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- 1. MARK C. HITT, SR. Kennesaw, Georgia | mark.hitt@comcast.net | 770-317-6431 Retail Oversight Specialist Platinum Relationship Manager Registered Representative Vice President & Project Manager with extensive experience in the financial services industry and expertise in building and enhancing internal / external relationships in order to exceed the customers expectations and increase revenue. Possesses excellent phone presence while striving to provide the best customer service experience by taking ownership of every problem / interaction. Personable, knowledgeable, diligent, thorough, consistent and the Go To person for teammates and peers. Proactively stays abreast of current legal and regulatory landscape, including new laws, amended regulations and their interpretation and impact to the lines of business. Nationwide Guidance & Leadership Relationship Building Process Improvement Analytical/Problem Solving Regulatory & Supervisory Controls Brokerage Retail & Operations Securities/Options Trading Margin & Risk Sales Practices Literate in Multiple PC Software PROFESSIONAL EXPERIENCE E*TRADE SECURITIES LLC, Alpharetta, GA 2006-2016 Retail Oversight Specialist (2013 - 2016) Provided daily Oversight and Guidance to E*TRADE Platinum (150 Employees) & Customer Service Management and Personnel (600 Employees) in Alpharetta, Chicago, Jersey City, Salt Lake City and Tampa. Conducted and/or assisted with: site visits, compliance inspections, internal audits, SOX audits and Deloitte audits as well as other requests from regulatory agencies. Provided support, training and alignment of general regulatory sales practices, including: reviews of associate registrations and licensing, sales practices by RMs and FCs, systems permission levels, trade ticket/blotter reviews, records retention, delegation memos, credit/disbursement approval levels, correspondence reviews, business continuity plans and adherence/updates to Internal Policies & Procedures. Improved Business Practices by enhancing the balance in business and regulatory priorities to support top line growth through projects implemented (i.e., Automated Trade Blotter, Automated Email Review and Platinum Managers Handbook) resulting in 1000s of man hours saved monthly. Improved the risk culture by creating a safer environment through annual site reviews that identified policy breakdowns; conducted follow-up meetings to recap possible audit concerns, reducing strain on management and consistently reducing/eliminated findings in subsequent audits. For the first time ever in 2016 the Tampa site did not have a single finding from their compliance inspection. Accomplished measureable reduction in findings across all sites such as Disbursement Report reviews, Verification of Client (Pretext Calls), Missing Interactions, Required Licenses, Sales Training, Approval Levels and Records Management. Established working relationships and collaborated with Platinum, Customer Service, Product, Retail Learning, Business Analysis, Access Control, Human Resources, Risk, Compliance and Internal Audit among others to gather information, conduct meetings and decide on a course of action to ensure project facilitation, issue resolution and ongoing communication. Increased efficiency in managing audits, compliance inspections, risk assessments and reduced findings by assisting with the implementation and testing of 100+ business controls as part of Risk Control Self Assessment. Assisted with the Business Continuity Plans for all four Platinum sites. BCPs and all relevant data was entered into Archer for the VP of Platinum.
- 2. Successfully oversaw the off-siting, updating, reconciliation and filing of the Platinum Records Inventory for the VP of Platinum with no issues identified by Records Retention during this period. Consistently ranked between 4.0 and 4.73 on a 1-5 scale by colleagues for Competency in Strategy/Business Skills, Execution Skills, Personal Skills, and Corporate Citizenship. Platinum Relationship Manager (2006 - 2013) Supported and retained E*TRADE Securities most valuable clients through comprehensive support, product education, trade facilitation and asset gathering. Managed 350 households (could have multiple accounts) with the total average of assets held at E*TRADE being in excess of $350M. Ensured highest client satisfaction and retention rates by quickly resolving all types of trading and service related issues. Consistently rated in the top 10% of Platinum RMs by meeting and exceeding performance requirements. Developed many long standing and meaningful relationships. Continued to grow assets held by educating clients on new products and services available. Maintained an attrition rate of clients of 4% or less per year. Maintained a client satisfaction rating of 87.5% - 95% on an average of 400 inbound /outbound calls monthly. Far exceeded expectations by maintaining a broker free error rate of 100% for entire tenure. Consistently ranked between 3.71 and 4.00 on a 1-5 scale by colleagues for Competency in Strategy/Business Skills, Execution Skills, Personal Skills, and Corporate Citizenship. BANK OF AMERICA / TRUST SERVICES, Atlanta, GA 1992 - 2004 Vice President / Project Manager (1996 - 2004) Product Support & Customer Service Representative (1992 - 1995) PRIOR EXPERIENCE INCLUDES MERRILL LYNCH / Southeast Regional Ops. Center, Atlanta, GA EDUCATION Bachelor Degree in Business Administration (Finance), University of Georgia, Athens, Georgia BROKERAGE INDUSTRY PROFESSIONAL LICENSES FINRA CRD# 5086121 PRINCIPAL/SUPERVISORY EXAMS FINRA License Series 4 Registered Options Principal Exam 12/13/2007 FINRA License Series 24 General Securities Principal Exam 08/08/2007 GENERAL INDUSTRY/PRODUCT EXAMS FINRA License Series 7 General Securities Representative Exam 03/09/2006 STATE SECURITIES LAW EXAMS FINRA License Series 63 Uniform Securities Agent State Law Exam 05/11/2006 FINRA License Series 66 Uniform Combined State Law Exam 04/07/2009 PROFESSIONAL DEVELOPMENT Participated in over 500 hours of professional enhancement courses, workshops and seminars on various topics, including management, leadership and problem solving such as: Project Management Skills; Customer Satisfaction Skills; Measuring for Quality; Leadership Development; Employee Relations and Motivation; Negotiation Skills