Theresa T.

Lamie
2042 Valley Springs Court
Powhatan, VA 23139
(804) 379-5082
tl63213c@westpost.net

Highly energetic and accomplished financial professional with strong organizatio

nal, self-management and analytical skills seeking a senior leadership position
overseeing the development and tactical execution of business strategies and ini
tiatives that support overall organizational mission and market approach. Exten
sive experience in regulatory compliance, operations, training, project and proc
ess management applying AGILE and Six Sigma Methodologies. Ability and resource
fulness to thrive in challenging multiple mission-critical, time-sensitive proje
cts. Outstanding leadership and interpersonal skills that facilitates open comm
unication and a culture of teamwork and collaboration between cross-functional t
eams
FINRA Series: 7, 63, 65, 9, 10 - Virginia Insurance (Life, Health, Annuity)

* REGULATORY COMPLIANCE
* PROJECT & OPERATIONS MANAGEMENT
* PROCESS IMPROVEMENT
* RISK MANAGEMENT
* COACHING & COUNSELING
* MENTORING & LEADERSHIP DEVELOPMENT
* STRATEGIC PLANNING & EXECUTION
* DISASTER RECOVERY PLANNING

PROFESSIONAL EXPERIENCE
Director of Operations & Administration Regional Broker-Dealer Firm 2010
Reporting to the Chief Operations Officer - managing business operations and adm
inistrative services including supervision, training and education, job descript
ion creation, employee development and coaching, and human resources. Served as
Senior Project Manager on multiple assignments. Reviewing and analyzing existin
g Standards & Operating Procedures (SOP's) and implementing modifications to imp
rove cost and operational efficiency while mitigating risk. Managing & coordinat
ing 3rd party vendors.
* 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 superior customer satisfaction.
* Led the licensing and registration of Registered Investment Advisory Firms ope
rating under the Broker / Dealer license.
* Instituted and maintained the business continuity plan.
The regional broker-dealer, no longer able to meet the net capital requirements
of FINRA to maintain its independent broker-dealer license, closed its business
on 5/7/2010.
Director, Complex Control Officer UBS Financial Services 1994-2010
Internal promotion; reporting to Complex Administrative Manager - performing gov
ernance, risk management, and compliance (GRC), assessing risk, anti-money laund
ering (AML), fraud detection and ensuring regulatory compliance for the Virginia
Complex in accordance with Compliance Risk Policy and SOP's. Monitoring all dai
ly trading activity, advertising, marketing, seminars, and client communications
. Supervising large margin accounts including balance increases and margin inte
rest exceptions, option exposure, concentrated positions, suitability, new issue
syndicate, and insurance/annuity transactions. Reviewing, approving, and monito
ring credit lines and pledged collateral accounts. Personally resolving client
complaints and issues, addressing agency inquiries. Conducting compliance train
ing, implementing, reporting, and monitoring corrective action and heightened su
pervision. Providing liaison and data gathering in support of litigation. Cert
ifying regulatory compliance to Sarbanes Oxley (SOX).
* Ensured successful internal examination by implementing highly effective SOP's
for newly formed Complex structure
Director, Market Area Administrative Officer UBS Financial Services
Internal promotion; reporting to Regional Administrative Officer - exercising so
und judgment and decision making authority when selecting methods, techniques, a
nd evaluation criteria for obtaining results. Working complex problems where an
alysis of situations or data require in-depth evaluation. Creating and implemen
ting strategies and managing deployment teams to meet or exceed expected benchma
rks and project goals. Accountable for managing growth initiatives, guiding, mo
nitoring and reporting on new programs prior to nation-wide launch, establishing
standard procedures and policies that significantly reduced expenses and overti
me costs. Developing and implementing peer regulatory audits ensuring continuou
s preparation for successful internal and external examinations. Managing intern
al and 3rd party vendors.
Director, Market Area Administrative Officer (Continued)
Handling a full range of human resource management duties including recruitment,
supervision and management of a staff of 110+ financial advisors, 50+ support s
taff and 7 operations staff members located throughout the Virginia Market Area.
Training, guiding, mentoring and evaluating staff to improve efficiency and cli
ent satisfaction. Testing & certifying regulatory compliance to Sarbanes Oxley (
SOX). Virginia Market Area: $5.6 billion in assets and $30MM in revenue.
* Selected to serve as one of 12 PMO's on the UBS Americas National Branch Opera
tions Advisory Committee partnering with executive & senior management, departme
nt heads and product teams as a subject matter expert (SME) developing, reviewi
ng, implementing and advising on the firms creation and changes to standard proc
esses, procedures, and technology prior to firm-wide launch to ensure success; a
pplying SIX Sigma and AGILE methodology. Participant in development of annual S
OX certification requirements & training.
* Substantially saved on firm wide overtime and travel expenses by developing &
implementing new SOP's
* Achieved zero dollars in client settlements, and minimized settlement amounts
from prior management.
* Built and maintained strategic alliances, both within and outside the organiza
tion, to effectively influence and direct others to achieve business solutions.
* Pioneered remote client on-boarding of accounts with implementation of the mod
el nationwide
* Instituted and conducted peer-to-peer coaching and mentoring sessions on the m
arket area and branch level to effectuate smooth branch mergers and employee dev
elopment; process adopted firm wide.
Associate Director, Administrative Manager UBS Financial Services
Internal promotion; reporting to Executive Vice President/Branch Manager - analy
zing risk, AML, fraud detection and ensuring regulatory compliance on a branch l
evel. Monitoring all daily trading activity, advertising, marketing, seminars, a
nd client communications. Supervising large margin accounts including balance i
ncreases and margin interest exceptions, option exposure, concentrated positions
, suitability, new issue syndicate, and insurance/annuity transactions. Reviewin
g, approving, and monitoring credit lines and pledged collateral accounts. Pers
onally resolving client complaints and issues, addressing agency inquiries. Pro
viding liaison and data gathering in support of litigation. Annually certifying
Sarbanes Oxley (SOX) regulatory compliance. Managing & coordinating 3rd party
vendors.
* Led multiple successful internal audits. Achieved highest internal regulatory
examination score within UBS Americas.
* Identified investment opportunities and educated staff on new products and ser
vices to drive revenue.
* Led branch multiple years to the #1 rank for profitability in the Mid-Atlantic
Region.
* Achieved zero dollars in client settlements, and minimized settlement amounts
from prior management.
* Prepared and continually revised the annual budget, monitoring salaries, expen
ses, and travel advances.
* Trained and mentored operations, administrative, compliance, technology liaiso
ns, and branch managers remotely and during visits to other branch offices on SO
P's, mitigating risk, and sharing best practices.
* As Project Manager (PM) coordinated the refurbishing of one branch and a 75% c
onstruction expansion of another without disrupting production or client service
s with only 30 days notice.
Associate Director, Operations Manager UBS Financial Services
Internal promotion; reporting to Executive Vice President/Branch Manager - manag
ing the daily functions of the branch operations department. Serving as point-of
-contact for all IT related issues including installation, maintenance and datab
ase management. Developing and implementing user access procedures and security
systems. Experienced in transmission, broadcasting, switching, control, and oper
ation of telecommunications systems. Implementing, updating, and regularly test
ing branch emergency procedures and business continuity plan.
* Ensured successful annual internal and external examinations by implementing h
ighly effective processes and procedures.
* During the first two weeks in this role, trained & performed all operation fun
ctions while at the same time managing an internal audit examination.
Senior Registered Client Service Associate UBS Financial Services
Providing sales and administrative support to one of the region's top producing
financial advisors. Managing the automation of branch technologies. Personally
conducting a variety of trades including municipal, corporate and agency bonds,
mortgage backs, equities, options and mutual funds. Performing DTC, Federal Res
erve and Euro-clear settlements, account reconciliations and security research.
Educating and offering clients new products and services.
* Increased total revenue by 75%.
* Seamlessly transferred 99% of client portfolios consisting of corporations, in
dividuals, money managers, banks, trust departments, and qualified retirement pl
ans after a financial firm transfer.
EDUCATION
Business Coursework
University of Richmond - Richmond, VA

SKILLS & TRAINING

Regulatory Compliance, Project Management, AGILE Methodology, Governance, Financ
ial Analysis, Vendor Relations Coordination, Disaster Recovery Planning, Problem
Management, Metrics, Training, Process Improvement, SIX Sigma Methodology, Chan
ge Management, Business Analysis, Release Management, Performance Management, Co
aching & Counseling, Mentoring & Leadership Development, Principles of Banking,
Information Systems, Securities Processing, Compliance Risk Policy, Strategic P
lanning & Execution, Risk Management, Standards & Procedures, Monitoring & Repor
ting, Principles of Marketing, Fundamentals of Accounting, Operations & Process
Management, Conflict Management, Leadership Makes a Difference Program (LMDP), B
usiness Continuity