Frank Galea, CFA
San Francisco, CA
https://www.linkedin.com/in/frankgalea
frank_galea@yahoo.com
415-516-6039
QUALIFICATIONS:
Successfully completed Chartered Financial Analyst level III exam, June 2004. Project Manager with experience in planning and implementing technology solutions for a top 20 mutual fund company. Proven ability to effectively present technical information to a non-technical audience. I manage projects to financially or strategically significant metrics using a consistent methodology. I have broad knowledge of the financial services industry (broker/dealer, mutual fund).
EMPLOYMENT HISTORY:
Charles Schwab Investment Management
Senior Compliance Manager
2006- Present
Some of Frank's responsibilities include the development and ongoing maintenance of the CSIM Charles River system, certain regulatory filings, testing of Schwab's 38a-1 program, and various other department projects. Currently developing a Compliance department database to track all policies and material compliance matters or incidents related to these. Complete policy document management and publishing via a SharePoint site. Other initiatives include Best Execution research for both Equities and Fixed Income trading desks.
Wells Fargo Funds Management Group
Business Systems Consultant / Assistant Vice President
2001- 2006
Use Charles River Development (CRD) application to automate compliance business logic for testing whether mutual fund and managed account portfolio trades meet prospectus requirements and industry regulations (1940 Act). Integrate multiple data sources (FT Interactive, back-end portfolio accounting systems, custodian systems) and reconcile data exceptions. Design complex workflows across departments.
Manage technology projects affecting entire business unit and external vendors in compliance with stringent corporate information security policies and Wells Fargo Corporate Project Methodology (CPM).Key Projects: conversion of over 100 desktops to Windows 2000 and migration to our own file server; develop the group’s Intranet; implement a data warehouse for Financial Planning and Analysis team; roll-out Siebel’s customer relationship management (CRM) software for sales force; Information Security Planning for external connectivity and new applications.
Charles Schwab & Company, Electronic Brokerage Service Delivery
Senior Technical Support Representative, Level III
1997-2000
Resolve most complex escalated trading and technical issues while minimizing risk to the firm and ensuring that high expectations of customer service were exceeded. Institute best practices and draft numerous “knowledge-based articles”. Develop training materials and train peers.
Key Initiatives Supported: retirement of desktop trading applications (Equalizer; StreetSmart & eSchwab), launch of Schwab.com web trading platform, Analyst Center, OFX products (Quicken, MS Money), Velocity active trader desktop.
The Share Group, Inc.
Project Manager / Telemarketing Campaign Manager
1996-1997
Led outbound marketing campaign to win back lost customers for a leader in the socially responsible business sector, Working Assets Long Distance. Designed and delivered a training program to the telemarketing sales force. Created a sales incentive package. Reported to the Call Center Director.
Accomplishments: My team won back 40% of contacted customers and reclaimed substantial revenues during an aggressive customer-'buying' blitz forged by AT&T, Sprint, and MCI.
Prudential Securities
Financial Advisor
1993-1995
Prospected through referrals, cold calling, and lead generation campaigns. Researched and advised clients on asset allocation and portfolio structure. Recommended investment strategies suitable for individual client objectives and risk tolerance.
Frontline Campaigns
Assistant Phonebank Director
1989-1991
EDUCATION AND LICENSES
Chartered Financial Analyst
BS, Economics, Cum Laude, San Francisco State University, 1993
Graduated Dean's List, Golden Key National Honors, 3.72 in Major
Recent professional training:
“Charles River Development Compliance” by CRD's Implementation Team, March 2006
“In Search of Excellent Requirements” by Process Impact, January 2006
“Aegis Portfolio Management Workshop” by Barra MSCI, March 2005
“Advanced Leadership Seminar” 2-day program by Organization Change Advisors, July 2004
“Technically Speaking” presentation skills workshop by Novations Group, INC., June 2004
“The Life Cycle of an IT Project” through Wells Fargo Services Company (WFSC), April 2004
“BA-I: Implementing Business Processes Using Siebel Applications” Siebel University, February 2004
COMPUTER SKILLS
MS Project expert user; also proficient with Excel; SQL; Word; Access; PowerPoint; FrontPage
Compliance systems: Charles River Development; CTI Examiner
CRM: worked with Vantive, implemented/project managed Siebel rollout, co-managed Saratoga Avenue.
Business Process Modeling: Corel Igrafx Flowcharter; MS Visio
Financial Software: Barra Aegis, Reuters Money 3000, Knight-Ridder/Bridge MoneyCenter, OFX products
LANGUAGES
Fluent French (native speaker); some Spanish ¶ 7:39 PM
