Manager Sales

DOUGLAS DUTY

P: 630-***-**** E: adc1dz@r.postjobfree.com M: 5617 15th Ave S Minneapolis, MN 55417

PROFILE

Financial services industry professional with major emphasis in futures, commodities, derivatives, fixed income, equities.

Deep industry knowledge in operations, markets, trading, investments, compliance, training, advisory, technology.

Excels at communicating (written and oral) effectively with internal/external clients at all levels within an organization.

Natural leader with ability to analyze situations, research options, make firm decisions, and follow through as necessary.

Consistently carries a winning, positive attitude and possesses the ability to positively motivate and inspire others.

Ability to manage execution and performance.

Excellent analytical and systems/technology aptitude. SKILLS & EXPERTISE

Relationship Management

Project Management

Account Management

Customer Success

Consulting

Leadership

Asset Management

Problem Solving

Critical Thinking

PROFESSIONAL EXPERIENCE

RSM US Wealth Management LLC Minneapolis, MN

A registered investment advisory (RIA) firm that provides financial planning, advisory, and risk management services. Senior Operations Specialist Wealth Management Operations Jun 2014 – Present

• Manage and build relationships with wealth advisory teams, custodians, vendors, compliance and clients.

• Identify and lead projects that improve processes, enhance client services and drives efficiencies.

• Portfolio accounting, asset allocation/rebalancing, reporting, data integrity, onboarding, KYC/AML. Wells Fargo Minneapolis, MN

A diversified financial services company providing banking, insurance, investments, mortgage and consumer finance. Client Service Manager Shareowner Services Feb 2010 – Mar 2012 Senior Compliance/Operations Analyst Brokerage Operations Nov 2008 – Jan 2010

Managed 12 Relationship Associates who were engaged in client support servicing.

Trained staff and clients on product enhancements and new products.

Managed the onboarding process for new clients.

Managed vendor relationships.

Increased sales and retention rates 20% with existing clients.

Reviewed and tested department’s processes and controls to ensure compliance with applicable rules.

Responded to regulators (FINRA, SEC, CFTC, NFA) informational requests. CONSULTING EXPERIENCE Nov 2003 – Aug 2008

FAF Advisors Minneapolis, MN

Provides institutions and individuals asset and money management services and is a subsidiary of US Bank. Senior Project Analyst Investment Operations Dec 2007 – Aug 2008

Analyzed existing systems (Charles River, Portia, back office applications), data structures and business processes.

Worked with business users in building detailed requirements (BRD) and supporting test scripts; assisted with UAT. DTN Burnsville, MN

Global IT solutions and information services provider. Manager, Customer Support Trading Markets Mar 2007 – Jul 2007

Managed 10 Technical Account Managers who were responsible for supporting the company’s top 100 customers.

Implemented new customer support systems, processes, and reporting to ensure high customer satisfaction levels. Ameriprise Financial Minneapolis, MN

Global financial services leader and America's largest financial planning company. Manager, Internal Control & Training Ameriprise Bank May 2006 – Feb 2007

Managed 3 Quality Analysts, 1 Compliance Analyst and 2 Instructional Designers/Trainers.

Assessed and tested the Bank’s internal control and regulatory control environment to mitigate risk to the bank.

Developed and delivered training material to Bank personnel on systems, processes and compliance regulations. Target Bolingbrook, IL

Executive Team Leader Nov 2004 – Dec 2005

Store leadership, driving sales and managing store vendor and community service programs. Fannie Mae Chicago, IL

The nation’s largest source of financing for home mortgages and is the largest non-bank financial services company in the world. Senior Associate eBusiness Sales and Support Nov 2003 – Jul 2004

Designed and delivered training materials and presentations on firm’s eBusiness products and services. FutureSource Lombard, IL

Supplies the commodities, financial futures and foreign exchange trading community with real-time market data and support. Manager Online Product Consulting Jun 2001 – Aug 2003

Managed the daily operations of an Online Product Consulting group that included 8 Online Product Consultants.

Marketed and sold internet trading solutions and increased monthly revenue from $50K to $250K in 12 months. Chicago Mercantile Exchange Chicago, IL

World's leading and most diverse derivatives marketplace. Technical Trainer Technology Marketing May 1999 – Sep 2000

Developed and delivered training courses on user functionality for the GLOBEX electronic trading platform.

Participated in end-user acceptance testing of new releases and enhancements Rodman & Renshaw, Inc Chicago, IL Feb 1991 – Apr 1999 A diversified financial services organization with operations across the world and an extensive global institutional client base. Manager, Trading Operations Futures/Commodities – FCM Apr 1992 – Apr 1999 Futures/Commodity Broker – Series 3 Jun 1994 – Apr 1999 Supervisor, CBOT Agriculture Trading Floor Feb 1991 – Mar 1992

Managed the daily operations of a futures/commodities trading desk.

Reviewed and reconciled purchase and sales statements, margins and settlements, commissions and fee processing.

Managed 30 domestic and international accounts totaling $5M.

Provided clients financial and investment counseling services on futures/commodity markets. EDUCATION

Bachelor of Science in General Studies Indiana University Bloomington, IN Certificate in Business Administration

TECHNICAL SKILLS

Microsoft Word, Excel, Visio, PowerPoint, Project, Access, Outlook, Dynamics, Charles River, Portia, OASYS, Omgeo, FIX, Hyperion, Brio, TTS, BETA, Sungard, GMI, TradeWeb, Black Diamond, Schwab, Pershing, ACATS, Murex, Calypso, Endur, Broadridge, Fiserv, SharePoint, Advent, IEX, Crystal Reports, Siebel, PortPro, Fidelity, Thomson, Reuters, Bloomberg, Morningstar, DTC, Quovo, RoboHelp, WebEx, NICE, FIS, Toad, Hogan, eMoney, CRM, PeopleSoft, Summit, Concur, SAP, SQL, AS400, Salesforce, Lotus Notes, Apropos, ACT, ACD, EDI, SPAN, GLTRADE, GLOBEX, CQG, ProphetX, TradeStation, MetaTrader, Envestnet, DU, DO, Laserfiche, DocuSign

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