No noY

Douglas D. Wood

**** ******** **.

Keller, TX 76248

Cell Phone 817-***-****

E-Mail ad2buy@r.postjobfree.com

SUMMARY

Douglas Wood is a creative servant-hearted leader, Financial Advisor, Brokerage Operations Manager, Business Analyst, and Risk Manager. I have strong business expertise in project management, mutual fund operations, financial analysis, option trading and clearing, brokerage operations, margin (4210), reconciliations, root cause analysis, creating complex use cases/diagram improving brokerage operations and technology. I have proven capability to communicate sophisticated ideas across all lines of business building collaborative relationships. I spent 5 years on the Investment Company Institute Broker Dealer Advisory Committee working industry wide crafting improvements to NSCC mutual fund processing. I am a Six Sigma Green Belt. For the last 25 years, I have advanced to leadership positions with major brokerage firms. He finds agile solutions to challenges as a result of team collaboration while seeking out the complex to make it simple. Proficient in Microsoft applications

Linkedin

www.linkkedin.com/in/douglas.wood-52059812

PROFESSIONAL EXPERIENCE:

Advisor Group

Rate Manager 07/19/2022 to 10/13/2022

Ally-Invest

Client Associate 02/22/2022 to 07/18/2022

Trade mutual funds, equities, and CD’s. Move money and securities, IRA conversions and characterization of Roth IRAs. Answer IRA and Tax questions Process voluntary corporate actions split units update client profiles reset client passwords and add client ID,s

USAA /Schwab

Specialized Investment Representative 4/01/2019 to 6/01/2021

Trade mutual funds, equities, and CD’s. Move money and securities, IRA conversions and characterization of Roth IRAs. Answer IRA and Tax questions Process voluntary corporate actions split units update client profiles reset client passwords and add client ID,s

LPL Financial

Risk Manager 09/2014 to 10/2018

Regulatory Reporting calculated Reserve and FOCUS, 15c3-3, SEA 17a-13 {quarterly box count), short interest filings (4530), and 13F fillings. Made risk review of Audit findings and assessments of business units, designing mitigating controls and process improvements. Fully understood LPL’s regulatory position. Created Intellistor queries, Prepared written Audit finding remediation’s with rewrite of internal control policies and procedures. Manager a virtual team of associates who were in India. Risk identification and remediation. Effective communicator ensuring that key issues and risks were understood and driven to a decisive action. While maintaining strong departmental relationships.

Mentored two LPL associates and participated in Big Brothers Big Sisters.

United Capital

Senior Trader 03/2014 to 05/2014

Portfolio rebalancing, proxy voting, block trading, corporate actions, prime brokerage allocations, mutual fund trading, equity trading, and fixed income trading.

SunGard

Business Analyst 04/2012 to 12/2012

Project manager on Stream Phase3 retail brokerage platform project from design to implementation.. ACATS work-flow, cost basis reporting, mutual fund processing, and DTCC Profile II user interface/dashboard, and wealth management applications. Understanding of customer business needs and translated them into applications and operational work flows drafting business requirements, analyze and prioritize requirements; Reviewed and approved wire frames. Wrote functional specifications and business rules; Perform business process design. Created Business Requirements Documents for omnibus fee processing and mutual fund market place tool. Built and implemented a repeatable process. Developing and implementing process automation.

NCO Staffing

Business Analyst 01/2012 to 03/2012

Audited mutual fund risk and return XBRL (iXBRL) SEC prospectus filings. Data Quality Assurance testing.

TD Ameritrade

Mutual Fund Operations 01/2010 to 07/2010

Grew 100 mutual fund operations specialists and money market associates, calculated and paid SEC fair Fund corporate action distributions. Trading incident manager. Reconcile Fund/SERV and SuRPAS settlement accounts. Pro-actively interacted and communicated with institutional client managers to resolve complex issues. Reduced trade correction risks. Responsible for monthly WSP’s (written supervisory procedures). Maintained full responsibility for development of trading associates. Directed the documentation of all trading procedures. Handle complex and high risk trading issues. Reconciliation of cash and positions. Researched and resolved time critical mutual fund trade rejects.

Exception clearing and transaction processing. Used my extensive mutual fund contacts to improve working relations and resolve complex trade issues. Applied lean thinking to continually improve processes. Process 22c-2 requests. Handling complex processing and servicing of transactions including complex mutual fund trading and transfer exception processing. Supervised mutual fund due diligence and set-up. Performed human resources activities, including administering progressive discipline policies, performance reviews, call monitoring and hiring new associates.

Fidelity Investments

Senior Manager ACATS and Mutual Fund Operations 04/2007 to 12/2010

Managed 16 TOA (transfer of accounts) mutual fund operations specialists. Resolved complex transfer problems and NIGO issues. Analyzed Manual TOA cycle times and reduced transfer cycle times from 5 days to 3 days. Coached associates for performance improvement including regular 1:1s and annual appraisals. Monitored associate contra-party and client calls via NICE. Managed mutual fund trading desk operations. Resolved complex trading issues. Mitigated trading losses and managed trade risk. Created and provided regular metrics for review by senior management. Managed process change based on lean thinking. Client Services Manager. Partnered with mutual fund companies to improve business relations and reduce transfer cycle times. Trained and hired new associates. Six Sigma Green Belt, Agile and Kazan practitioner.

J.J.B Hilliard W.L. Lyons

Vice President Brokerage Operations 01/2001 to 04/2007

Managed 27 brokerage operations associates and three brokerage operations managers. Member NASD compliance Mutual Fund Breakpoint Task Force Committee.

Northern Trust Bank of Florida

Trust Operations Officer 08/1999 to12/2000

Managed and trained a team of eight securities processors.

ABN Amro Chicago Corporation

AVP Brokerage Operations –

08/1987 to 08/1999

Managed a team of mutual fund specialis Client facing Margin analyst, Clearing and Settlements, Cashiering, Corporate Actions,

Bear Stearns& Co.

11/26/1979 to 12/20/1981

Financial Advisor

Vendor Systems: Thomson Reuter's Beta systems, Pershing net360, iRebal, DTCC, NSCC FundSERV & Networking,Broadridge,SunGard,Fidelity/National Financial, DST Vision, Advisors Central, SuRPAS, Wealthscape and Streetscape.

FINRA:

Rule 4210, Reg T and Reg U 15c3-3

Member ICI BDAC

EDUCATION:

Masters of Management Science

- Indiana Wesleyan University, Management Science Major, Louiisville,Ky August 2005

Bachelors of Science

- Southern Illinois University, Carbondale, IL – Accounting Major Finance Minor

August 1993

Chartered Wealth Advisor 2006

FINRA CRD# 471907

FINRA Current 7 & 66 Historic 3 4 9/**-**-**-**-**-**

LinkedIn

https://www.linkedin.com/in/douglas-wood-52059812/

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