Manager Sales

Craig Bisagna

*********@*****.*** 914-***-****

Financial Services Professional Specializing in Operations Management & Regulatory Oversight

Professional Experience

AVP-Supervision & Control Group, Bank of America/Merrill Lynch

2012-Present

1. Regulatory oversight of 70 Merrill Edge Advisory Service banking centers within NY, NJ, DE, and PA markets.

2. Conduct audit and supervisory reviews of field personnel quarterly and coach FSA’s on regulatory requirements. Identify issues within marketplace and formulate plans to mitigate risk; coordinate with Regional Sales Manager to implement best practice across all Merrill Lynch advisory platforms.

3. Responsible for AML, OFAC reporting within Merrill Edge platform and partner with bank audit to monitor findings. Review internal/external correspondence, email communications and employee trading; provide detailed reports to Global Compliance.

4. Maintain all files and regulatory reporting requirements at OSJ.

Business Unit Manager, Needham & Co. LLC.

2005 to 2012

1. Responsible for the coordination of research distributed throughout firm and street.

2. Support Sales Team, Portfolio Managers and Traders with client ideas/inquiries developed from 25 research analysts; Work with teams to identify opportunities, with emphasis on Biotech, Semiconductor, Industrial Growth, Internet, and Consumer Services Sectors.

3. Participate in year-end reviews with Executive Committee for all Research Department personnel. Gather data points, partner with Director of Sales to identify voting results from account managers, buy-side clients and hedge fund PM's.

4. Monitor all quarterly filing requirements for political contributions and gift/entertainment disclosures for department. Gather information and report findings to Director of Compliance for further review.

Vice President/Senior Manager, Charles Schwab & Company

1992 to 2004

1. Manage activities of 20 professionals across 4 major branches in New York and

Connecticut: train and develop sales consultants, other regional managers.

1. Responsible for the development of regional business plans and the implementation of sales efforts across investment consultants that target local market initiatives and attract new business.

2. Selected as team lead for various company initiatives, including Schwab Personal Financial

Plan and BondSource.

1. Maintain responsibility for profits and losses, asset targets, local marketing, and IC performance.

2. Earned the Chairman's Award 7 years, recognizing top performers in retail branch operations based on profitability, asset production, compliance, and retention.

Portfolio Administrator, Mitchell Hutchins Institutional Investors (UBS/Paine Webber)

1989 to 1992

1. Assist in the management of diversified international and domestic investment portfolios for the fixed income department.

2. Maintain ongoing analysis of investment portfolios and client interaction to achieve positive results; assist executive managers in development and presentation of various investment strategies.

3. Assist unlicensed administrators in handling new account processing, trade clearing, monthly account reconciliation and ensure compliance with department policies.

Education

Siena College, Loudonville, NY

Bachelor of Science: 3.2 GPA

Technical Skills

Proficient in all Microsoft applications, Internet, Bloomberg, Thomson/Reuters, Factset, S&P,

CapIQ

Member FINRA: Series 7, 9, 10, 24, 63, 65, 87

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