Executive management professional with track record for driving revenue and leading results-oriented teams. Proactive and analytical approach working with senior executives and intradepartmental management to develop vital business strategies and deliver corporate objectives. Qualified organizational leader and active participant in business development offering tactical direction to enhance business model and deliver corporate objectives. Ability to create projections and detailed reports of all revenues, volumes and budgeting.
NASD Series 7, 66, 24, 53
Manage team of Senior Fixed Income Specialists covering 20 states. Work with management team and compliance to develop policies and procedures to reduce risk and improve business unit competency and effectiveness. Supervise trading revenue, client base growth and retention. Leverage business model to drive revenue through branch network and high asset clients. Oversee representatives to ensure compliance of firm's policies and procedures.
Recruited to establish and implement corporate bond desk for growth strategy of 25-year old firm strictly involved in municipal markets. Develop new policies and procedures with executive team to increase revenue in the municipal and corporate markets. Collaborate with IT department to ensure adequate systems for accurate trade execution.
Strategically led Fixed Income team of ten traders in designing new methods to drive profits and deliver a high quality experience to 1200 advisors nationwide. Organize and administer monthly capital market meetings to educate Senior Management and staff about current taxable and tax-free market conditions. Create and manage annual budget for department.
Supervise trading desk in absence of Director; accountable for regulatory compliance, trade desk operations and problem resolution. Execute trades in primary and secondary bond markets for all Fixed Income products. Analyze current trading conditions and recommend individual fixed income instruments to evaluate and prepare customized portfolios based on client needs. Strengthen relationships with Dealers and Financial Advisors.
Verify compliance plans against established policies, procedures and applicable regulations. Coordinate and conduct compliance reviews with approximately 900 Financial Advisors Nationally. Evaluate portfolio management and internal marketing materials for effectiveness.
Execute trades in primary and secondary bond markets for Fixed Income products including CDs, U.S. Treasuries, Corporate, Municipal and Agency bonds. Educate Fixed Income team members of features and benefits of Fixed Income securities to improve their knowledge base and client offering potential.
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