Summary
Overview
Work History
Education
Skills
Timeline
Generic

Umie Sutherland

Atlanta,GA

Summary

Business leader with extensive experience at Morgan Stanley, specializing in data analytics and operations management. Demonstrated success in driving growth initiatives and enhancing service delivery through effective performance improvement strategies. Skilled in mentoring teams and optimizing processes, achieving top-ranked metrics and boosting employee engagement.

Overview

19
19
years of professional experience

Work History

Regional Business Service Officer

Morgan Stanley
Atlanta, GA
05.2016 - Current
  • Manages and advises on business metrics, support staff headcount and real estate footprint for Southeast Region in conjunction with Regional Director and Complex Managers
  • Region consists of 18 complexes, $5.2B T12 revenue, $932B AUM, 1,650 service employees
  • Leads and manages service organization leaders in driving strategic initiatives and developing service staff to deliver best in class service and driving business growth to financial advisors and clients
  • Led team in top ranked metrics for digital adoption and cash management enrollments three consecutive years
  • Observed each employee's individual strengths and initiated mentoring program to improve areas of weakness. Supporting top performers with stretch opportunities and developed newer managers to build competencies
  • Assisted in recruiting, hiring and training of team members
  • Launched staff engagement, gender diversity and cultural programs to educate and increase DEI awareness in hiring practices and increasing morale in complexes
  • Provide approvals and pricing guidance to branches for managed money fees, margin and SBL
  • Monitors and tests audit readiness within complexes in region

Complex Business Service Officer

Morgan Stanley
Atlanta, GA
04.2015 - 05.2016
  • Managed budget and business metrics in collaboration with Complex Manager for 3-branch complex, $55M T12, 120 service employees
  • Led and developed Service Managers to manage branch level client service associates to deliver best in class service to financial advisors and clients
  • Collaborated with Complex Manager on recruiting new financial advisors to firm and onboarding clients upon arrival
  • Monitored and tested audit readiness in preparation for successful annual branch exams
  • Self-motivated, with strong sense of personal responsibility
  • Used critical thinking to break down problems, evaluate solutions and make decisions

Chief Compliance Officer

Regions Securities LLC
Atlanta, GA
02.2012 - 10.2014
  • Developed and maintained Compliance program for an institutional broker-dealer engaged in debt and equity underwriting, mergers and acquisitions advisory services and private placements
  • Served as AML Compliance Officer for firm and responsible for the development, testing, and maintenance of AML policies and procedures and documentation of background checks, 314(a) reports, risk assessments, enhanced due diligence and SAR reporting
  • Reviewed and remediated all aspects of compliance reporting, examination, registration, continuing education and maintenance of books and records pertaining to compliance functions
  • Managed practical action plans to respond to audit discoveries and compliance violations
  • Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices
  • Maintained up-to-date knowledge of current and emerging compliance regulations
  • Prepared and submitted regulatory filings in timely manner

Associate Principal Examiner

FINRA
Atlanta, GA
08.2010 - 02.2012
  • Conducted examinations and other reviews related to FINRA member firms' finances and operations; sales, underwriting and trading practices; and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements
  • Understanding of regulatory risks of the products offered by and business activities of assigned member firms; identifies member firms' potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business
  • Analyzed internal and supervisory controls in key areas of risk and evaluates broker-dealer systems to determine quality, reliability and compliance with requirements
  • Assessed adequacy of member firms' financial condition and validates accuracy of regulatory filings, net capital computations and books and records
  • Worked well in a team setting, providing support and guidance
  • Used critical thinking to break down problems, evaluate solutions and make decisions
  • Excellent communication skills, both verbal and written

District Business Manager

Morgan Stanley
Atlanta, GA
09.2006 - 11.2009
  • Oversaw business functions for 25+ branches including monitoring the P&L, reviewing Real Estate needs, interfacing with Human Resources and Legal departments in hiring, establishing and maintaining proper approval processes and work-flow detail for business decisions, and point-person for all lateral Financial Advisor recruiting hiring deals
  • Trained Complex and Branch Managers on firm budgeting software and processes
  • Interacted with Complex and Branch Managers to assist in reaching firm goals associated with profitability and expense management, partnered with Real Estate in making decisions on optimizing capacity, opening new branches, or renovations
  • Shared in responsibility with Human Resources in monitoring staffing needs and maintaining firm ratios
  • Worked with Legal Department in identifying and minimizing litigation risk within District

Education

Master of Business Administration -

Mississippi State University
Starkville, MS
12.1997

Bachelor of Science - Biology

Mississippi State University
Starkville, MS
05.1996

Skills

  • Data analytics
  • Pricing strategy
  • Business planning
  • Process optimization
  • Operations management
  • Performance improvement
  • Growth initiatives
  • Management training
  • Performance evaluation
  • Policy enforcement
  • P&L management
  • Organizational design
  • FINRA Series 7, 9, 10, 24, 28, 63, 79

Timeline

Regional Business Service Officer

Morgan Stanley
05.2016 - Current

Complex Business Service Officer

Morgan Stanley
04.2015 - 05.2016

Chief Compliance Officer

Regions Securities LLC
02.2012 - 10.2014

Associate Principal Examiner

FINRA
08.2010 - 02.2012

District Business Manager

Morgan Stanley
09.2006 - 11.2009

Master of Business Administration -

Mississippi State University

Bachelor of Science - Biology

Mississippi State University

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