Manager Project
Resume:
Jonathan R. Tracy
* ****** ******, **** *, San Francisco, CA 94103 C: 415-***-****
**************@*****.***
PROFILE
Accomplished Director of Client Services and Compliance, adept at building
new businesses and departments, with a focus on high net worth clients.
Skills include:
o Collaborating across organizational boundaries with all levels of
management and staff to achieve goals
o Managing operational and regulatory risk by improving workflows and due
diligence processes
o Certified Anti Money-Laundering Specialist (CAMS)
EXPERIENCE
O'Paws LLC, San Francisco California 6/02 to Present
Founder and Managing Partner
o Created San Francisco's first premier boutique bed and breakfast and
day care for dogs, cultivating O'Paws brand as upscale bed and
breakfast and day care for dogs
o Designed and implemented web-based marketing plan for boutique dog au
pair program, retooled in 2010 to address fundamental shift in market
usage and demographics
o Consistently grew revenue 15+% year over year
o Designed and implemented Standards of Care and Service, several that
changed industry standard practice in San Francisco
o Advised Supervisor Scott Wiener, his office and San Francisco Board of
Supervisors in drafting and passage of San Francisco's Dog Walker
Permit Ordinance 2012
Silicon Valley Bank/Alliant Partners, Santa Clara, California 10/01
to 5/02
Compliance Officer
o Director-level position hired to develop compliance and audit
infrastructure for broker/dealer/RIA
o Developed and implemented division staffing model
o Prepared all RIA filings, advisor policies, procedures, and internal
controls
o Managed transition of $10 billion in client assets to bank
broker/dealer subsidiary
o Managed staff of three compliance specialists and compliance
contractors
10x.com, San Francisco, California 10/00 to 12/00
Compliance Officer/Director of Client Services
o Senior member of product marketing and development team
o Prepared all operational policies and procedures for broker/dealer and
registered investment advisor, marketing and advertising review
o Prepared all registered investment advisor policies, procedures,
internal controls and board of director code of conduct; compliance
representative for board of directors meetings
meVC.com, Inc., San Francisco, California 12/99 to 7/00
Director of Client Services/Director of Compliance
o Managed staff of three business development representatives
o Developed and implemented policy and procedures for closed end mutual
fund and registered investment advisor
o Designed and implemented ongoing employee training and education
program
o Senior member of product marketing development team delivering first
closed end, exchange traded venture capital fund (NYSE symbol: MVC)
JONATHAN R. TRACY **************@*****.*** ? 415-***-**** PAGE 2
EXPERIENCE, continued
BankAmerica Securities, L.L.P., San Francisco, California 2/99 - 12/99
Senior Manager, Regulatory Reporting, Brokerage Operations
o Established regulatory reporting department, designing process flow
and procedures for abandoned property, extensions, records retention
and letters of free funds departments
o Managed and trained staff of 10 compliance and operations specialists
o Designed and implemented cross-departmental communications and
interface
National Regulatory Services, Inc., Oakland, California 3/98 - 1/99
Associate - West Coast
o Established West coast office for firm providing regulatory consulting
services for registered investment advisors
o Identified and developed new relationships with registered investment
advisors and broker/dealers
Charles Schwab & Co. Inc., San Francisco, California 4/90-9/97
Senior Compliance Analyst - Schwab Institutional
o Designed and implemented cost reduction project, acting as project
lead for Schwab AdvisorSource, streamlining process and backlog of
advisor applications
o Developed organizational work flows for Schwab's AdvisorSource and
registered investment advisor surveillance
Manager/Supervisor - Affluent Customer Enterprises
o Managed, trained and motivated 12 business development specialists
o Participated in planning, development and implementation of new
policies, procedures and operational guidelines for Schwab
AdvisorSource and Signature Services Pilot
o Developed and implemented strategic marketing plans for department
o Exceeded asset aggregation goal six consecutive quarters
Control Analyst/Project Manager - Schwab Institutional
o Developed organizational workflow to reengineer prime broker due
diligence. Presented key findings and business recommendations to
management team which eliminated six-month backlog
o Managed and developed internal communication pieces and managed
approval process for registered investment advisor seminars
EDUCATION
M.B.A., University of San Francisco, San Francisco, CA, Marketing and
Finance
B.S., University of Pittsburgh, Pittsburgh, PA, Economics and Psychology
LICENSES (Inactive)
General Securities Principal (Series Investment Manager Examination (Series 65)
24) Uniform Securities Agent State Law Exam
General Securities Sales Supervisor (Series 63)
(Series 8)
General Securities Examination
(Series 7)
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