Harold E. Jones Email & Phone Number

Healdsburg, CA, US

Windsor, CA / Santa Ana, CA

Alameda, CA

• Directed the firm-wide enforcement of all federal, state and company compliance programs that include the Investment Advisor Act of 1940, Investment Co. Act of 1940, SEC Act of 1934, AML/BSA, Securities Trading.
• Conducted monthly and quarterly company wide audits that includes reviewing all trading activity (clients & employees), policies & procedures, client & employee account data, PC asset reporting, proxy voting results.
• Responsible for corporate auditing & reporting of Rule 22c-2, 13f quarterly holdings, NPX proxy voting, & N-Q filings
• Refined firm’s compliance manual and trading policies to better reflect the uniqueness of our business’s compliance responsibilities
• Evaluated all custodian, sub-advisory, and solicitation agreements, broker relationships, trade executions and commissions
• Managed proxy voting vendor relationship with RiskMetrics/ISS, maintaining Phocas’ proxy voting system; improved overall quality & efficiency of client voting process by enhancing account proxy holding reporting methods

Petaluma, CA

• Created and managed multiple departments: Compliance, Quality Control, Internal Audit, Fraud, Risk Management and Loss Mitigation reporting directly to the President and Board of Directors. Responsible for all fraud.
• Manage multiple departments: Compliance, Quality Control, Fraud, Risk Management, Loss Mitigation & Broker Approval
• Designed, implemented and maintain companies initial department programs, policies and procedures; ensuring all business units comply with federal, state, and local regulatory requirements
• Developed and implemented initial company wide compliance training programs focusing on compliance, quality control, industry fraud, internal auditing, and all federal and state regulatory guidelines which include.
• Created new Compliance and Quality Control reporting standards and communicated findings monthly to Executive Committee and Board of Directors
• Responsible for all Fraud investigation, analysis, and reporting. In 2006 successfully managed 11 fraud cases which resulted in a recapture of over $3million;

San Rafael, CA

• Responsible for all compliance, quality control and branch audits and enforcing strict adherence to Corporate, State and Federal regulatory compliance and fraud guidelines.
• Responsible for compliance and overall loan quality, strict adherence to Corporate, State and Federal Regulatory Compliance and Fraud guidelines. These included: Reg B – Equal Credit Opportunity Act (ECOA), Reg C –.
• Lead successful project, which in six months decreased branch compliance and fraud error rates by 95%, increased staff productivity by developing and implementing new operational processes which lead to a number one.
• Developed branch’s first Internal Compliance and Fraud Audit Report, a tracking system that analyzed all potential compliance & fraud issues
• Initiated and designed branch’s first ongoing compliance training program, a specific training program and coaching methodology for new and transitioning employees; Presented branch trends and quality improvement.

San Francisco, CA

Directed the Product Development of the Schwab Access cash management account for affluent clinetle in addition to managing Corporate & Client Training, Website development & implementation, & product features like: Schwab Access VISA debit card, checking, Moneylink and online bill payment

San Francisco, CA

Managed 80% of Schwab’s marketing & customer activity letter communications (approximately 8 million per year) that included management of all new letter development projects such as letter/marketing/collateral/statment enhancements, project planning/design, user acceptance testing, troubleshooting, implementation and production support. Internal Business.

San Francisco, CA

Responsible for managing Divisions $340 million portfolio for our affluent clientele; developed a risk management programs, implemented new user technology (Bloomberg and personal computers), manged team of 7 specialists.

San Francisco, CA

Developed and implemented market-forecasting strategies to assess potential growth areas in competitive U.S. markets for Fortune 500 companies; consulted and advised Corporate Market Research Directors, Real Estate brokers, and shopping center developers prior to entering into major U.S. markets; Exclusive clientele included Safeway, Albertson’s.

Pocatello, ID

Started company with two business partners to produce a local salad dressing for regional & national distribution.

Bba, Management And Organizational Behavior

Community Service Program