ELIZABETH A. HANLEY
Westford,Massachusetts
Summary
Dynamic Complex Operations Manager at Janney Montgomery Scott, LLC, specializing in compliance management and operational oversight.
Client Associate with background in providing exceptional client service within high-paced, demanding environments. Possess strong skills in relationship management, strategic planning, and team collaboration. Known for going above and beyond to ensure client satisfaction and retention. Previous role involved streamlining processes to improve overall efficiency and productivity.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Senior Registered Private Client Associate
Janney Montgomery Scott
Boston, Massachusetts
09.2024 - Current
- Assisted clients with account inquiries and service requests.
- Maintained accurate client records using internal management systems.
- Supported financial advisors in preparing client presentations and documentation.
- Obtained Business Productivity Specialist designation in 2025
Complex Operations Manager
Janney Montgomery Scott, LLC
Boston, MA
06.2022 - 09.2024
- Manage operations across 4 New England offices for the Boston Complex
- Manager of Private Client Associates for all Boston Complex offices
- Works directly with Boston Complex Management to ensure all FINRA rules are followed and all FAs are in compliance.
- Spearheads all PCA training
- Responsibilities also include quarterly compliance visits to each office within the Complex
- Arranges all Complex seminars, client events, wholesaler visits and PCA monthly Webex meetings
Senior Registered Client Associate within The McPhee Group
JP Morgan
Boston, MA
06.2010 - 06.2022
- Execute client orders in diverse products from equities to fixed income, currency transactions, ESOPs, restricted stock sales
- Mastered product-specific applications, built relationships with trading desks, ensured completion of necessary trade documentation and timely execution reporting to clients and handled all fails
- Serve as liaison between sales team, branch management, compliance and various other business units throughout the firm.
- Work with Client Onboarding to ensure the Group's daily work volumes are prioritized, within established deadlines, and in accordance with existing policies and procedures such as KYC and AML.
- Establish and maintain the following types of accounts: brokerage, Alternative Investment accounts (OMNI), Deposit accounts, Mortgages, Lines of Credit; HELOC and LOCs and Venture Capital Funds
- Review client account activity on a daily basis to ensure overall accuracy, proper settlement of transactions and reconciliation of sales credits and fees.
- Work closely with top tier Venture Capital firms in Massachusetts, California and beyond. Specifically healthcare and Life Sciences VC's. We team with them on Exits, provide guidance on restricted stock positions, set up 10b5-1 Sales Plans on their behalf and handle stock distributions.
Registered Senior Client Associate
Oppenheimer & Co.
Boston, MA
06.2008 - 06.2010
- Successfully moved $200MM AUM to the firm within 60 days alone
- Monitor upcoming equity syndicate deals, indicating on behalf of clients and handling the allocations
- Support Managing Director by handling transactional and non-transactional needs
- Ensure that all trades were input correctly, confirmed and settled to control risk to the firm
- Worked primarily with fixed income products and became very proficient on Bloomberg
Senior Sales Assistant on Managing Directors Trading Desk
Bear Stearns & Co.
Boston, MA
05.1999 - 06.2008
- Handle repurchase transactions, both Treasury and MBS, over $1 Billion on a daily basis for several clients
- Assisted Senior Managing Director with a large institutional business and worked closely with many Boston institutions
- Resolve settlement problems between the client, the firm and the custodian
- Liaise with client operations departments to ensure effective settlements and efficient account operations
Education
Bachelor of Arts - Sociology
Saint Anselm College
Manchester, NHSkills
- Bloomberg
- WealthView platform
- Concur expense management
- ICapital investment solutions
- Salesforce CRM
- Microsoft Office suite
- Compliance management
- Client onboarding
- Operations oversight
- Trade execution
- Financial analysis
- Risk management
Certification
- Series 6
- Series 7
- Series 9
- Series 10
- Series 63
- Series 65
References
References available upon request.
Timeline
Senior Registered Private Client Associate
Janney Montgomery Scott
09.2024 - Current
Complex Operations Manager
Janney Montgomery Scott, LLC
06.2022 - 09.2024
Senior Registered Client Associate within The McPhee Group
JP Morgan
06.2010 - 06.2022
Registered Senior Client Associate
Oppenheimer & Co.
06.2008 - 06.2010
Senior Sales Assistant on Managing Directors Trading Desk
Bear Stearns & Co.
05.1999 - 06.2008
Bachelor of Arts - Sociology
Saint Anselm College