Director, VP, Executive Manager

Posted on: 2012-05-01

Trish L. Griffin

[email protected]

SUMMARY OF QUALIFICATIONS

 

Results oriented Senior Management Professional with extensive experience in Capital Markets-Municipal Securities Trading, Syndicate Underwriting, Management, Structured Products/Portfolios, Bank Compliance Examination/Enforcement- DODD-FRANK ACT- Risk Management, Consumer Protection, SWAPS, IPO’s, FED WIRE, ETF’s, Indexed Securities, Gold, Silver. Platinum, Currencies, Options, Small Business Lending, Consumer Fair Lending, Mortgages, Wealth Management, products and ideas, with broad background in finance, portfolio management, trading, underwriting and marketing operation, audit, SEC, FINRA, Federal Regulatory Compliance,OCC, SOX, BSA, AML, OFAC, CRA, Bank Examiner, Auditor, GNMA/FNMA Mortgages,  cash handling, electronic payment systems, senior management.  Business methodology is customer-centered focus, with the ability to implement best practices initiatives. Broad based relationship builder with track record of profitability growth. Offer excellent quantitative and analytical ability, and an expert command of complex issues.  Possess diverse interpersonal strengths, including outstanding communications skills, both verbal and written,  a love of responsibility and challenge.  Areas of expertise are the following: Cost, Managerial Accounting, Finance, Audit, Regulatory Compliance, Senior Management and Enforcement: NASD/FINRA Series 7, 63 Liscenses ( NYSE, ASE, PSE, CBOE, OTC ) State of IL Senior Executive Management Certified

• Member: Thompson-Reuters Westlaw- THE ROUNDTABLE GROUP - Financial Experts, ( Banking, Securities, Compliance, Market Regulation, Audit ) Washington, DC
• Recipient of Federal Appointment,- Senior Management, U.S. Dept. of Commerce

Portfolio Management · Financial and Sales  · Executive Level Presentations · Team Building and Leadership Training Employment Law/EEO · Project Management · Multi-tasking · Vendor Management · Staff Management · Process Improvement · Client Relations · Auditing · Team Leadership, Motivation · Applicant Tracking Software ·

PROFESSIONAL EXPERIENCE

 

GRIFFIN CONSULTING, Chicago, Illinois                                                                                            2008-present                                         

CEO and EVP- Independent consulting—Banking, Securities, Federal Regulatory Compliance, Enforcement, Examination, Audit, Management, Consumer Financial Protection, Fiduciary Wealth Management.                                                                                                                                                                                                                                                     

Washington Mutual BANK, Chicago, Illinois                                                                     2005-2008

6th largest bank in the United States, with total assets of 387.91 billion Dollars. Has 2,700 branches throughout the United States, and employs a full-time staff of 55,000 people. WaMu is the largest thrift and loan in the United States since 1886.

 

AVP Branch Manager ,Compliance/ Auditor, Small Business Specialist (

Responsible for the day to day managing, auditing, supervision of 10 lines of business across the bank, as well as

the management of a large staff , millions of dollars of client and U.S. Treasury money.

• Highly skilled with Small Business and HNW clients: sold and booked over 8 million dollars in Small Business Loans to clients in 2007, exceeding the goal by 600%. Extensive knowledge and training in all areas of lending: Small Business, Consumer and Residential.
• CONSISTENTLY hit goals for my branch and region across the 10 lines of business at more than 130%-170% over goal.
• Consistently passed ALLFederal and Internal Audits at 100%. Received the 2005, 2006, 2007 Regional Award: Turned 8 failed branches around to high passing audit scores.
• Built a highly successful branch and team from the ground up: #2 out of 25 branches for YTD production in the IL Downtown Region in 2007.
• Extensive knowledge in the areas Small Business Lending, Mortgage, Cash Management Products and Services, Foreign Exchange Stocks, Bonds, SEC, NASD, and Federal Banking Regulations.
• Proficient in International and Domestic Letters of Credit, Wires, and Bank Drafts.
• 2007 JD Power Award for the Best Customer Service in the Midwest.
• Successful track record in business development: specializing in Small Business and Consumer.
• Developed and implemented successful action plans to hit and exceed targeted company goals.
• Coached, trained and developed the skill-set of my team, and teams across company lines of business.

JP Morgan Chase, Chicago, Illinois                                                                                             2004-2005

3rd largest Financial Services Firm in the United States, with total assets of 1.6 Trillion Dollars. Has 3,000 branches throughout the United States, and employs a full-time staff of 180,000 people.

 

Branch Manager, Auditor

Provided oversight and mentored 15 team members to ensure goals were met, and compliance with Federal Regulation followed.  Responsible for daily review of branch production, new accounts, loans, ATM, audit, cash processing.

 

• First to successfully establish a profitable De Novo Branch in the first year of operation.
•  Acted as liaison within the banks various divisions and lines of business to achieve superior performance and customer service, growing the banks asset and client based by 150%
• Built long-term banking relationships in Chicago and throughout the United States, in addition to promoting teamwork within the bank.

 

Futures lines/Qt – information systems, inc., Chicago, Illinois                         2003-2004

CHICAGO BOARD OF TRADE

Largest Futures Trading Exchange in the world.

 

Managing Director, Financial News Anchor, Broadcast Writer/ Producer

Produced, wrote, and broadcast to a live global audience around the world-hourly financial news reports of all futures, foreign exchange, treasury, bond, grain, meat, metals and ALL global Foreign Market performance, as well as daily live interviews with CEO’s, traders, farmers, as well as  USDA, Federal and Government and G7 International Reports.

• Maintained cohesive fast paced accurate news and market team in a live broadcast environment.
• Sold global broadcast subscriptions to existing CBOT clients and new global trading partners. Increased sales by 146% YTD 2004.
• In charge of organizational flow of daily important trading platforms and world news events.
• Acted as Account Manger, Production Manager in charge of written content of news broadcasts of contacted contributors, as well as a live streaming global news wire.
• Supervised a staff of 25.

 

 

smith barney, Inc., Chicago, Illinois                                                                                          1995-2001

VP Capital Markets-Fixed Income Retail Sales and Marketing/High Net Worth Portfolio Manager, Underwriter   

Managed team of 1000 Account Managers assigned to the Retail Business Units throughout the Midwest.

Largest Financial Services Firm in the World. #8 in Fortune 500, and #4 in FT Global 500.

• Recruited by Smith Barney to turn around profitability of 50 regional offices within 14 Midwest states.
• Set and achieved goals for superior client execution and service while managing and increasing division assets by more than 25% to goal over previous year.
• Identified opportunities with new Business Units to provide client base additional products and services.
• Set yearly strategic goals for my branches and 1000 financial consultants; analyzing performance, expenses, and trading P & L.
• Managed the firms Midwest Division High Net Worth accounts: Business, Individual, Trust, Pension,
•  Corporate and Municipal Entities. Account size range: $100MM to Billions.

 

• Met specific client financial objectives through business/portfolio analysis, buy/sell/SWAP- appropriate portfolio structure and management, research, review and gain /loss tax analysis.
• Oversaw Directors Club, Chairman’s Club, and VIP broker transactions with a minimum $10 Million Portfolio nationwide.
• Provided research and industry expertise on local, national, corporate and municipal bonds as well as financial prospectus interpretation.
• Expert in NASD and SEC Compliance.
• Received many letters of recognition and commendation from clients, senior management and colleagues

 

morgan stanley Dean witter REYNOLDS. San Francisco, CA                                 1985-1995

Senior Fixed Income Municipal Liaison/Trader   

One of the Worlds Top Investment Banks, with $782 Billion Dollars under management and 48,000 employees worldwide.

Client Relationship Manager Fixed Income, Senior Trading Liaison  ( 1985-1995 )

Senior Trading Liaison between Capital Markets Retail desks nationwide and Retail Account Executives and clients West Coast Region.

•  Provided fixed income expertise and portfolio management to financial consultants and clients in 150 offices: specialize in California Markets Increased sales by 20-30% each year concurrent with market conditions.
• One of the first to successfully establish live on-air internal financial news broadcast.
• Supervised 200+ local asset managers, providing technical sales and marketing strategies to 7000 financial consultants, and their consumer and business clients nationally on a daily basis.
• Executed an average of 200 transactions daily, developed and delivered marketing ideas, sales seminars to Morgan Stanley US Team and Abroad.
• Trained team up to EVP level on Fixed Income and Municipal Bonds: Broad based knowledge and understanding of credit fundamentals/worthiness of state, local, government entities.
• Solid foundation of operations, SEC, NASD Compliance.
• Monitor departmental expenses and P & L for continued cost effectiveness.

 

  ACCOMPLISHMENTS

                  

                              Established a national market-line show for municipal bonds for internal broadcast.

                                Prepared and advertised a daily roundup of attractive offerings available.

                                Structured portfolios from 100M to $60MM for individual investors independently and

                                 in a team environment.

                                

• Acted as a mediator between municipalities and investors to address inquiries to quickly resolve concerns.
• Dealt directly with debt issuers in the process of obtaining credit ratings.
• Resolved underwriter concerns that may have impeded the sale of the issue.
• Managed new issue syndicate/sales transactions for municipal under-writings.
• Used French language and diplomacy skills to handle queries for international

                         

as well as domestic transactions.

• Contributed to 30% increase in volume and sales in a highly competitive market.
• Received over 50 letters of commendation and appreciation from colleagues and managers.

 

 

        DREXEL BURNHAM LAMBERT INC., Beverly Hills, CA                          1982-1985

                                                       

                                    Financial Consultant Associate                                                                                        

 

                                Junior partner with multi-million dollar seasoned producer. Trained in all areas of 

                                bonds, Mutual Funds, Unit Trust, Government Securities ,Treasuries, Annuities,

                                options and commodities.

                                  

COMMUNITY

 INVOLVEMENT      Northwestern Memorial Hospital, Chicago, IL                                             2000-2004                                     

                                     Director of Diversional Medical Activities (VOLUNTEER)                    

 

                                  Supervise and train a staff of 20 volunteers in patient care 5 evenings, as well as in

                                     appropriate medical and social activities customized to each patients ability and age.

                                     Responsible for150 patient beds, as well as setting the example to the highest

                                     standard of patient care and satisfaction. Interact as a liaison between Chiefs of

                                     Staff, Surgeons, Physicians, RN’s and all levels of the Organization, to achieve

                                     Superior patient care.

                                    

• Awarded program of the year 2001 by Northwestern Memorial Hospital

                                    

                                                                       

 

University Southern California, Los Angeles, California   

Bachelor of Arts:   French/Finance (Dual Major) graduated with honors Cum Laude 1982

 

 

 

Project Management Software: Microsoft Project, Microsoft Office Suite, Bloomberg, Dalnet, DTC, various trading, operational, and research systems

 

Microsoft Systems: Windows 1995-20011 Acrobat/Adobe Reader, Excel, Word, Power Point, Outlook 2010, Access, etc.

 

Personal 

• Fluent in French. Basic working knowledge of Spanish, German, Italian.