goals or target state by listening.

She reiterates, “This foundation allows me to refine my research, leverage my expertise, and deliver relevant and actionable strategies. When appropriate, I share similar firsthand experiences to encourage authenticity and openness, demonstrating my genuine commitment to optimizing value.”

A session with Ivonne Roque offers invaluable benefits through a holistic, strategic discussion that contrasts the current state with the desired target state. Her expertise is clarifying and simplifying complex concepts to ensure a concise understanding of the targeted outcome or goal. She feels that this is critical for measuring progress accurately and identifying areas for improvement essential to achieving the desired results.

Beyond establishing a vision, her second key focus is to outline an agile path toward that goal by asking targeted questions that help prioritize key actions. This ensures that every step is aligned with the desired outcome while remaining flexible enough to adjust as challenges arise. She says, “I emphasize the importance of adaptability, which is crucial for navigating evolving regulatory environments and positioning the team as industry leaders.”

She has been honored to have been recognized as one of the Global 200 Women Power Leaders for 2024, representing the United States. She holds a Master of Business Administration in International Business and is a FINRA General Securities Principal and Registered Options Principal. In 2023, she completed the Persuasive Leadership Development Certification from Wharton Executive Education. She maintains active FINRA licenses, including Series 3, 4, 7, 9, 10, 24, 63, and 65, and is also a Certified Anti-Money Laundering Specialist (CAMS).