Pamela Ohle

Experience

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  M&T Bank

  Jan 1993 - Jan 1999

  • Financial Sales Representative

    Jan 1998 - Jan 1999

  • Branch Manager

    Jan 1997 - Jan 1998

  • Customer Service Manager

    Jan 1993 - Jan 1997
• 

  Deutsche Bank Securities

  Jan 1999 - Jan 2004

  Supervised employee discount brokerage services internal trading unit. Processed trade related activities, monitored employee performance, and managed project to transition all North American employee accounts to in-house service options. Manage team of customer service representatives who processed transactions and tax reporting for Employee Stock Purchase Plans for various large corporations under contract for services. Processed trade related corrections, monitored employee performance and helped design, market and test automated execution systems. Processed employee stock purchase plan transactions for employees of large corporations under contract. Provided employees with transaction information and tax reporting.

  • Employee Brokerage Services Supervisor

    Jan 2002 - Jan 2004

  • Employee Stock Plan Supervisor

    Jan 2000 - Jan 2002

  • Employee Stock Plan Services Representative

    Jan 1999 - Jan 2000
• 

  Legg Mason

  Jan 2004 - Jan 2006

  Compliance Officer

  Conducted surveillance, branch exams, and responded to client complaints for a assigned regional coverage area.

• 

  Citi

  Jun 2006 - Jun 2010

  Provided day-to-day compliance and product development support for the Smith Barney’s Ultra-High-Net-Worth and High-Net-Worth platforms including the Wealth Planning, Retirement, Lending and M&A businesses. Responsible for providing continual support to Branch Management and Financial Advisors for questions related to financial planning and lending policies to successfully meet corporate objectives. Operations Manager and coordinator for the Lancaster office of Citi Smith Barney. Responsible for training and management of all support staff. Performed all supervisory functions, handled complaints and handled day-to-day issues and concerns.

  • Investment Products & Services Compliance Officer- Vice President

    Oct 2007 - Jun 2010

  • Operations Manager

    Jun 2006 - Oct 2007
• 

  Morgan Stanley

  Jun 2010 - now

  Manage team of Wealth Management Employee Investing and Activities Compliance employees to review and identify potential conflicts of interest within employee requests for outside activities, outside accounts, and private securities transactions. Provide onsite management support for the Institutional Securities Group team handling of the same function Prepare and deliver periodic training regarding FINRA, SEC and banking regulations as required. Participate in Industry Round-tables to establish bench-marking. Establish strong partnerships with other Compliance, Legal, Business and Risk employees. Work closely with senior management. Participate in Global Management of the function, including system enhancements, account coding, and global policy creation. Manage Corporate Licensing and Insurance Team and maintain oversight of project manager for Registration Department. Show less

  • Executive Director Wealth Management

    Jun 2013 - now

  • Vice President, Product Communications Review Group

    Jun 2010 - Jun 2013