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Margin Analyst-Trade Support Associate Resume Example

Resume Score: 80%

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MARGIN ANALYST-TRADE SUPPORT ASSOCIATE
Professional Profile

Financial services professional with 14 years of experience in the brokerage industry. Extensive knowledge of FINRA rules and regulations which include margin lending, securities lending, trading, and settlements.


Summary of Qualifications
  • FINRA Series 7 License
  • Analytical and attention to details
  • Strong written and verbal communication skills
  • FINRA Series 63 License
  • MS Office proficiency
  • Excellent organizational and relationship-building skills
Professional Experience
Margin Analyst-Trade Support Associate03/2005 to 11/2015MetlifeSomerset, NJ

Address client accounts for House calls, Federal Calls, and Day trading calls. Review accounts for other FINRA violations which included Liquidation violations, 90 Day Trading violations, Free Riding violations, and FINRA related issues. Interact with Compliance managers while processing trade correction which involve Equity trades, Mutual Funds, ETF's, and Bonds. Assist representatives with correcting buy or sell orders, symbols, quantity, amount, and settlement.


  • Delivered positive results by addressing House calls and Federal Calls while reducing market risk and volatility.
  • Reduced outstanding complex non-trade related debits and played a key role in firms goal.
  • Resolved discrepancies for trade related matters.
  • Improved business productivity by effectively communicating and responding to issues in a fast paced environment.
  • Developed and delivered key strategies with team players to work as a whole on resolving issues.
Senior Commissions Specialist10/2003 to 03/2005MetlifeSomerset, NJ

Calculates, adjusts, and processes compensation/commission payments for field/sales personnel and broker/dealers. Reconciles discrepancies to locate missing payments and/or locates errors.

  • Research, determine, calculate, and process necessary adjustments.
  • Reconcile simple to moderately complex discrepancies, which require the collection and review of payment histories to locate missing payments and/or locate errors.
  • Perform monthly and quarterly manual compensation reconciliations and input new payment schedules into systems.
Customer Service-Trade Support01/2000 to 09/2002Datek Online Holdings CorporationJersey City, NJ

Demonstrated effective and consistent client support. Total involvement with all aspects of customer service including solving problems, answering questions, and interfacing with the trading department. Assisted clients with placing trades.

  • Act as the first point of contact for answering, evaluating, and responding to client inquiries. Identify and research customer issues and effectively arrange for the best resolution possible.
  • Provides information on clients account balances, account histories, account maintenance fees,policies, procedures and other information
  • Resolves complex customer questions and problems using established procedures.
Accomplishments
  • Helped Metlife reach goal for completing 98% of daily work flow items received.
  • Created strategies and training guide to develop and train new hires.
  • Mentored and trained new employees. Helped with cross training of other Metlife employees in various departments.
  • Active participant in team meetings and submitted ideas for improvements in reaching Metlife goals.
  • Received a Star Employee Award for excellent commitment and service as a Metlife Employee.
Education
Bachelor of Arts: Economics1999Rutgers UniversityNew Brunswick, New Jersey, USA
Employment History
Margin Analyst-Trade Support Desk10/2003 to 11/2015Metlife SecuritiesSomerset, NJ
Trade Support-Customer Service 01/2000 to 09/2002Datek Online Holdings CorporationJersey City, NJ
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Resume Overview

Companies Worked For:

  • Metlife
  • Datek Online Holdings Corporation
  • Metlife Securities

School Attended

  • Rutgers University

Job Titles Held:

  • Margin Analyst-Trade Support Associate
  • Senior Commissions Specialist
  • Customer Service-Trade Support
  • Margin Analyst-Trade Support Desk
  • Trade Support-Customer Service

Degrees

  • Bachelor of Arts : Economics 1999

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