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Summary of Qualifications
Banking industry executive with a work history of consistently earning promotions.
More than 14 years of valuable, hands-on leadership experience with the National Bank of Canada.
Stellar listening, verbal communication and interpersonal skills, gaining the trust, confidence and respect of key stakeholders, including fellow executives.
Strong knowledge of the New York State Department of Financial Services (NYSBD), Federal Reserve and the Financial Crimes Enforcement Network (FINCEN).
Fluent in English and French.
NATIONAL BANK OF CANADA
July 1998-Dec. 2013
Vice President, DDA-Cash Management/Loan Operations, New York (NY) (May 2003-Dec. 2013)
Led a team of 78 personnel, including administrative managers, dispersed across Loans; Demand Deposit/Cash Management; Information Security; and Control.
Served as the main point of contact for Treasury Operations; Treasury Accounting; Information Security; Operational Risk; and General Inquiries for the Montreal office.
Supported the Senior Vice President and other senior executives with achieving the bank's strategic goals and objectives.
Helped to promote cash management service to commercial and corporate clients, and ensured the client base was compliant with the U.S. Patriot Act.
Monitored expenses to adhere to the budget and negotiated favorable agreements with vendors.
Communicated with regulators on issues affecting operations and information technology.
Acted as the primary contact with clearing banks.
Participated on various
Vice President, Operations and Administration, NY (May 2003-Dec. 2013)
Reporting to the General Manager (GM), led a team of 25 personnel, including those in the accounting and IT departments, managing salary increases and bonuses.
Interviewed candidates for employment opportunities and hired those that were an ideal fit, including a new Head of Human Resources.
Managed also the commercial loans, cash management and demand deposit departments.
Oversaw the pension and fringe benefits programs, ensuring they matched competitor standards.
Communicated effectively with internal and external auditors and banking regulators.
Ensured front office, operations and administration were compliant with the Patriot Act; that proper SAR procedures were followed and proper agencies notified; and there was EEOC compliance.
Prepared the annual budget and approved all branch expenses.
Member of the Compliance Committee and on the bank s Board for the Pension Plan and 401(k).
Ensured staff was
well-versed in laws and regulation pertaining to Anti-Money Laundering (AML), Know
Your Customer (KYC), Bank Secrecy Act (BSA) and Anti-Terrorist Training.
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Professional Experience (continued)
NATIONAL BANK OF CANADA (NBC) July 1998-Dec. 2013
Director, NBC FINANCIAL (UK), a National Bank subsidiary, London, UK (2000-2003)
Led a team and developed a business plan to introduce equity derivatives operations.
Established systems, set-up customer accounts, and managed Nostro cash balances, loans and collateral pledges.
Resolved regulatory and compliance issues, statutory reporting, defined capital requirements, counterparty documentation, taxation issues and arranged test trades prior to the commencement.
Senior Operations Manager, London, UK (July 1998-May 2003)
Oversaw trading activities, including money market, Forex, swaps, equity and derivative products.
Led complex projects related to clearing, settlements, exchanges, treasury, and custody within tightly allocated budgets, including managed settlement of all transactions in Europe.
Supervised and led middle level and back-office personnel and acted as GM in his absence.
Served as a liaison
with regulators, Inland Revenue and internal auditors.
Vice President & Manager, Treasury Settlements, UNION BANK OF SWITZERLAND, NY 1997-1998
Led 78 personnel across treasury operations, including hiring a diverse staff of personnel.
Treasury Support Manager, NATIONAL BANK OF CANADA, NY 1986-1997
Manager, International Fund Transfer Operations, WELLS FARGO BANK 1979-1985
Education and Training
Studied at YORK COLLEGE , NY and the AMERICAN BANKING INSTITUTE
Operations courses at the NEW YORK INSTITUTE OF TECHNOLOGY
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