Académique Documents
Professionnel Documents
Culture Documents
LAMIE
2042 Valley Springs Court * Powhatan, Virginia 23139
804-379-5082 * Mobile: 804-337-4179 * tl4fd794@westpost.net
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.
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 * tl4fd794@westpost.net
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!