Compliance Manager or Risk Manager or Operations Manager

THERESA T. LAMIE 2042 Valley Springs Court * Powhatan, Virginia 23139 804-379-5082 * Mobile: 804-337-4179 * [email protected] MANAGEMENT Operations * Risk * Compliance Dynamic, results-driven management professional with extensive experience in the development, improvement and implementation of operational processes and proced ures for the investment market sector. Possesses a solid understanding of retail and institutional trading, its products and processes. Ensures compliance with regulatory requirements such as Sarbanes Oxley. Performs analysis, develops plan s and monitors progress to mitigate risks. Provides strategy development and cre ates performance metrics. Identifies and implements process improvements that in crease efficiency and drive productivity. Conducts staff training, coaching and mentoring. Builds and leads high functioning teams in the delivery of operationa l excellence, program support and client satisfaction. Leadership * Operations Management * Investment Trades * Risk Analysis / Manage ment Regulatory Governance / Compliance * Change Management * Budget Management Internal / External Examination Preparation * Client Service * Quality / Securit y Assurance Relationship Building * Process Improvements * Team Management / Training / Coac hing / Mentoring PROFESSIONAL EXPERIENCE MICG INVESTMENT MANAGEMENT, INC., Newport News, Virginia * January 2010 - May 20 10 A comprehensive wealth management firm. Director of Operations & Administration Drove the development and improvement of operational processes and systems while identifying efficiency opportunities. Supervised operations and support staff, overseeing staff development, job description creation, and providing coaching. Acted as benefits liaison between employees and benefits provider, Administaff, providing employees with pertinent information, assisting them in communicating their needs, and connecting them to the appropriate service department. Ensured systems and hardware operated properly, troubleshooting and communicating issues to external service providers for remediation. Served as the expert and new emp loyee trainer for SmartStation, InfoMax, OpsMax, BETA platform offered through M ICG clearing agent, First Clearing. Communicated with First Clearing on escalate d matters, cost and expense containment and problem resolution, as well as new u ser set-up and entitlements for advisors. Developed private placement documents, and maintained private placement records. Monitored First Clearing reports for accuracy. Major Achievements: * Facilitated a seamless transition for newly recruited financial advisors, thei r staffs and clients with the establishment of highly efficient on-boarding proc esses. * Authored the employee handbook. * Championed and educated staff on achieving customer satisfaction. * Led the licensing and registration of Registered Investment Advisor's operatin g under the MICG Broker / Dealer license. * Instituted and maintained the business continuity plan.

UBS FINANCIAL SERVICES, INC., Richmond, Virginia * May 1994 - January 2010 A global financial services firm. Director - Complex Control Officer / Market Area Administrative Officer (2001-20 10) Managed risk, monitored daily trading activity, interpreted and educated staff o n compliance policies, consulted with brokers on non-compliance, and maintained compliance files in the role of Virginia Complex Control Officer. Certified regu latory compliance to Sarbanes Oxley. THERESA T. LAMIE * Page 2 * [email protected] UBS FINANCIAL SERVICES, INC. (continued) Delivered, monitored and drove business growth initiatives. Addressed client com plaints and agency inquiries. Provided liaison and data gathering in support of litigation. Monitored option exposure and debits in large margin accounts, revie wing and approving requests for margin balance increases and margin interest exc eptions. Implemented, monitored and drove multiple initiatives on a market area and branc h level as Market Area Administrative Officer. Supervised 38 financial advisors, 17 support staff and 7 market area operations staff members, delivering trainin g, leading performance evaluations, and addressing human resource issues, includ ing hiring and separation of immediate subordinates. Managed efficiencies and ri sk prevention. Piloted new market area and branch programs prior to firm-wide la unch. Spearheaded advisor recruitment from competitors. Processed all equipment requests, installations and maintenance. Coordinated security access for branch office. Reviewed order tickets daily, as well as incoming and outgoing correspon dence. Led the approval process for error corrections, prepayments and extension requests. Assessed and signed all new account and information forms, as well as option agreements. Maintained compliance files, office expenditures, and proces sed all bill payments. Collaborated with the Branch Manager in the performance o f sales practice responsibilities. Served as technical training coordinator, and the main point-of-contact for all branch technology issues, performing administ rative and routine maintenance on various systems, equipment, and databases. Cre ated and updated user information and system access. Assisted the branch manager with risk and exposure analysis. Major Achievements: * Identified investment opportunities and educated staff on new products and ser vices. * Saved on overtime and travel expenses while facilitating faster transfers and funds availability by implementing a process for opening new accounts from anywh ere for newly recruited advisors. * Ensured successful internal and external examinations by implementing highly e ffective processes and procedures. * Achieved zero dollars in client settlements, and minimized settlement amounts from prior management. * Successfully led multiple internal audits. * Pioneered remote client on-boarding of accounts. * Instituted and conducted peer-to-peer coaching sessions on the market area and branch level to effectuate smooth branch mergers. * Prepared and continually revised the annual budget, monitoring salaries and tr avel advances. * Trained operations, administrative, compliance and branch managers during visi ts to other branch offices. * Managed and organized the refurbishing of one branch and a 75% construction ex pansion of another without disrupting daily production or client services with o nly 30 days notice.

* Selected to serve as a member of the National Branch Operations Advisory Commi ttee. Senior Registered Client Service Associate (1994-2001) Provided sales and administrative support to the branches top producing Financia l Advisor, taking 99% of current clients consisting of corporations, individuals , money managers, banks and trust departments after branch transfer. Rolled out technology to the branch. Resolved trade issues. Developed compliance-approved c orrespondence. Calculated and monitored corporate repurchases, completed and pro cessed account documentation, IRA contributions and distributions, as well as re organization requests. Major Achievements: * Increased total revenue by 75%. * Educated and offered clients new products and services * Performed DTC, Federal Reserve and Euro-clear settlements, account reconciliat ions and security research. * Conducted trades of municipal, corporate and agency bonds, mortgage backs, equ ities, options and mutual funds. continued... THERESA T. LAMIE * Page 3 * [email protected] MORGAN STANLEY / SMITH BARNEY, Richmond, Virginia * July 1989 - May 1994 A full service brokerage firm. Senior Registered Sales Assistant Conducted DTC, Federal Reserve, Euro-clear settlements, account reconciliations and security research. Directed trades in taxable fixed income securities, gover nments, equities, options, and mutual funds for clients that included corporatio ns, individuals, money managers, banks, and trust departments. Resolved trade pr oblems. Processed client inquiries. Partnered in training of new institutional personnel. Completed and processed account documentation, re-organization reque sts, IRA contribution and distribution requests. Provided sales support and admi nistrative assistance to branches top producing Financial Advisor. Assisted with integrating recruited Financial Advisors into the firm and transferring their c lient accounts. Partnered with Operations Manager on projects. Major Achievements: * Developed new business by searching investment inventory and matching it to sp ecific client investment criteria. * Abated substantial interest compensation on large institutional trades by iden tifying and resolving trade settlement errors. * Improved others understanding of products and processes by attending a Regiona l Institutional Sales Support meeting to share creative ideas. ADDITIONAL POSITIONS VIRGINIA INVESTMENT COUNSELORS, INC., Norfolk, Virginia Administrative Assistant * Balanced client portfolios, and maintained correspondence on ~300 individual, corporate, pension and profit sharing accounts. * Recovered missing coupon payments, updated credit ratings, adjusted call featu res on bonds, and priced municipal and corporate bonds for the entire office. * Prepared and reported gain and loss statements.

SUN TRUST BANK (formerly CRESTAR Bank), Richmond, Virginia Administrative Assistant II / Registrar * Owned responsibility for various Dividend Reinvestment/Employee Stock Ownershi p plans. * Reinvested dividends on behalf of stockholders for several companies for which Crestar was the transfer agent. * Processed additional deposits, liquidation requests, and updated account holdi ngs. * Distributed and tallied proxy materials, and performed account reconciliations . * Prepared monthly and quarterly reports for corporations regarding stock and bo nd activity. * Reviewed legal documents. * Processed re-org offerings, as well as exchange and tender offers. WACHOVIA BANK (formerly Dominion Bank, Signet Bank), Richmond, Virginia Paying and Receiving Teller / DSI Operator I * Developed daily settlements, payment processing, adjustments, and audit prepar ations. * Encoded checks, proofed teller settlements, and processed account adjustments. EDUCATION Business Coursework- University of Richmond, Richmond, Virginia PROFESSIONAL LICENSES Series 7, 63, 65, 9, 10 - Virginia Insurance (Life, Health, Annuity) COMPUTER COMPETENCIES Microsoft Office Suite * Publisher * Sage ACT!