388 Ramsey Road – Yardley, PA 19067
Home: 215-321-0764 Cell: 215-499-6986 email@example.com
Manager with combination of mid-level management experience, business-application experience, technology development experience, financial services industry experience, and registrations. Specific strengths include (1) managing more than 150 employees in branch offices and service centers; hiring, reviewing, appraising, and mentoring employees who have gone on to a successful promotion track throughout their careers; using my strong interpersonal skills to resolve employee-related issues and to motivate employees, (2) developing the business requirements for sales and brokerage applications that enhanced productivity and reduced errors; managing the creation of user friendly interface screens that require little to no training; developing polices and procedures for all applications; tracking usage of all applications to ensure end user acceptance and on-going growth; managing professional relationships with vendors; making “go, no go” decisions during systems development and testing, and (3) managing operations functions, compliance issues, legal reviews, program and personnel budgets, cost, reduction, risk reduction, and process improvement programs (Six Sigma).
Broad Based Business Experiences
Successful Record of Accomplishment
Attention to Detail and Regulations
Work Across Divergent Work Groups
Multitask in a Fast Paced Work Place
Implement Tactical Solutions to Resolve Unexpected Scenarios
Strengths based on a Gallup Strength Finder Assessment of Abilities Report (9/ 2006)
Consistent and Fair
Executive Education Program, Understanding Challenges and Issues in the Financial Services Market Place
Wharton School, University of Pennsylvania, Philadelphia, Pennsylvania
Training Programs: Leading in a Diverse Organization, Team Building, A Matter of Respect, Advanced Manager Development, Administrative Manager Development, Service Center Management, Operations Management
Merrill Lynch Management Programs (1975 to 2000), New York City, New York
Bachelor of Science – Social Sciences and Secondary Education
Old Dominion University, Norfolk, Virginia
Financial Services Industry Registrations:
Series 7, General Securities Registered Representative
Series 8, Securities Sales Supervisor
Series 65, Uniform Investment Advisor Law Exam
Project Manager and Business Technology Liaison
Merrill Lynch, Princeton, New Jersey, 1998 – 2009
* Developed the vendor business requirements for the branch office; developed network workstation for trading, news, market data, research, tools, and workstation utilities. As a member of the selection committee, reviewed vendor prototypes and recommended the eventual winning firm.
* Contributed to the firm’s bottom line as the Business Manager for three Six Sigma projects resulting in cost reductions, risk reductions, and improved processes.
* Enhanced productivity by creating the business requirements for the network workstation for multiple order entry; reduced errors with the creation of business requirements for trading applications equities, options, and mutual funds; generated sales recommendations from the development of business requirements for product screeners for equities, mutual funds, and closed end funds.
* Received recognition awards for outstanding performance.
Branch Office and Regional Administrative Manager
Merrill Lynch, Newark, and Princeton, New Jersey, 1986 – 1997
* Managed more than 150 employees, budgets, office compliance, legal matters, and regulatory situations for the 10th largest office in the firm, resulting in the achievement of the highest compliance ratings, the lowest expense ratio in the firm, and three promotions.
* Selected as a member of the firm-wide strategic task force initiatives to develop streamlined workflows, reducing recurring expenses.
Business Analysis Manager
Merrill Lynch, Princeton, New Jersey 1986
* Selected as the firm’s representative to a McKinsey & Co. study of trade error costs originated at branch offices. Because of the study, error costs were attributed to home office, sales groups.
Service Center Manager
Merrill Lynch, Washington, District of Columbia, and Cincinnati Ohio 1981 – 1985
* Managed all Operations Managers in the sales region; established and enforced training standards to create a more professional first level management team.
* Created regional lock-boxes to speed the credit of client funds and initiated a direct bank deposit process with local banks for same day credit of funds.
* Developed a cross-training program for all service centers, initiated a national duplicating and coping contract. Because of the success of these programs, I was promoted.
Operations Manager and Trainer
Merrill Lynch, Washington, District of Columbia, and New York City, New York 1973-1977
* Within two years promoted to Operation Supervisor and then to Operations Manager.
* Selected for Branch Office Management Program, earning the highest ratings in the program.
* Created the firm’s first survey of quality services of the Operations Division resulting in improvements to branch office operations and service support.
* Selected as a Home Office Class Room Trainer, and earned a 100% success rate.
Business Manager and Contract Administrator
Sigma Consultants and VSE Corporation, Virginia Beach and Alexandria, Virginia 1978 – 1981
* Negotiated government contracts; responsible for accounting and personnel functions.
References are available upon request.