Management Account Executive
Resume:
Michelle Tacey
San Francisco, CA *****
abnsfn@r.postjobfree.com
http://www.linkedin.com/in/michelletacey
Experienced professional who possess excellent interpersonal and communications skills focused in the
EXECUTIVE
financial services industry with a strong emphasis on compliance and operations.
SUMMARY
WORK KPMG, LLP - Manager New York, NY/San Francisco, CA
EXPERIENCE Risk Advisory Services – Financial Risk Management (FRM)- Regulatory Practice
January 2005 – Bank Operations Management Experience
March 2009 Assisted the largest thrift institution with the implementation of AML processes while under cease and
desist order. Assurance with processes as it relates to compliance with regulations covered within the
scope of the Bank Secrecy Act, including requirements provided under the USA Patriot Act, laws and
regulations administered by the Office of Foreign Assets Control and other anti-money laundering laws
and regulations.
Provided subject matter assistance as it related to bank policy, procedure, and implementation. Assisted
with banks business strategy, implementation, process improvement, work stream efficiencies and
streamlining a process across all business lines.
Effectively led teams on significant cross-functional, regulatory and compliance initiatives including
compliance department evaluations, review of policies and procedures, internal control reviews,
performance advertising, custody inspections/audits, required books and records, AML, personal trading,
prohibitive affiliate transactions, investment compliance, soft dollars, and advisory agreements.
Vendor Risk management to ensure risks are properly mitigated by the use of third party vendors,
including contract review and negotiations.
Project Management
Effectively managed 350 staff for a 1 year time period with regards to training, process understanding,
production, quality and staffing needs for one of the largest projects for KPMG west coast for 2008,
generating $25million in revenue for the firm.
Relationship Management: Developed and maintained a network of infrastructure relationships that
support an active dialogue on matters related to business improvement, internal control environment and
end-to-end process integrity.
Ongoing client relationships included status reporting, evaluation of client satisfaction and identification
of new opportunities.
Ability to understand end-to-end business processes, anticipate and address potential issues associated
with proposed courses of action.
Marketing and Professional Development
Proven ability to lead meetings, deliver presentations and conflict management
Development of regulatory practice letters distributed company wide to utilize as an informational piece
or marketing tool for current and prospective clients. Informational pieces are driven based on market
trends, compliance hot topics and industry best practice.
Organize and host round table discussions with existing and potential clients where industry leaders gather
to discuss current and emerging regulatory issues.
Training and development- One of four instructors where various levels of KPMG personnel attend
internal training on various classes, including securities regulations.
August 2003- Nikko Global Asset Management New York, NY
January 2005 Chief Compliance Officer
Worked with all levels of management to integrate policies and procedures into operational processes to
affect a comprehensive, integrated compliance program, including AML. Monitored regulatory
environment for changes that could affect the operations of the adviser. Reported to management as to the
status of compliance with federal securities regulation.
Oversaw all compliance rules and regulatory actions with firm. Successful completion of SEC audit and
internal control audit.
Maintained all compliance manuals, internal trading records and proxy voting. Filed all proxies through
3rd party agent.
Filed ADV Part I and all corresponding schedules on SEC website and maintained ADV Part II.
Completed basic training and noted by National Regulatory Services as a Compliance Specialist.
January 2001- Morgan Stanley New York, NY and Jersey City, NJ
August 2003 Analyst, Business Systems Design & Testing
Successfully designed and implemented compliance regulations for Mutual Fund Switch Letters, annual
IRA Fee mailings and plan documents and the firms Privacy Policy.
Researched, defined system modification, developed test scenarios and routine systems audits to ensure
systems were being executed accurately and were compliant with SEC regulations, ensuring
implementation company wide.
Coordinated new / existing outsourcing and system related projects requested by Senior Management with
account executive. Researched, defined system modifications, and developed test scenarios and routine
systems audits to ensure systems are being executed accurately and are complaint with SEC regulations,
ensuring a successful implementation company wide.
Reported weekly to Legal / Compliance on SEC related issues. Developed workflows and spreadsheets to
provide to SEC Monitor.
Worked in conjunction with accounting department and account executive performing extensive
quantitative statistical analysis for cost savings benefits associated with vendor relations. Reviewed daily
access reports to report cost revenue and trading activity. Reported any errors to specific business groups.
EDUCATION
1996-2000 Seton Hall University South Orange, NJ
BS Business Administration, Concentration Finance/ Communications Minor
Cum Laude Honors Graduate- Deans list School of Business Spring/Fall 97, Fall 98, Spring/Fall 99,
Spring 00- Big East All-Academic Team Award 97, 98, 99, 00
2/3 Tuition remission athletic Soccer Scholarship 96-00
References Available Upon Request
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