Professional Experience Sales
Resume:
Mark De Angelis
Newark, Delaware *****
*********@*****.***
Qualifications Profile
Analytical and skilled compliance professional with solid experience interpreting brokerage and investment advisory regulations and developing policies for global financial service firms.
Expertise in SEC and FINRA rule analysis combined with ability to identify process improvements and institute corrective action plans to enhance operational effectiveness.
Solid communication skills harnessed from conducting due diligence meetings with asset managers, briefing senior management on sensitive matters, and delivering training to other constituencies within the organization.
Adept at balancing business acumen with compliance requirements to integrate optimal solutions that maintain market competitiveness for the organization.
Effective interpersonal skills; foster and fortify partnerships with executives, regulatory agencies, and across departments.
Strong project management talents; capable of leading teams to complete complex projects subject to rigorous standards and strict time constraints.
Professional Experience
MORGAN STANLEY WEALTH MANAGEMENT (WM), Wilmington, Delaware
Vice President, Legal & Compliance Division, 2008 Present
Provide compliance guidance to business units that facilitate brokerage and investment advisory services for a prominent multinational financial services corporation with $2+ Trillion in AUM. Collaborate with key stakeholders on developing and implementing wide array of digital marketing strategies to generate new revenue sources while also meeting regulatory and policy requirements. Serve as chief compliance officer (CCO) and deputy CCO for organization’s proprietary UIT and mutual funds (“Funds”), respectively. Author policies, training modules, and SEC-mandated reports.
Directed all aspects of WM’s proprietary UIT series compliance program from inception in 2014 to current AUM level of nearly $1 Billion.
Spearheaded project to re-engineer the written supervisory procedures template for 80+ business units/product areas; integrated regulatory requirements with Morgan Stanley and WM policy directives for communications and public appearances.
Authored key training or policies, inclusive of CAN-SPAM Email Compliance Training, Series 24 Registered Principal Training, Consolidated Reports Policy, Telemarketing Training, and Translations of English Communications to Foreign Languages Policy.
T. ROWE PRICE, Baltimore, Maryland
Manager, Investment Compliance, 2006 2008
Researched and analyzed wide-ranging compliance alerts, warnings, and statistical data for retail, institutional, and proprietary accounts to help ensure compliance with federal securities laws. Conducted risk assessments and annual overview of compliance program and implemented corrective action plans to remediate deficiencies. Presented results and recommendations to key decision makers on topics inclusive of regulatory developments, process improvements, or staffing. Supervised five-member unit while managing projects integral to Legal & Compliance Division.
Mentored direct reports and support staff; ensured adherence to critical deadlines and achievement of departmental project objectives.
FINRA, Rockville, Maryland
Investigator, Market Regulation, 2002 2006
Analyzed trading of listed and OTC equities in area of responsibility for indications of market manipulations or volatile activity in violation of relevant rules. Compiled and organized information from a variety of sources to facilitate investigations and potential enforcement actions.
Demonstrated exceptional teamwork and communications skills working across departments to pursue disciplinary actions resulting in over $100k in in fines.
Senior Analyst, Advertising Regulation, 1999 2002
Conducted regulatory reviews of FINRA members’ communications with the public and assessed consistency with applicable SEC and FINRA rules. Investigated complaints relating to advertising and sales practices. Authored referrals for Enforcement Division and executive stakeholders.
Educational Background
Bachelor of Science
TOWSON UNIVERSITY – Towson, Maryland
Credentials
Series 24: General Securities Principal
Series 66: Uniform Combined State Law
Series 9/10: General Securities Sales Supervisor
Series 87: Research Analyst Examination (Part II)
Series 7: General Securities Representative
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