Sales Manager

Mary M. O'Neill

** ******* ***** ****, ********** CT 06877 203-***-****

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

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A returning professional with extensive experience in Compliance and

Internal Control. A detailed oriented individual with skills that include

coordinating complex projects with all facets of Operations, Management,

Legal and IT. Specialties include but not limited to cross-functional

process reviews; self-audit implementation and internal and external

audit preparation. Excellent writing and oral communications skills,

along with working knowledge in computer programs such as VISIO, Excel,

and Word.

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Professional Experience

Citigroup 1990-2002

Citicapital, Compliance Officer, Internal Control Harrison, NY

1995-2002

Responsible for the dissemination and maintenance of policies and

procedures to ensure compliance with all Federal and corporate

regulations.

. Implemented the US Bank Secrecy Act and Citigroup's Money

Laundering Polices.

. Developed and monitored the self-assessment program including

developing process flow-charts, risk assessment documents, and

self-audits which enabled the business to focus on potential

risks and improve processes where feasible.

. Initiated and developed the Continuity of Business Plans for each

business unit with the Business and Audit's approval. This

included annual testing requirements reported to the Board of

Directors.

. Coordinated the business's efforts to comply with Citigroup's

stringent Information Security Policy.

. Developed and implemented the self-audit program for Operations

Unit from the ground up.

. Acted as liaison with both external and internal Auditors, which

rendered positive results.

Citicorp, North America Global Finance Control Room,

Compliance Manager, New York, NY 1990-

1995

. Initiated, implemented, and maintained the Personal Investment

Policy for six divisions. Responsible for the approval and daily

monitoring of over 5,000 employees personal transactions.

. Maintained and monitored the Chinese Wall Policies, and Gray and

Restricted lists for several divisions.

. Developed a more efficient and accurate data base program that

enhanced the monitoring of personal investments.

. Supervised and trained clerical support.

Additional Experience

Freeman Securities, Corporate Bond Broker Jersey City, NJ

1984-1988

Bought and sold odd lot corporate bond and mortgage-backed securities

producing $500,000 in sales.

Russell & Company, Corporate Bond Broker New York, NY 1982-

1984

Bought and sold odd lot corporate bonds with other broker dealers.

Certain Teed Corporation, Public Relations Assistant Valley Forge, PA

1980-1982

Assisted management in coordinating advertising and public relation

campaigns. Wrote and edited the Employee Newsletter. Compiled monthly

budget reports for Senior Management. Assisted in the implementation of

the National Sales Meeting.

Cooper Medical Center, Editor, Camden, NJ 1979-

1980

Wrote and edited the hospital's, physicians, auxiliary, and patient's

newsletters.

Education

Rowan University

B.A. Communications

Continuing Education and Licenses

Dreamweaver Studio 8 for Windows

2008

5 Hour Introduction - Ridgefield Continuing Education

Information Security Officer Training, Citigroup, New York, NY

1999

Three-day concentration study of all aspects of Information Security

Issues such as Basis

Cryptography, Social Engineering and Ethical Hacking

Introduction to Quality, Citicorp, Harrison, New York

1998

Two-day Intensive Quality Training- Introduction to Six Sigma

Leasing, the Creative Finance Solution, Stamford, CT

1996

Amembal, Deane & Associates, Twenty- One Education Hours

Field of Leasing Education Program

Insurance Risk Roundtable, Citicorp, New York, NY

1996

One-day workshop- Risk as it relates to Continuity of Business Planning

North American Compliance Conference, Citicorp, Long Island, NY

1994

Continuing Professional Compliance Education- Twenty One Education Hours

Three-day workshop. Topics included U. S. Export Compliance, Regulation

O, Regulations 23A/B, U.S. Sanctions, Anti-Tying and Anti-Money

Laundering.

Security Industry Association, New York, NY

Member-Legal and Compliance Division 1990-

1992

One to two day seminars and workshops covering current

investment/compliance related issues.

Insurance License-New York State

1987-1988

Registered Representative- Series 7

1984-1989

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