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Manager Management

Location:
West Harrison, NY, 10604
Posted:
September 07, 2011

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Resume:

Mary Jo Gutta

** ******** ****** - ***. **

West Harrison, New York 10604

(Cell) 1-914-***-****

E-mail: ******.*****@*****.***

OBJECTIVE: Seeking a quality position that will enable me to

utilize my strong interpersonal and leadership skills and provide

the opportunity for professional development and long-term

growth.

CAREER

RELATED

EXPERIENCE: UBS Financial Services Inc

Associate Director / Control Officer White Plains,

New York Sept. 2010 - Present

. Implementation of appropriate policies, processes and

procedures in order to identify, assess, mitigate, monitor

and report operational risk, fraud prevention and business

availability.

. Ensure compliance with any specific local regulatory

requirements related to operational risk management and

control.

. Recommending and enforcing remedial action to improve the

control environment.

. Providing positive assurance that business units comply with

all legal, regulatory and/or mandatory relating to

operational risk, instigating effective remedial action when

appropriate.

. Continually assessing the external and internal environment

to ensure that emerging risks are appropriately managed -

including changes and emerging threats in the worldwide fraud

arena.

White Plains, New York

April 2007 - Sept. 2010

Associate Director / Operations Manager New

York, New York Feb. 2006 - April 2007

. Managing the business and day-to-day RISK of the branch.

. Supporting the branch, people and processes by focusing on

client needs, supervising and assisting all branch personnel.

. Supporting the success of the Management Team by assisting in

the control of risk, supporting a culture of quality, and

facilitating team cohesiveness.

. Serving as a resource for information by developing networks

and providing information.

. Supervise and monitor Operations staff activities. Provide

constructive and honest feedback to guide staff performance.

Act as a role model for the Operations staff. Recruit and

conduct performance review for the Operations staff.

. Cross trained on the responsibilities of the management team.

Complete various tasks and responsibilities of the management

team in their absence.

Registered Client Service Associate New York, New

York Feb. 2000 - Feb. 2006

. Assistant to a financial consultant team, consisting of a

vice president of investments, financial advisor, and one

financial advisor trainee.

. Manage all operational tasks including: opening and funding

new accounts, daily transactions and account reconciliations,

client performance preparation, and the creation of client

presentations.

. Act as liaison between clients, and back office in trouble-

shooting and resolving problems.

. Take and place all trade orders including equities, penny

stocks, mutual funds, and options.

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, New York

Registered Client Associate

Sept. 1997 - February 2000

. Maintenance of clients' portfolios and new accounts.

. Placement of security trades, and the research and analysis

of various securities.

National Securities Clearing Corporation

New York, New York

Treasury Operations Analyst

June 1996 - September 1997

. Managed, analyzed and coordinated use of the daily investable

cash flow for NSCC and their subsidiaries.

. Entered into daily overnight Triparty, Full Deliver out

Repurchase Agreements (Repo's) and U.S. Treasury securities

purchases and redemptions.

. Prepared reconciliation of prior day's cash activity,

summaries for all investments and all wires and transfers

associated with all investments.

. Approved and released Fed Fund wires and ACH money movement

related to Treasury activity.

LICENSURES: Series 7, Series 63, Series 9/10

EDUCATION: Hofstra University

Hempstead, New York

B.B.A. in Accounting

May 1996

SKILLS: Working knowledge of Italian and Spanish.

Proficient in Microsoft Word, Excel and PowerPoint;

Bloomberg.

REFERENCES: Professional and personal references to be

furnished upon request.



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