Review email, Advice conversion notes, gross assets, influence as well as Sales Practice
Compliance Operations Manager, 02/2006 - 03/2007 Halifax Health – Port Orange, FL,
Supervise the daily activities of 10 licensed associates
Perform monthly and quarterly audits of all workflows through Compliance Operations
Provide principal review and sign-off of all correspondence generated by the Compliance Inquiry Analysts
Work directly with the SEC and FINRA covering blue-sheet audits and procedures for improvements
Generate monthly reports to identify trends and abnormal situations with client complaints and all workflow through Compliance Operations
Facilitate communication between various levels and areas of the business and Compliance relating to the management of risk and resolution of issues
Assisted in the complete rewrite of the Desk and Written Supervisory Procedures
Supervised the creation and implementation of the Quality Evaluation program now used in Compliance Operations.
Senior Trading Analyst/Principal, 09/2002 - 02/2006 Department Of The Navy – Port Hueneme, CA,
Determine the routing on all equity and option orders based on execution quality
Implemented and maintaining a Quality Evaluation of phone conversations and manual tickets
Monitor line stabilities between TD Ameritrade and all Market Makers
Update various departments on system outages which affect proper routing of client orders
Talk with Market Makers on all trades for accuracy and quality, while negotiating to limit the financial risk of TD Ameritrade
Investigate executions on client's orders to determine best execution
Research NASD and SEC rules to verify our compliance with appropriate rules for trading.
Options/General Principal, 09/2000 - 09/2002 TD Ameritrade – City, STATE,
Determine client suitability to trade on margin while limiting company risk.
Review client information and experience to determine ability and level of option trading.
Training of new and existing associates with option trading and strategies.
Trade Inquiry/SeniorBroker, 01/1998 - 09/2000 TD Ameritrade – City, STATE,
Respond and resolve trade-related client inquires after extensive research while limiting risk
Review orders that are above a broker's individual trading limits
Training of new associates with various computer systems and trading procedures
Process non-solicited client directed orders on all types of securities
Assist Team Manager with all functions of managing a team of 10 to 15 brokers
Fostered an environment of learning and collaboration by working with new associates and helping them develop the tools/skills they need to be successful.
Project Supervisor, 11/1997 - 03/1998 Western Staff Services – City, STATE,
Managed a temporary project at an off site office.
Reported the continual progress of all associates with recommended training possibilities.
Supervised the activities of 25 plus employees.
Commercial Teller, 03/1996 - 02/1998 Norwest Bank – City, STATE,
Balance cash drawer and ATM.
Handle commercial deposits.
Process and balance incoming cash for daily customers.
Training of new employees.
Manager, 04/1991 - 02/1996 Runza Drive Inn – City, STATE,
Supervised and directed job duties of 20+ employees.
Performed daily tasks of product selection.
Balanced cash drawers at end of shift and handled nightly deposits.
Completed closing book work.
Education
Bachelor of Business Administration: Human Resources, Expected in May 1997 - University of Nebraska at Omaha - Omaha, NE GPA: Status - Human Resources
Additional Information
Registered Representative, Series 7 license - April 1998
Uniform Securities Agent State Law, Series 63 license - March 1998
Uniform Combined State Law, Series 66 license - August 2007
Registered Options Principal, Series 4 license - December 2000
General Securities Principal, Series 24 license - November 2000
Limited Representative - Equity Trader, Series 55 license April 2004
Qualifications
Verified Sales Practice Procedures followed
Monitored all activities to prevent/mitigate risk to the firm
Enforced all Written Supervisory Procedures and Branch Office Procedures
Reviewed Fair and Balanced presentation of all products and services
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