1. MARK C. HITT, SR.
Kennesaw, Georgia | mark.hitt@comcast.net | 770-317-6431
Retail Oversight Specialist Platinum Relationship Manager Registered Representative Vice President & Project
Manager with extensive experience in the financial services industry and expertise in building and enhancing
internal / external relationships in order to exceed the customer’s expectations and increase revenue. Possesses
excellent phone presence while striving to provide the best customer service experience by taking ownership of
every problem / interaction. Personable, knowledgeable, diligent, thorough, consistent and the “Go To” person for
teammates and peers. Proactively stays abreast of current legal and regulatory landscape, including new laws,
amended regulations and their interpretation and impact to the lines of business.
 Nationwide Guidance & Leadership
 Relationship Building
 Process Improvement
 Analytical/Problem Solving
 Regulatory & Supervisory Controls
 Brokerage Retail & Operations
 Securities/Options Trading
 Margin & Risk
 Sales Practices
 Literate in Multiple PC Software
PROFESSIONAL EXPERIENCE
E*TRADE SECURITIES LLC, Alpharetta, GA 2006-2016
Retail Oversight Specialist (2013 - 2016)
Provided daily Oversight and Guidance to E*TRADE Platinum (150 Employees) & Customer Service Management and
Personnel (600 Employees) in Alpharetta, Chicago, Jersey City, Salt Lake City and Tampa. Conducted and/or assisted
with: site visits, compliance inspections, internal audits, SOX audits and Deloitte audits as well as other requests
from regulatory agencies. Provided support, training and alignment of general regulatory sales practices, including:
reviews of associate registrations and licensing, sales practices by RMs and FCs, systems permission levels, trade
ticket/blotter reviews, records retention, delegation memos, credit/disbursement approval levels, correspondence
reviews, business continuity plans and adherence/updates to Internal Policies & Procedures.
 Improved Business Practices by enhancing the balance in business and regulatory priorities to support top
line growth through projects implemented (i.e., Automated Trade Blotter, Automated Email Review and
Platinum Manager’s Handbook) resulting in 1000s of man hours saved monthly.
 Improved the risk culture by creating a safer environment through annual site reviews that identified policy
breakdowns; conducted follow-up meetings to recap possible audit concerns, reducing strain on
management and consistently reducing/eliminated findings in subsequent audits. For the first time ever in
2016 the Tampa site did not have a single finding from their compliance inspection.
 Accomplished measureable reduction in findings across all sites such as Disbursement Report reviews,
Verification of Client (Pretext Calls), Missing Interactions, Required Licenses, Sales Training, Approval Levels
and Records Management.
 Established working relationships and collaborated with Platinum, Customer Service, Product, Retail Learning,
Business Analysis, Access Control, Human Resources, Risk, Compliance and Internal Audit among others to
gather information, conduct meetings and decide on a course of action to ensure project facilitation, issue
resolution and ongoing communication.
 Increased efficiency in managing audits, compliance inspections, risk assessments and reduced findings by
assisting with the implementation and testing of 100+ business controls as part of Risk Control Self
Assessment.
 Assisted with the Business Continuity Plans for all four Platinum sites. BCPs and all relevant data was entered
into Archer for the VP of Platinum.

2.  Successfully oversaw the off-siting, updating, reconciliation and filing of the Platinum Records Inventory for
the VP of Platinum with no issues identified by Records Retention during this period.
 Consistently ranked between 4.0 and 4.73 on a 1-5 scale by colleagues for Competency in Strategy/Business
Skills, Execution Skills, Personal Skills, and Corporate Citizenship.
Platinum Relationship Manager (2006 - 2013)
Supported and retained E*TRADE Securities’ most valuable clients through comprehensive support, product
education, trade facilitation and asset gathering.
 Managed 350 households (could have multiple accounts) with the total average of assets held at E*TRADE
being in excess of $350M. Ensured highest client satisfaction and retention rates by quickly resolving all types
of trading and service related issues.
 Consistently rated in the top 10% of Platinum RMs by meeting and exceeding performance requirements.
 Developed many long standing and meaningful relationships. Continued to grow assets held by educating
clients on new products and services available.
 Maintained an attrition rate of clients of 4% or less per year.
 Maintained a client satisfaction rating of 87.5% - 95% on an average of 400 inbound /outbound calls monthly.
 Far exceeded expectations by maintaining a broker free error rate of 100% for entire tenure.
 Consistently ranked between 3.71 and 4.00 on a 1-5 scale by colleagues for Competency in Strategy/Business
Skills, Execution Skills, Personal Skills, and Corporate Citizenship.
BANK OF AMERICA / TRUST SERVICES, Atlanta, GA 1992 - 2004
Vice President / Project Manager (1996 - 2004)
Product Support & Customer Service Representative (1992 - 1995)
PRIOR EXPERIENCE INCLUDES
MERRILL LYNCH / Southeast Regional Ops. Center, Atlanta, GA
EDUCATION
Bachelor Degree in Business Administration (Finance), University of Georgia, Athens, Georgia
BROKERAGE INDUSTRY PROFESSIONAL LICENSES
FINRA CRD# 5086121
PRINCIPAL/SUPERVISORY EXAMS
FINRA License Series 4 – Registered Options Principal Exam 12/13/2007
FINRA License Series 24 – General Securities Principal Exam 08/08/2007
GENERAL INDUSTRY/PRODUCT EXAMS
FINRA License Series 7 – General Securities Representative Exam 03/09/2006
STATE SECURITIES LAW EXAMS
FINRA License Series 63 – Uniform Securities Agent State Law Exam 05/11/2006
FINRA License Series 66 – Uniform Combined State Law Exam 04/07/2009
PROFESSIONAL DEVELOPMENT
Participated in over 500 hours of professional enhancement courses, workshops and seminars on various topics,
including management, leadership and problem solving such as: Project Management Skills; Customer Satisfaction
Skills; Measuring for Quality; Leadership Development; Employee Relations and Motivation; Negotiation Skills