Supervisory review of order entries done in equities, options, fixed income, and mutual fund orders on the company’s trading system.
Verifies client identities to proceed & approve multimillion dollar money wires to various countries for international and domestic clients.
Approves the disbursement of checks and Electronic Fund Transfer requests.
Acts as a liaison for fellow associates and advisors in resolving issues they experience in their wire requests.
March 2018 – Feb 2020
Acted as a liaison with various departments across the firm to remedy trade errors in equities, options, mutual funds, fixed income, foreign currency trades.
Approved corporate actions requests from client for their equities and fixed income holdings.
Delegated work to associates, so accounts are updated and that proper documents are filed.
Monitored missing document activity.
Monitored Margin Trade Log and address any calls to pertinent parties.
Approved New account openings.
Welcomed prospective clients with any inquiries they provided and directed them to the financial advisors and teams.
Business Service Manager, 06/2015 - 03/2018 Morgan Stanley – Irvine, CA,
Addressed higher escalated clients’ complaints, by email, telephone and regular mail and followed through until issues were resolved
Familiarized and implement the various FINRA Rules regarding Trading, AML, OFAC and other Financial Surveillance activities
Reviewed company announcements and disseminate information to associates on how it will affect their daily work duties
Conducted Employee Performance Reviews on a quarterly basis
Push firm’s narratives and provided coaching to enhance individual career goals
Acted as a liaison with the onboarding and account opening procedures for new incoming Financial Advisors and teams
Acted as a liaison with various departments throughout firm to resolve any issues that conjured up in regard to Trading, client inquiries, Margin, legal, banking or lending products
Addressed any trading issues, system issues, computer application problems that may affect Financial Advisors and their Associates in their daily work activities until issues were resolved
Held & conducted bi-Weekly meetings with Client Service Associates to inform them of any issues or new products & procedures that may affect their daily work activity
Informed Customer Service Associates of any new policies that the firm has implemented
Discussed further issues with Client Service Associates about anything or Feedback they provided to improve our business functions
Reviewed Trade blogs daily stock traded amongst Employee and or Employee Related accounts in comparison to their clients’ accounts for better pricing issues
Monitored Penny Stock trading activity and assure the proper documents were on file for trades to occurred in accordance with FINRA's Penny Stock trading rules
Reviewed employee brokerage account statements for unauthorized transactions and/or trades
Conducted Email surveillance, reviewed associate emails for any potential insider trading, un-documented client complaints and any other unauthorized activity
Monitored outgoing and incoming faxes and correspondence
Reviewed and supervise outgoing mail such as Sales Literature and commentaries and other regular mailings amongst Associates and
Financial Advisors for clients and prospects
Reviewed that the investments made in the clients’ accounts meet financial requirement s and are suitable to client’s needs
Reviewed that accounts are adequately leveraged and that there’s is no high concentration of one investment in any particular company
Monitored accounts to avoid money laundering or other suspicious activity in accordance with AML (anti money laundering) KYC & OFAC regulations
Monitored, maintain and correct trade errors and corrections in Equities, Options, Fixed Income and Mutual Fund Trades
Prepare monthly trade Error Reports on Excel Sheets
Monitored & Maintain records of Employee outside account, employment and investment activities
Delegated work to associates, so accounts are updated and that proper documents were on file
Monitor missing document activity
Remedied trade errors in equities, options, mutual funds and fix income
Reviewed and approve corporate actions requests and or on stock information & news
Reviewed and approved domestic & international money wires, internal or external stock and money journals
Reviewed and approved of new accounts
Assure that proper documents are presented prior to opening accounts
Addressed higher escalated clients’ complaints, by email, telephone and regular mail and followed through until issues are resolved
Managed branch managed accounts for clients regarding their inquiries and requests
Familiarized & implemented various FINRA Rules regarding Trading, AML, Restricted Securities trading, foreign account openings within associates & Financial Advisors
Conducted annual book reviews of Financial Advisors clients to ensure that proper paperwork is on file,
Reviewed that investments were suitable to the client’s needs and that the financial advisors were providing his/her services, and was attentive to their ongoing relationship.
Provided sales support to several Financial Advisors, confirmed that new account applications were properly processed and accounts were opened in a timely fashion
Established new accounts for foreign investors, who met the firm's financial requirements, passed the AML procedures
Primarily from Latin America
Assisted in transferring assets (Asset Allocation) over from different brokerage firms, banks and private asset firms by ACATS, DRS, DTC and DWAC systems
Assisted in liquidating restricted shares based off Rule 144, having clients’ complete proper forms
Assisted clients in completing forms to make investments in Private Placements and other alternative types of investments
Placed trades in equities, fixed income, mutual funds and options for private clients, money managers and institutional firms
Informed clients of their available Margin/SMA, Day Trading Buying Power, cash and margin calls
Ensured that DVP/COD, Prime brokerage trades in common equities, fixed income and Euro Bonds sales settled accordingly, through DTC, CEDEL and Clear stream, Euro clear Systems
Ensured that outgoing Federal and International Money Wires were executed and settled in timely manner
Utilized SWIFT foreign wire codes
Entered Dollar swaps for Foreign Exchange Transactions
Answered telephones and correspondence amongst clients and other financial institutions by email and regular post office mailings
Informed and acted upon the clients’ inquiries regarding, corporate actions, and re-organization with their stock holdings, reconcile monthly statements,
Acted as the Point of contact and provided superior customer service to all existing and prospective clients
Foster relationships amongst clients and self to satisfy their financial needs.
Education & Licenses
Bachelor of Arts Degree: , Expected in - Hunter College (CUNY) - , GPA: Status -
Served in the US Army Reserves as a Transportation Specialist. Enlistment completed with an Honorable Discharge.
Licenses: , FINRA Series 7, 66 Registered Representative, and Series 9 & 10 General Sales Supervisor.
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