Manager Quality Assurance

RENEE DOUGHERTY

**** ****** ******

Wilmington, DE 19808

Phone 302-***-****

Cell 302-***-****

ablgy9@r.postjobfree.com

CAREER PROFILE:

Results oriented manager with operations and team management experience. Extensive training in quality assurance, process management and securities licensing. Particular expertise in:

Operations Management

Quality Assurance and Compliance Control

Manager and team development

Business Marketing and Recruiting

dealt with local institution executing their block orders

PROFESSIONAL EXPERIENCE:

2008 to 2009 UBS SECURITIES, WILMINGTON, DE - OPERATIONS MANAGER / COMPLIANCE OFFICER

Worked in partnership with the Branch Manager to facilitate the opening of the first Delaware-based UBS brokerage office. Responsible for overseeing regulatory compliance as dictated by the New York Stock Exchange including Sarbanes-Oxley and SEC guidelines.

SELECTED ACCOMPLISHMENTS / RESPONSIBILITIES

successfully co-managed the recruitment of six stock brokers with a collective production of nearly $5 million.

Initiated ACAT process for 2,400 accounts

Trained new staff to become SEC compliant

Executed and reconciled previous days’ trading activity

Met compliance objectives as dictated by the New York Stock Exchange

Administered Performance Evaluations

2005 to 2007 LEGG MASON (SMITH BARNEY), WILMINGTON, DE - OPERATIONS MANAGER / COMPLIANCE OFFICER

Responsible for overseeing regulatory compliance as dictated by the New York Stock Exchange including Sarbanes-Oxley and SEC guidelines.

SELECTED ACCOMPLISHMENTS / RESPONSIBILITIES

Senior Hiring Manager

facilitated the training of office staff for regulatory guidelines

Executed trades on the New York Stock Exchange and OTC

Administered Performance Evaluations

Reconciled Journal transfers and Fed Fund wires

Confirmed trades from previous day were within the customer’s investment objectives

1986 to 2004 WHEAT FIRST SECURITIES (WACHOVIA), KENNETT SQUARE, PA – VICE PRESIDENT OF OPERATIONS

Responsible for overseeing regulatory compliance as dictated by the New York Stock Exchange including Sarbanes-Oxley and SEC guidelines.

SELECTED ACCOMPLISHMENTS / RESPONSIBILITIES

Ensured appropriate state registration for stock brokers and sales assistants

Filed quarterly compliance report with the New York Compliance Department

Supervised staff of nine assistants

led all Brokerage related seminars and prepared marketing material

Part of management team that successfully expanded brokerage team from five to eighteen brokers

Executed Bond trades

Reconciled trading errors and statement discrepancies

1976 to 1985 DEAN WITTER, REYNOLDS, WILMINGTON, DE - REGISTERED SALES ASSISTANT

Responsible for client services and office management.

SELECTED ACCOMPLISHMENTS / RESPONSIBILITIES

Answered Customer inquiries

Drafted outgoing correspondence

Managed office inventory

Assisted stockbrokers with daily operations

Liaison between customers and operations department

BROKERAGE/SECURITIES LICENCES:

Series 7: Registered Representative License

Series 9& 10: Brokerage Branch Manager Compliance Officer License

Series 63: State Broker Registration

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