601 E 11th St, 4A New York, NY 10009 646.479.8816 michele@odonaghue.com






Experienced enthusiastic and driven Chief Compliance Officer with progressive expertise in SEC, NASD, NASAA, NFA & SRO regulation and compliance seeks challenging and rewarding project based contracts.

Exceptional background offering a diverse collection of strengths and expertise.


       Proven business acumen with strengths in project management, time management

       Self-starter who thrives in leadership roles as well as autonomous operations

       Exceptional analytical and proactive approaches to complex issues, resulting in speedy and efficient resolutions and effective collaborative expertise

       Adaptable and rapidly learns new processes and procedures, quickly adjusting to changes in schedule requirements, project parameters, and objectives

       Offers unparalleled integrity, initiative, resourcefulness, consistency, and diligence in achieving business objectives and both short and long term goals

       Excellent communications expertise in both written and oral formats

       Performs well under pressure, diplomatic, and discreet

       Training and management of staff, including resume evaluations and hiring processes




Consultant, SRO Registration & Compliance                                                 2005 — Present

Client List:

NYSE Euronext, Chicago, IL

Pacific Exchange, San Francisco, CA

Archipelago Holdings Inc., Chicago, IL  & NYC                                                                          


       Analyzing registration and Broker/Dealer filing requirement rules & procedures post NYSE/Amex merger with a view to achieving rule/procedure harmonization. 2009

       Managed & implemented the restructure of PCX/ArcaEX registration system to NASD’s electronic Central Registration Depositary (WebCRD). 2005/2006

       Worked closely with PCX/ArcaEx management planning the road ahead for registration post acquisition


Chief Compliance Officer                                                                                                        June 2006 — March 2008


AGS Specialists, LLC (“AGS”) NYC

(AGS is an approved SEC Broker Dealer and Member of the American Stock Exchange.

       Overall responsibility for company supervision for compliance with policies and procedures, SEC Rules and applicable law

       Responsible for establishing and implementing Written Supervisory Procedures for the Company

       Responsible for conducting Anti-Money Laundering (“AML”) audits and monitoring the company’s compliance with its AML Procedures.

       Daily review of trading activity and data in all trading accounts

       Review and monitor transactions in all employee accounts for insider trading

       Maintain and distribute company product list

       Arrange for the filing of forms BD, U-4 and U-5 through NASD's WebCRD system

       Arrange for the filing of FOCUS Reports, annual audit reports, annual ITSFEA Reports and such other forms as are required to be filed with Regulators

       Periodically review employee communication both electronic and non-electronic formats, to ensure timely execution of trades and that correspondence does not contain any prohibited statements

       Arrange for the completion and signature by all new employees, and thereafter, an Annual Certification, with respect to disclosable events, personal accounts and business activities and miscellaneous other compliance issues

       Daily review of company's net capital for compliance with Regulator requirements

       Review and approve all written agreements and contracts for the company

       Respond to all Regulator enquiries; Conduct internal reviews; Work with outside Counsel when necessary

       Represent Company and accompany all employees to all Regulator meetings and depositions


Compliance Analyst                                              February 2006 — May 2006

Nomura Securities International, Inc. NYC

       File all registration & compliance related documents, quarterlies and reports with NYSE (SIAC), NFA (ORS) & NASD (CRD)

       Process SRO registrations for Traders, Lending Representatives and Research Analysts from pre-hire through termination.

       Manage Continuing Education & Ethics Training for all employees; Proctor in-firm NASD training

       Consult with Department heads ensuring all individuals are licensed correctly; Excellent knowledge of AMEX, NYSE, NASD, NASAA & NFA licensing requirements & qualifications

       Give presentation at weekly New Hire Orientation

       Analyze & compare new account reports daily, researching and resolving inaccuracies

       Peruse industry bulletins & publications; Create & implement Best Practice Policies & Procedures



Senior Registration Analyst                                             2003 — 2005

American Stock Exchange, NYC

       Assisted in the complete restructuring of the Amex registration system to the NASD WebCRD

       Ensured compliance with Amex Constitution and Rules

       Performed cost analysis for vendors, generated reports

       Conducted financial examinations, reviewed and processed registrations and waivers, reconciled registration status with Security, Finance, and Enforcement

       Expert management of WebCRD

       Supervised summer interns, and assisted in training new hires

       Direct liaison between members, member organizations, and the NASD




*Exceptional References Available Upon Request*