Michael K. Smith | firstname.lastname@example.org | 630.531.1000
Managing Director and Regional Manager responsible for all aspects of the securities and banking activities within the Midwest region for three major firms: Lehman Brothers, Barclays Wealth and Citi Private Bank. Managed up to 110 registered representatives, compliance and operational staff. Supervised an Office of Supervisory Jurisdiction (OSJ). Consistently noted in audit findings for a “high level of compliance awareness with regulatory rules and firm policies.” Possesses extensive understanding of Sarbanes Oxley and SEC / FINRA regulations. In-depth understanding of investments and products & services including: Equities, Fixed Income, Mutual Funds, Investment Management, Options, Futures, Structured Products, Restricted Stock Transactions, and Lending.
INDUSTRY CREDENTIALS & LICENSES
NFA and FINRA (non-public) Arbitrator.
Series 8, 23 // 3, 5, 7, 15 // 63, 65
Citigroup – Chicago, IL (2010-2015)
Managing Director/Head of Midwest Region/Member of North American Leadership Team-Citi Private Bank
Provided leadership for Private Banking Team responsible for 125 Ultra-High Net Worth clients with $1B in deposits, $2.5B in loans outstanding, and $1B in managed investments. Overall responsibility for: compliance & audits, capital requirements, product mix, and new accounts.
Barclays – Chicago, IL (2008-2010)
Managing Director & Head of Midwest Region
Enhanced client retention following Lehman bankruptcy and began rebuilding process. Within 60 days retained 25% of business portfolio. In 2009, increased asset base by 25%.
Lehman Brothers – Chicago, IL (1997-2008)
Managing Director/Regional Manager
Directly supervised four business lines within Private Investment Management Group and Institutional Client Group across four branch offices within the Midwest region. Improved internal and external audit results due to the restructuring of existing compliance and operations teams and the integration of 33 brokers from Cowen acquisition. Simultaneously grew revenues and AUM's by 22% CAGR over 10 years to $110mm and $6.5B respectively.
Morgan Stanley – Chicago, IL (1982-1997)
Managed five-person internal team responsible for direct client coverage of UHNW individuals, family offices, institutional investors and corporations.
Kidder, Peabody & Co. – Chicago, IL (1979-1982)
Responsible for new account development and direct client management of HNW clients. Developed a specialization in restricted stock transactions.
Page 2 | Michael K. Smith | email@example.com | 630.531.1000
Merrill Lynch Pierce Fenner & Smith – Chicago, IL (1977-1979)
Prospected and opened new accounts for individual investors. Served as new issue product manager within the largest regional office.
Loewi & Co. – Chicago, IL (1976-1977)
Prospected and opened new accounts for individual investors.
E.F. Hutton – Chicago, IL (1975-1976)
Runner / Phone Clerk / Trade Checker / Floor Broker
Responsible for support of the Floor Traders at the Chicago Board Options Exchange.
Rockford College – Rockford, IL (1971-1975)
ASSOCIATIONS / COMMUNITY INVOLVEMENT
Involved in the community through past board membership and past leadership roles at the University Club of Chicago and the Village of Hinsdale, IL.