Jeanette Smith Jeanette-smith@comcast.

net 707-935-3336 415-710-8636

Senior level banking and brokerage professional with proven success in client service/compliance and operations. Skilled in high touch service to wealthy clients, risk management, FINRA/SEC/BSA/AML compliance, Call Center management, and the flexibility to do more with less. I regularly challenge the status quo, continually seek to strengthen controls and efficiencies, and surpass client expectations. Licenses 4,7,8,24,53,66 Experience/Accomplishments First Republic Bank August 2007 January 2012 Vice President of Operations- responsible for all areas of operations including : onboarding of new portfolio managers and brokers, compliance with applicable regulations and rules for employee accounts and activities, new accounts, cashiering, transfer of accounts, settlements with clearing firm, alternative investments administration, and call center management Passed all internal, external, and regulatory exams with no findings from 2007 through 2011 Through attrition, built a team of high energy, productive staff dedicated to providing spectacular client service Managed operations team through unprecedented growth, 91% in new accounts alone from 2010-2011, with no additions to staff Upon hire, reorganized entire operations area to improve workflow, risk exposure, operating efficiency and audit results Managed team through 2 acquisitions of the firm with no impact on service levels Provided full service support to affiliated and outside RIAs Successfully negotiated with clearing firm for permanent processing exceptions for RIAs Charles Schwab & Company June 1992 January 2007 Director of Operations- 2000 to 2007 -responsible for the management of the Employee Branch. A $5 billion full service office dedicated to serving the employees, their families, and former employees of Schwab. Partnered with Compliance to ensure policies were followed and regulatory requirements concerning employee account activity was appropriate Successfully launched several pilot products to employees before making them available to clients

Jeanette Smith

Jeanette-smith@comcast.net

707-935-3336

Ran a very successful campaign to have employees and family members transfer their old 401K accounts to the branch Managed the branch and our internal clients through several reductions in force, helping people transition out of the company Worked directly with all levels of Schwabs management for their brokerage account needs Director of Operations Administration -1998-2000 Responsible for a team of project managers and trainers dedicated to providing support to the Regional Operations Centers across the country. Director Cash Control 1996-1998 Responsible for managing the centralized department that handled all incoming checks and wired funds to Schwab, all checks to be issued and mailed, stop payments, reconciliation of bank accounts, and a call center, with a staff of 60+ Manager Transfer of Accounts- 1992-1996 Responsible for the department that handled all client account transfers into Schwab from other brokerage firms and banks, and all transfers out of Schwab. At the peak of activity the department had a staff of 60+ Westamerica Bank 1984-1991 Vice President Regional Administrator- Responsible for heading the Customer Service Manager(CSMs) team in Marin County. Accountable for all areas of branch operations, mentoring the CSMs in sales referrals, compliance, audit readiness, and client service. Vice President Customer Service Manager-Responsible for managing the day to day operations of the main office including ensuring high levels of customer service, hiring, scheduling, budgeting, training, compliance with regulatory and internal policies, generating sales referrals to account officers, audit readiness

Professional and Personal references available on request