Continuous Improvement Quality Assurance

Peter Z. Smith

Honolulu, HI *****

614-***-**** mobile

Email: *********@*******.***

EMPLOYMENT

VP Compliance, Bank of Hawaii/BankOh Investment Services

•June 2022 – Current – Honolulu, HI

• Reports directly to Chief Compliance Officer as delegate for various compliance daily responsibilities.

• Creates quarterly data analysis and periodic reports for Compliance and Risk metrics.

• Focuses on continuous improvement of Compliance and Operations policies, procedures and controls.

• Responsible for day to day compliance risk functions including monitoring/reviewing Advisor recommendations, trades and sales practices.

• Worked with compliance associates and CCO to improve and strengthen transaction process.

• Helped create efficient and user friendly workflow while improving compliance and principal review.

• Regularly takes initiative to spearhead proactive operational and regulatory compliance improvements in AML, KYC, EDD, Reg BI as well as pushed to implement a Quality assurance program and various other processes.

Complex Risk Officer, Morgan Stanley

•June 2020 – June 2022 – Santa Monica, California

• Responsible for variety of supervisory, compliance, and risk functions including monitoring/implementing procedures to manage all facets of risk.

• Works closely with Legal and Compliance Division to resolve customer complaints and litigation.

• Facilitates gathering intelligence on risk with regard to clients and FAs in order to advise complex management.

• Demonstrated strong leadership capability and forged strong relationships with FAs and support staff which created strong culture of ethics.

Compliance Manager, Huntington Bank/Huntington Investments

•July 2016 – June 2020 – Columbus, Ohio

• Responsible for compliance oversight, Business strategic guidance and bank reporting for Huntington Investments Broker Dealer.

• Provides subject matter expert guidance to front line compliance for all regulatory matters. (Exams, new/updated regulation etc.)

• Responsible for maintaining Enterprise reporting management systems and creating reporting of ongoing issues, emerging risks etc.

• Tasked with developing data analysis/reporting of Investment Company activities as well as spotting various trends/patterns

• Maintains understanding of current industry trends, new products, services and political/regulatory environment to keep business advised of key developments/risks/completive trends

• Utilizes creative problem solving/critical thinking to drive compliance/influence management and compliance leadership decisions

• Reports directly to Enterprise Compliance Risk Director and provides support for high profile regulatory and compliance initiatives

• Provides compliance support to Trust, Retirement plan services, Insurance, Private banking, Capital Markets and Institutional sales.

• Attained Continuous Improvement 101 (CI101) certification to streamline workflows, improve project management and prevent risk

Risk Analyst, JP Morgan Chase

•October 2013 – July 2016 - Columbus, Ohio

• Responsible for analyzing internal/external risks and current controls for supervision of Registered Representatives

• Heavily involved in research of information about investment products and services of other major banks, brokers, funds etc.

• Developed and implemented effective Quality control weekly and monthly reporting to Centralized supervision management

• Responsible for completing Quality Control reports on weekly, monthly and ad-hoc as required by Risk and Control Self-Assessment (RCSA) for all Supervision Control systems

• Consistently strived to create operation efficiencies and streamline quality control processes

• Partnered with technology associates to create efficiencies thru standardized testing process for technology releases

• Spearheaded creation of monthly Quality Control meeting with supervision management to learn needs of managers and get feedback on implemented reports and efficiencies.

• Attained Series 4 Options principal license (March 2015)

Supervision Officer, JP Morgan Chase

October 2012 – September 2013 - Columbus, Ohio

• Responsible for daily review of trades and Financial Advisor’s activity to ensure suitability. (Delegated to review approximately 145 registered representatives in New York and New Jersey area to make sure activities complied with regulations on daily basis)

• Helped Registered Representatives understand sales rules and regulation by utilizing my knowledge of client centered sales process, securities regulations and sound judgment.

• Performed extensive research and documentation to assess suitability of trades and registered representative’s activity on multiple platforms. (Actimize, Inquiry/PRD Tool, Autonomy S6 Email review, access database, as well as MS office programs)

• Consistently maximized efficiency and increased accuracy in all Supervision job functions.

• Proactively reviewed processes, policies and procedures and added improvements to enhance supervisory functions.

• Attained series 53 Municipal Underwriting and Principal License (January 2013)

Senior Operations Associate, JP Morgan Chase

April 2012-October 2012 - Columbus, Ohio

•Responsible for reviewing email correspondence for registered representatives

• Improved email review and trained other reviewers to detect violations to Firm policy and sales practice violations

• Proactively identified improvements to review process. On an ongoing basis I recommended and implemented improvements

• Attained series 24 General Securities Principal License (October 2012)

Financial Advisor, Morgan Stanley Smith Barney

Sept 2006-April 2012 - Columbus, Ohio

•Responsibility for relationship Management and acquisition of new clients for mass affluent client base

•Developed advanced understanding of Domestic/Global Capital Markets and Economic data

• Applied research and knowledge of complex investment strategies in portfolio management

• Extensive knowledge of financial planning and investment management

• Successfully achieved client acquisition goals for target market of mass affluent clients

• Consistently a top performer in branch and Recognized as a leader and motivator for sales team

• Attained Series 66 Uniform Combined State Laws, Series 31 managed futures licenses and Annuity/Life insurance licenses

Asset Manager, STS Company

Sept 2005-Sept 2006 - Columbus, Ohio

• Daily Analysis of Investments and Strategies in Real Estate and Equities

• Organized presentation of research to Investors and board of directors

• Day-to-Day management and development of Real Estate projects

• Responsibility for general ledger and various accounting reports

• Developed wide range of business acumen while working with developers, investors and government officials

Personal Financial Advisor, Ameriprise Financial Advisors

Aug 2005, Sept 2005 - Columbus, Ohio

• Acquired Securities License (series 7) and Ohio Health, Life, and Annuity License

• Increased understanding of client acquisition through a wide spectrum of marketing strategies

• Facilitated meetings with clients to help them understand and make informed investment decisions

EDUCATION Bachelor of Science in Business Administration, Marketing concentration

Franciscan University of Steubenville Jan. 2002- Dec. 2004

INTERESTS AND SKILLS

• Currently active FINRA Series 7, 24, 66, 53, 4

• Subject Matter Expert for FINRA Series 4 and 9/10 committee. In April 2016, FINRA requested that I join panel of experts to meet quarterly to discuss Option Principal Exams and to author materials that they utilize to maintain high standards of qualification for options and sales supervision. Committee membership includes other SMEs from various banks, brokerages, funds etc. and includes exchange officers and various regulators. Meetings are held quarterly in various cities around USA

• Member of Condo Board association currently in Secretary Role with primary responsibilities for documentation and structure of meetings.

• Proficient in Microsoft office suite of programs

• Past involvement in Knights of Columbus, volunteering periodically for civic and charitable events

Contact this candidate