Sales Manager
Resume:
JAIMAL CHARAN HAYES
Richmond, Virginia 23227
804-***-**** (H), 804-***-**** (C)
*********@*******.***
EDUCATION
Virginia Union University - School of Theology, Richmond, Virginia
Masters of Divinity, Cum Laude, May 2000
University of Mary Washington, Fredericksburg, Virginia
Bachelor of Arts in Economics, May 1994
Computer Experience: Windows XP (including Microsoft Word, PowerPoint & Excel),
Access and FINRA Web CRD application.
Securities & Insurance Licenses: Series 6, 7, 24 & 63, Life & Health
EXPERIENCE
Genworth Financial (Capital Brokerage Corp.), Richmond, VA 2008 to 2009
Compliance Analyst, Compliance Department, April 2008 to February 2009
Responsible for a providing analytical, organizational, and administrative support
to various Compliance Analysts and Leaders. Responsible for executing a
variety of functions (LIMRA Survey processing, Annual Compliance Trainings,
Branch Auditing, Outside Business Activity reviews, etc.) projects, and initiatives
across the Retirement Income Compliance department. Processed and verified
FINRA and state licensing approvals regarding the sale of securities/registered
products. Researched regulations to determine branch registration and
investment advisory requirements for investment advisory representatives.
Performed surveillance of outside brokerage accounts in accordance with firm
policy. Ensured that no sales were permitted until FINRA & state approvals were
in place. Communicated regulatory requirements and received and reviewed
materials to begin submission process for approvals.
Wachovia Securities, LLC, Glen Allen, VA 2002 to 2008
Associate Manager/Acting Manager, Compliance Department, December 2005
to April 2008
Managed a team of up to 18 associates (permanent and temporary). Provided
oversight to the Employee Account Group which was responsible for
documenting and responding to issuing Rule 407 letters for accounts held away
from the Firm; ensured that duplicate statements and confirmations were
available to managers for required employee trade reviews; monitored
statements and confirmations for approved accounts to ensure that all activity
was in accordance with stipulations; worked with management to identify
associates who were in violation of the Personal Investment Policy; documented
and responded to associate requests to engage in outside business activities;
and documenting and responding to associate requests to participate in private
securities transactions. In addition to overseeing this group, I supervised the
Document Control team, which is responsible for maintaining several types of
critical files (i.e. Registration, Outside Business Activities, and Outside Accounts).
Served as a subject matter expert for the NASD Continuing Education
Regulatory Element process for Wachovia Corporation’s three broker/dealers.
Additional responsibilities include interviewing, hiring and training staff, reviewing
personal investment policy manager reports, conducting performance appraisals,
spearheading policy and procedural changes.
Senior Continuing Education Analyst, Compliance Department, August 2004
to Dec. 2005
Responsible for determining the requirements associated with the regulatory
element of the securities industry Continuing Education Program. Monitored
various CE Queues and provided reports upon request. Tracked notifications and
completions of CE requirements for PCG, ISG and FiNet. Implemented
alternative solutions to prevent associates from becoming CE inactive. Restricted
securities registrations for CE inactive associates. Additional responsibilities
include reviewing outside business activities and private securities transactions.
Compliance Analyst, Compliance Department, July 2002 to August 2004
Responsible for oversight of the Firm’s advertising and sales literature pertaining
to industry regulations and standards. Provided effective and timely reviews of
advertising and sales literature to determine the appropriateness of the materials
in relation to regulatory standards. Consulted Firm associates on areas of
regulatory concern, and developed strategies and edits to improve the materials.
Conducted oversight examinations of specific product areas within the Firm in
regards to their advertising policies and procedures. Participated in ongoing
development of the Firm’s marketing compliance procedures. Reconciled
Advertising CRD Account.
Genworth Financial (Capital Brokerage Corp., & Terra Securities Corp.), Richmond,
VA 1998 to 2002
Compliance Analyst, Compliance Department, Feb. 2001 to July 2002
Ensured compliance of CBC/Terra Securities with all NASD, SEC, State, and
Interagency Statement rules and regulations, as well as internal policies and
procedures. Managed approval process, NASD filing, recordkeeping, and
endorsements for CBC/Terra Representative registrations, advertising, sales
literature and correspondence. Conducted needs analysis and administered the
annual NASD firm element and design of training material and agenda.
Conducted surveillance review and follow-up of outside business activities,
outside brokerage accounts and monthly/quarterly transaction exception reports.
Participated in quality projects and other special projects as needed. Composed,
edit and distributed bi-monthly Compliance Department bulletins. Conducted
annual CBC/Terra home office exam with ongoing follow-up to ensure completion
of corrective actions. Participation in integration projects related to broker dealer
and investment advisor acquisitions. Investigated and helped to determine
complaint resolutions after interacting with Senior Management. Timely report
customer complaints via the NASD’s Web CRD system. Amended U4 and U5
applications with arbitrations and complaints.
Licensing Coordinator, Compliance Department, June 1998 to May 2000
Processed and verified NASD and state licensing approvals regarding the sale of
securities/registered products. Researched regulations to determine required
materials. Ensured that no sales were permitted until NASD & state approvals
were in place. Communicated regulatory requirements and received and
reviewed materials to begin submission process for approvals. Submitted checks
and correcting materials to NASD. Monitored NASD & states’ authorization
process. Received, recorded and communicated approvals to registered
representatives and/or other designated persons.
RELATED SKILLS
Excellent problem-solving; communication; interpersonal, lay counseling; organizational,
quality and analytical.
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