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.