MICHELE L. O’DONAGHUE

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

FINANCIAL INDUSTRY COMPLIANCE SPECIALIST

OBJECTIVE

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.

MANAGEMENT PROFILE

• 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

CAREER PATH

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*