Susan E. DuMont

** ******** *****, **** ** Morristown, NJ 07960 917-***-**** ac7322@r.postjobfree.com

Chief Compliance Officer and Senior Operations Executive – Financial Services

Operations Leader, Chief Compliance Officer, Administrative Executive, and Team Builder with over 20 years of experience in the financial services industry. Minimized risk, improved efficiency, and streamlined processes for a dually registered broker dealer & registered investment advisor by strengthening the operational and compliance foundation. Designed strategic plans, managed large-scale projects, and upgraded technologies to optimize overall operational performance. Reduced expenses by establishing new vendor relationships and renegotiating existing contracts. Developed and led first-rate teams.

Core Capabilities

Regulatory Compliance & Risk Management Strategic Planning & Project Management

Operations Management & Executive Leadership Policy Development & Process Improvement

Financial Management & Administrative Management Team Building & Human Resources

Vendor Relations & Technology Implementations Cost Reduction & Contract Negotiations

Professional Experience

GAGNON SECURITIES, New York, NY

Senior Partner, Jan. 2010 – February 2018 Senior Administrative Partner, Jan. 2000 – February 2018

Hired by this startup broker dealer to serve in the capacities of Chief Compliance Officer, FINOP, General Principal, and Registered Options Principal. Grew with the firm to assume additional key roles including Senior Administrative Partner and Senior Partner. Direct operational, administrative, compliance, risk management, financial, accounting, and human resources functions for a 24-person company. Work collaboratively with CEO and other Senior Partners to create business plans and execute strategic initiatives.

Manage day-to-day operational and compliance activities for the firm. Develop financial controls, implement accounting processes, institute hiring criteria, and enforce company policies. Assess clients’ financial strengths and risk tolerances to ensure suitability for the firm’s investment style.

Monitor trading activity, client services operations, and communications to ensure compliance with regulatory requirements, industry guidelines, and ethical standards. Act as a liaison between firm and auditors.

Perform workforce management and restructuring to minimize costs and ensure proper staffing levels. Play a key role in the recruiting, interviewing, and hiring of new personnel.

Perform ongoing management of operating systems, including new user training and report customization.

Developed a comprehensive operational foundation to support the firm’s rapid growth. Developed and implemented scalable systems, processes, and controls to minimize risk and protect company assets. Instituted policies to ensure compliance with FINRA and SEC regulations.

Instrumental in growing the firm from seven employees with $100 million in AUM to 24 employees (including 11 portfolio managers) with $600 million in AUM.

Authored a detailed compliance manual governing all aspects of the business. Planned and conducted training programs to acclimate personnel to proper trading, administrative, and operational procedures.

Worked closely with a colleague to plan and coordinate the transition from JPMorgan Clearing Services to National Financial Services, a Fidelity Investments Company. Completed two years of due diligence and a 12-month negotiation process. Improved profitability by negotiating better interest rates for firm and clients.

Provided company with a competitive advantage by foreseeing the closing of JPMorgan Clearing Corporation. Implemented new solution and managed a smooth transition with no loss of business.

Enhanced operational efficiency, minimized errors, and strengthened regulatory compliance by implementing superior technology. Achieved stability and established a long-term vendor partnership.

Susan E. DuMont Page 2

Professional Experience

GAGNON SECURITIES (Continued):

Played a key role in researching, purchasing, and implementing new automated trading and accounting system (Advent). Significantly reduced operating expenses and eliminated the firm’s dependence on outside brokerage firm. Continuously upgraded technology to ensure traders were equipped with cutting-edge tools.

Partnered with outside vendors to automate manual processes and leverage technology to optimize efficiency.

Provided company with greater control and better trading capabilities. Minimized the firm’s risk by ensuring compliance with regulatory requirements in a rapidly evolving industry.

Increased the firm’s profitability by creating a new revenue stream that generated $1.2 million annually. Founded Gagnon Administrative Services to provide a suite of needed functions to separately managed hedge fund managers. Identified and capitalized on a business development opportunity.

Established a separate company that provided legal, administrative, accounting, and client services to support portfolio managers in growing their businesses. Offered high-level, comprehensive services to internal and external clients on a revenue-sharing basis.

Enhanced communication with portfolio managers, while providing greater convenience and continuity.

GAGNON INVESTMENT ASSOCIATES, New York, NY

Operations Manager / Compliance Officer / Chief Financial Officer / Director Jan. 2001 – February 2018

Direct all administrative, operational, and compliance functions for a start-up hedge fund. Design and implement operational policies and procedures to maximize efficiency and productivity.

Facilitate the fund’s growth from $6 million to $150 million through effective administrative management. Designed new compliance program in accordance with U.S. Investment Advisers Act of 1940. Instituted anti-money laundering policies to comply with U.S. Patriot Act requirements.

Prior Experience

Gilder, Gagnon, Howe, New York, NY – Operations Manager/Trader, 1997-1999

Dean Witter, New York, NY – Operations Manager, 1996-1997

Janssen-Meyers Associates, New York, NY – Operations Manager/Assistant Trader, 1994-1996

J. Gregory & Co., Great Neck, NY – Junior Operations Manager/Trading Clerk, 1992-1994

Education & Licenses

Ashford University – Currently pursuing Bachelor of Science in Accounting (GPA: 3.97)

Licenses: FINRA Series 7, 63, 14, 9, 10, 27, 24, 4, 87 and 55

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