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 established, maintained, tested and amended when appropriate •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 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 established, maintained, tested and amended when appropriate •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 – 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 oversight•Developed and implemented Share Point site for eDiscovery request submission, tracking, and reporting•Managed day to day eDiscovery requests coordinating with legal departments, outside counsel, vendors and the firm’s internal IT group Show less

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 included performance reviews, budgeting, forecasting, variance review, resource planning model analysis, and applying LEAN principles to improve productivity and efficiency.Direct Business:•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 Accounts, Custody, Alternative Investments, Annuities, and Rep Maintenance. Responsibilities included performance reviews, budgeting, forecasting, variance review, resource planning model analysis, and applying LEAN principles to improve productivity and efficiency.Direct Business:•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•Reduced Retirement Accounts cash disbursements processing time from 3 days to 1 day•Cut Check Writing application processing time from 3 days to 1 day•Decreased Cash Management error rates from 3% to .5% through quality control standardization and staff empowerment•Partnered with IT on system improvements and implementation of technology enhancements such as Check 21 automated check deposits, eliminating 5 day check holds and increasing cash availability. Show less

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, review trends, and resolve issues.•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 representatives to ensure regulatory compliance and collaborated with branch managers and registered representatives to manage existing books of business, support growth, remove obstacles, review trends, and resolve issues.•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 contracts with vendors such as Iron Mountain and Thomson Financial Show less

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 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 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 accounting, reconciliation and reporting of approximately $33 billion in assets.•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 OperationsRecruited, trained, and motivated 5 departments and supervised the administration, portfolio accounting, reconciliation and reporting of approximately $33 billion in assets.•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 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 OperationsManaged all aspects of stock exchange and client stock distributions and payments in addition to preparing all stock and cash reconciliation working with legal and executive staff internally and externally to ensure effective and efficient new issue allocations and closings.•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, Frankfurt, Germany Manager/Analyst – Equity Operations, Global Stock Clearance & Client ServicesRecruited, hired, trained, reviewed, and motivated 11 employees and managed all aspects of German trade processing, matching, stock settlement, and reconciliation including physical shares, proxy voting and asset servicing.•Analyzed all aspects of German equity brokerage practice including regulatory, compliance, credit, treasury, sales, and trading restrictions and requirements•Developed and implemented policies and procedures to satisfy internal and regulatory compliance requirements Show less

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