Doris Caramello Email & Phone Number

San Diego, California, United States

• Ensured operational understanding, implementation and compliance with policies and procedures in keeping with applicable state and federal regulations.
• Work collaboratively with stakeholders on fulfilling SEC, FINRA and State examination requests
• Streamline and complete the annual Office of Supervisory Jurisdiction audits
• Develop, implement and maintain surveillance reports to review risks, trends and patterns
• 2018 Employee of the Year for Efficiency

Greater San Diego Area

• Created and staffed a centralized department to ensure a strong compliance culture to monitor compliance with applicable laws, rules and regulations.
• Completed the presentation and execution of regulatory reports and certifications to senior leadership pursuant to FINRA Rule 3120, 3130 and SEC Rule 15c3-5(e) to ensure that a system of supervisory controls are.
• Trained the staff in risk assessments and control testing in order… Show more Created and staffed a centralized department to ensure a strong compliance culture to monitor compliance with applicable laws, rules and.
• Trained the staff in risk assessments and control testing in order to spot trends, analyze deficiencies, perform root cause analysis, and follow up on remediation efforts
• Led the process of compliance policy and procedure creation, amendment, and retirement and the updating of the firm’s Written Supervisory Procedures and Compliance manuals Show less

Greater San Diego Area

• Project Manager – Conference Presentation Review
• Created a process to ensure that presentation materials adhered to continuing education requirements
• Trained the Review Staff and created a SharePoint site for tracking and reportingProject Manager – Electronic Discovery (eDiscovery)
• Completed and implemented policies and procedures including training staff, instructions to vendors, data collection, and review in additional to providing management reporting and… Show more Project Manager –.
• Completed and implemented policies and procedures including training staff, instructions to vendors, data collection, and review in additional to providing management reporting and oversight
• Developed and implemented Share Point site for eDiscovery request submission, tracking, and reporting

Greater San Diego Area

• Recruited, trained, and engaged staff in multiple locations for a number of departments including Cash Management, Retirement Accounts, Custody, Alternative Investments, Annuities, and Rep Maintenance. Responsibilities.
• Reduced Alternative Investment processing time from 3 days to 1 day with 98%… Show more Recruited, trained, and engaged staff in multiple locations for a number of departments including Cash Management, Retirement.
• Reduced Alternative Investment processing time from 3 days to 1 day with 98% adherence rate
• Scored highest in Employee Engagement for Street Side Operations
• Achieved 100% adherence to Annuities Service Level AgreementsCash Management:
• Spearheaded Kaizen events resulting in savings of 4 full time employees

Greater San Diego Area

• Supervised 90 registered representatives to ensure regulatory compliance and collaborated with branch managers and registered representatives to manage existing books of business, support growth, remove obstacles.
• Developed and implemented a recruiting strategy resulting in 75 new reps
• Contracted direct selling agreements on 45 mutual funds, 30 variable insurance companies, 6 REITs, 12 Investment Advisory firms, and 10 college 529 plans and negotiated… Show more Supervised 90 registered.
• Contracted direct selling agreements on 45 mutual funds, 30 variable insurance companies, 6 REITs, 12 Investment Advisory firms, and 10 college 529 plans and negotiated contracts with vendors such as Iron Mountain and.

Greater San Diego Area

• Evaluated client needs by partnering to drive growth and reduce expenses through in-depth knowledge of client’s business and presentation of new products, workflow analysis, and system integration.
• Partnered with clients and senior management to realize strategic and financial objectives such as 100% client resign rates
• Provided quality customer service to clients by acting as liaison between all business units
• Worked with product development to create, implement and test new… Show more Evaluated client needs by partnering to drive growth and reduce expenses through in-depth knowledge of client’s business and presentation of.
• Worked with product development to create, implement and test new products Show less

Greater San Diego Area

New York, London, Frankfurt

• GOLDMAN SACHS & CO ASSET MANAGEMENT, New York, NYVice President/Operations Manager – US & Latin American Equity OperationsRecruited, trained, and motivated 5 departments and supervised the administration, portfolio.
• Managed new account set up of 15 mutual funds, 100 high net worth, and 45 institutional clients
• Member of the Technology Enhancement Team that implemented 3 portfolio accounting systems… Show more GOLDMAN SACHS & CO ASSET MANAGEMENT, New York, NYVice President/Operations Manager – US & Latin American Equity.
• Member of the Technology Enhancement Team that implemented 3 portfolio accounting systems conversions, which resulted in consolidated reporting and streamlined processing
• Project Manager of the Securities Industry Association Y2K test team and the Custodian Bank ReviewGOLDMAN SACHS INTERNATIONAL, London, England Manager – Global Equity New Issues, Syndication & Trade Support.
• Structured over 50 US and international equity Initial Public Offerings (IPOs) and syndicate transactions including Germany’s SAP, Hong Kong’s ASIASAT, and England’s British Sky BroadcastingGOLDMAN SACHS & CO OHG.

Executive Education Program, Leadership In The Global Enterprise

Masters, International Management

European Business School, Oestrich-Winkel, Germany

Bs, Finance, Real Estate & Business Law

Activities and Societies: Pi Sigma Epsilon Universitaet Tuebingen, Tuebingen, Germay