Jonathan R. Tracy

* ****** ******, **** *, San Francisco, CA 94103 C: 415-***-****

acfpz2@r.postjobfree.com

PROFILE

Accomplished Director of Client Services and Compliance, adept at building

new businesses and departments, with a focus on high net worth clients.

Skills include:

o Collaborating across organizational boundaries with all levels of

management and staff to achieve goals

o Managing operational and regulatory risk by improving workflows and due

diligence processes

o Certified Anti Money-Laundering Specialist (CAMS)

EXPERIENCE

O'Paws LLC, San Francisco California 6/02 to Present

Founder and Managing Partner

o Created San Francisco's first premier boutique bed and breakfast and

day care for dogs, cultivating O'Paws brand as upscale bed and

breakfast and day care for dogs

o Designed and implemented web-based marketing plan for boutique dog au

pair program, retooled in 2010 to address fundamental shift in market

usage and demographics

o Consistently grew revenue 15+% year over year

o Designed and implemented Standards of Care and Service, several that

changed industry standard practice in San Francisco

o Advised Supervisor Scott Wiener, his office and San Francisco Board of

Supervisors in drafting and passage of San Francisco's Dog Walker

Permit Ordinance 2012

Silicon Valley Bank/Alliant Partners, Santa Clara, California 10/01

to 5/02

Compliance Officer

o Director-level position hired to develop compliance and audit

infrastructure for broker/dealer/RIA

o Developed and implemented division staffing model

o Prepared all RIA filings, advisor policies, procedures, and internal

controls

o Managed transition of $10 billion in client assets to bank

broker/dealer subsidiary

o Managed staff of three compliance specialists and compliance

contractors

10x.com, San Francisco, California 10/00 to 12/00

Compliance Officer/Director of Client Services

o Senior member of product marketing and development team

o Prepared all operational policies and procedures for broker/dealer and

registered investment advisor, marketing and advertising review

o Prepared all registered investment advisor policies, procedures,

internal controls and board of director code of conduct; compliance

representative for board of directors meetings

meVC.com, Inc., San Francisco, California 12/99 to 7/00

Director of Client Services/Director of Compliance

o Managed staff of three business development representatives

o Developed and implemented policy and procedures for closed end mutual

fund and registered investment advisor

o Designed and implemented ongoing employee training and education

program

o Senior member of product marketing development team delivering first

closed end, exchange traded venture capital fund (NYSE symbol: MVC)

JONATHAN R. TRACY acfpz2@r.postjobfree.com ? 415-***-**** PAGE 2

EXPERIENCE, continued

BankAmerica Securities, L.L.P., San Francisco, California 2/99 - 12/99

Senior Manager, Regulatory Reporting, Brokerage Operations

o Established regulatory reporting department, designing process flow

and procedures for abandoned property, extensions, records retention

and letters of free funds departments

o Managed and trained staff of 10 compliance and operations specialists

o Designed and implemented cross-departmental communications and

interface

National Regulatory Services, Inc., Oakland, California 3/98 - 1/99

Associate - West Coast

o Established West coast office for firm providing regulatory consulting

services for registered investment advisors

o Identified and developed new relationships with registered investment

advisors and broker/dealers

Charles Schwab & Co. Inc., San Francisco, California 4/90-9/97

Senior Compliance Analyst - Schwab Institutional

o Designed and implemented cost reduction project, acting as project

lead for Schwab AdvisorSource, streamlining process and backlog of

advisor applications

o Developed organizational work flows for Schwab's AdvisorSource and

registered investment advisor surveillance

Manager/Supervisor - Affluent Customer Enterprises

o Managed, trained and motivated 12 business development specialists

o Participated in planning, development and implementation of new

policies, procedures and operational guidelines for Schwab

AdvisorSource and Signature Services Pilot

o Developed and implemented strategic marketing plans for department

o Exceeded asset aggregation goal six consecutive quarters

Control Analyst/Project Manager - Schwab Institutional

o Developed organizational workflow to reengineer prime broker due

diligence. Presented key findings and business recommendations to

management team which eliminated six-month backlog

o Managed and developed internal communication pieces and managed

approval process for registered investment advisor seminars

EDUCATION

M.B.A., University of San Francisco, San Francisco, CA, Marketing and

Finance

B.S., University of Pittsburgh, Pittsburgh, PA, Economics and Psychology

LICENSES (Inactive)

General Securities Principal (Series Investment Manager Examination (Series 65)

24) Uniform Securities Agent State Law Exam

General Securities Sales Supervisor (Series 63)

(Series 8)

General Securities Examination

(Series 7)

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