Christopher M.

Bahle
14965 Himebaugh Avenue
Omaha, NE 68116
Telephone: 402.578.9049
E-Mail: HYPERLINK "mailto:cb7fbe6e@westpost.net" cb7fbe6e@westpost.net
Objective
I am a proven and effective manager who is looking to utilize my experience and
skills to assist the right organization succeed in meeting their goals.
Qualifications
Project Management, Risk Management, and Operations Management
Experience
Manager AML/Surveillance, Securities America Inc., Omaha, NE a" 01/2008 a" 05/20
10
Managed the daily work activities of the Anti-Money Laundering and Surveillance
teams
Created 20 surveillance reports to identify and mitigate risk associated with ad
visors and their business practices
Influenced changes in high risk sales practices and consulted with business part
ners on surveillance related issues
Implemented controls in the form of transaction monitoring rules and reports to
detect money laundering across the various business models for 2,000 independent
advisors
Developed trending metrics and management reporting related to suspicious activi
ty
Handle complex and/or escalated AML issues
Interact with regulators or government agencies regarding AML issues
Responsible for conducting annual Board of Directors AML training and reporting
relevant statistics
Create and deliver AML training to Board and ensure they have an understanding o
f the risks associated with our business controls for mitigation
Report statistics to support the controls in place to mitigate money laundering
risk
Created and delivered annual firm wide AML training
Presented AML training at annual national advisor conference
Created scenario based annual and new hire AML training required by all in the f
irm to complete
Perform annual AML risk assessment of Securities Americaas products and services
Review products and services offered by the firm to measure how they can be util
ized for money laundering and create controls to mitigate the risk
Present the AML risk assessment to the AML Steering Committee and Board of Direc
tors on an annual basis
Manager Active Trader Sales/Support, TD Ameritrade, Bellevue, NE a" 10/2007 a" 1
2/2007
Built and recruited top talent for the Active Trader team
Support associates and clients in gaining knowledge in areas of technical analys
is and product support
Create and implement service to sales initiatives
Develop, coach and train associates on understanding meeting client trading habi
ts and needs
Serve as a subject matter expert on active trader trading tools
Work on cross functional project teams for enhancing client trading tools and id
eas
Communicate effectively with all levels of the organization on progress of the t
eam in regards to service levels and assets gathered
Manager, Technology Support, TD Ameritrade, Bellevue, NE a" 02/2006 a" 10/2007
Ensure highest level of service provided to internal and external clients
Recruit and staff department of 20 associates effectively and appropriately
Develop, coach and train associates to meet their personal development objective
s
Serve as business unit subject matter expert and a point of contact for projects
Identify potential impact to clients and associates when issues arise
Demonstrated effective communication and relationship building with areas of the
operation such as Systems Management, Operations and the Technology group
Branch Manager, TD Ameritrade, St. Louis, MO a" 08/2005 a" 02/2006
Provide superior service and build relationships with local area clients
During the first 4 months of operation we opened 35 accounts and gathered $4 mil
lion in assets
Educate walk-in and phone clients on the benefits of TD Ameritradeas local branc
h
Manage all aspects of the branch including quality evaluation of members, comple
tion of trade, check/stock receipt and advertising blotters
Communicate with Operations on better training and support for branch offices, i
ncluding assisting the call centers with providing our clients with better servi
ce
Collaborate with other branch managers to find operational efficiencies
Senior Representative Technology Support, TD Ameritrade, Bellevue, NE 06/2003 a"
08/2005
Aggressively support phone representatives in answering complex client inquiries
Collaborate with team manager in the day to day operations of the team
Delegate work flow to associates to assist in improving processes
Schedule team meetings, training and other activities to accommodate appropriate
queue coverage
Coach and mentor team members according to their personal strengths and weakness
es
Research, track and communicate issues which impact the client experience to tea
m members, Operations, and the Command Center to ensure timely resolution
Become subject matter expert on services and products offered to ensure proper t
raining
Subject matter expert on Advanced Analyzer serving as a resource and central poi
nt of contact for the call center
Won the AMTD award for my achievements as a Senior Representative and training t
hroughout the call center
Developed a training program for new technology support representatives to be pr
epared to take phone calls in a shorter period of time
Manager, Wine & Spirits/Store, Bakeras Supermarkets, Omaha, NE 12/1998 a" 03/200
4
Ordered wine and spirits for two assigned stores with average sales in excess of
$33,000 per week
Delivered corporate training programs to all store managers and associates to in
crease store knowledge of product offering and better service to customers
Recommend and handled special customer requests
Developed and executed merchandising plan to increase wine and spirits visibilit
y throughout the store resulting in increases sales
Exceeded labor, profit and sales goals on monthly and yearly basis earning Outst
anding Sales Award 2 years in a row

Education
University of Nebraska at Omaha a" Bachelor of Science in Business Administratio
n - 2001
Major: Business Management
Professional Memberships
FINRA Series licenses a" 7, 24, 63, 66
CAMS (Certified Anti-Money Laundering Specialist
Membership/Associations
Bobcat booster club
Heartland Family Services