Customer Service Manager

Robert W. Hayden

**********@*****.***

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

(H) 410-***-****

Baldwin, MD 21013 (C) 410-***-****

Career Profile

A resourceful Compliance and Operations Executive and Partner with a highly

developed financial acumen, I am capable of delivering exceptional fiscal

performance. As a seasoned leader and motivator, my proven communication

ability is unmatched in both building consensus with top management and

maximizing staff performance. My unique managerial style is supported by a

wealth of experience, which clearly defines my skill as a senior manager,

one that is best characterized by a resolute desire to identify ripe

opportunities and implement strategies that will deliver profitability

while maintaining a proactive compliance environment. Superior performance

focused on acquiring new business and excellent customer service hallmarks

my performance.

Key Accomplishments

As Chief Operations Officer, oversee team for growing Registered Investment

Advisory Firm that has seen consistent year over year growth while

maintaining superior client service goals, keeping rising costs in check

and maintaining efficiency. As Chief Compliance Officer Department, oversee

highly proactive compliance function. Human Resource functions.

Designed and implemented a "Liaison Trading Function", facilitating trading

between Capital Markets and Private Client divisions and establishing a

profitable trading system that produced gains in excess of 10% annually.

This unprecedented success led to my direct departmental supervision

responsibility including accuracy and best practices over all system

trading.

Achieved $70M production, for the year 2000, by implementing service level

and system enhancements, which increased productivity and efficiency

throughout the Retail Trading System, as a direct result of the redesigned

trading system.

Effectively built consensus and cooperation among various groups, impacting

trading during a key merger, (IT, Trading, Private Client Division).

Authored and implemented policy and procedure manuals governing two trading

groups, exceeding the requirement for both internal compliance as well as

federal regulation.

Professional Experience

2005-2010, Financial Consulate, Inc.

Principal, Chief Compliance Officer, Chief Operations Officer, Human

Resources

Compliance & Operations Leadership, Budget Planning, Implementation and

Oversight, Cost Reduction, Product and Market Development, Client

Relations,

P & L Responsibility, Growth Strategies, Policy Formulation, Human

Resources

2005-Legg Mason, Inc.

Director of Operations, Legg Mason Trust

2004-2005 Morgan Stanley

Regional Compliance Manager

2003 -2004 Hornblower Fischer & Co.

Supervisor, Institutional Sales Trader

1989 - 2001 DB Alex Brown, Inc., Baltimore, MD

Managing Director, Over-The-Counter Retail Liaison Head

1986 - 1989 Alex Brown & Sons, Inc., Baltimore, MD

OTC Agency Trader

1982 - 1986 Alex Brown & Sons, Inc., Baltimore, MD

Government Bond Trader

1978 - 1982 Alex Brown & Sons, Inc., Baltimore, MD

Internal Control

Education

Bachelor of Arts, Political Science and History

TOWSON UNIVERSITY

Contact this candidate