OBJECTIVE An experienced professional seeking a position in the area of Compliance, that will leverage the synergies of my front, middle, and back office experience, and regulatory knowledge.
FINRA Series 4, 7, 24, and 63 Licenses
FINRA Certified Peer Coach
Studying for CAMS
Excellent communication skills
Excellent time management skills
Analytical and detail-oriented
Extensive experience with Books and Records audits, including Financial Statements reviews, for member firms.
Rolled out  new company products in just  months, resulting in .
Principal Examiner September 2005FINRA － Woodbridge, New Jersey
Member Regulation February 2013 Responsible for reviewing member firms' financial, operational, and sales practice-related activities, for compliance with SEA, FINRA, and MSRB rules and regulations.
Conducted routine, cycle examinations of member firms.
Areas of review included Supervision, Organizational and Internal Risk Controls, Anti-Money Laundering, Net Capital Computation, Unregistered Offerings, Variable Products, Mutual Funds, Municipal Securities, Corporate Securities, Options, Trade Reporting, and Hedge Fund and Registered Investment Adviser activities.
Performed continual surveillance of member firms through FOCUS and Membership Agreement (CMA) filings, resulting in an in-depth understanding of firms' core business lines, enabling substantive dialogue between member firms and FINRA Staff.
Provided assistance to member firms regarding Notices to Members (NTM), rule interpretations, best practices, and current regulatory issues and/or "hot" topics.
Assisted FINRA Enforcement in preparing and.
Assistant Vice President and Account Manager March 2004Pershing LLC － Jersey City, New Jersey
September 2005 Responsible for delivering the full spectrum of brokerage products, custody services, and technology support to Correspondents/ Introducing Broker Dealer Relationships.
Assisted the Sales Team in their efforts to "close" prospects within the sales pipeline.
This included outlining the firm's policies and procedures, products and services, and technology solutions.
Responsible for following-up on newly executed or revised clearing agreements, addendums, and pricing schedules.
Developed and maintained close working relationships with each Correspondent, and addressed unique needs and escalated issues.
Also acted as liaison for special requests that included prioritizing and monitoring projects, and chairing status meetings.
Responsible for introducing and rolling-out new product offerings.
Responsible for training Correspondents on internal procedures and requirements, workflow processes, back-office systems, and proprietary brokerage applications.
Attended Correspondent conferences upon re.
Vice President and Senior Relationship Manager August 1997Harrisdirect LLC DLJdirect LLC, an affiliate of － Jersey City, New Jersey
Associate March 1994Pershing LLC － Jersey City, New Jersey
Cash Management July 1996 Provided customer support to Correspondents.
Purchased and redeemed money market funds in customer accounts.
Responsible for reconciling and settling daily money market fund sweep activities for over 100 funds, representing over 18 fund companies.
Responded to all internal and external inquires related to money market, free credit, and margin interest in customer accounts.
Calculated and processed free credit and margin interest adjustments in customer accounts.
March 2001 to March 2004
April 2004 Responsible for delivering business-building solutions and support to Registered Investment Advisers.
Also responsible for managing the daily activities of four (4) Relationship Managers.
Worked extensively with Senior Management, Legal, and outside counsel in drafting new account applications and agreements, adviser and sub-adviser agreements, and institutional third-party services agreements.
Worked closely with Product Development in bringing new offerings to market.
Played an instrumental role in establishing a web-based separate account manager (sub-adviser) program; contributed business and operational insight.
Assisted Legal and Compliance to ensure advisers were adhering to, and complying with the firm's policies and procedures, and industry rules and regulations.
Established a written supervisory procedural manual (WSP) for the Institutional Services Support Team.
Also responsible for implementing and enforcing the WSP.
Provided direction to the Institutional Services Support Team, co.
Assistant Vice President and Assistant Branch Ma October 1999 to March 2004
Managed the daily performance of eight (8) team leaders and over 95 Investor Services Representatives, while overseeing and directing all activities within the registered OSJ, main office.
Responsible for properly staffing all customer service shifts to ensure service level goals were being achieved.
Prioritized and delegated all daily tasks while ensuring staff was adhering to, and complying with the firm's policies and procedures.
Conducted weekly group meetings and one-on-one mentoring sessions.
Initiated training classes to develop team leaders.
Also managed the Regulatory Element of Continuing Education for Investor Services.
Responsible for conducting trending analysis of all incoming customer data, on a quarterly basis.
Also responsible for summarizing and presenting the results to Senior Management.
Implemented an enhanced Investor Services annual performance evaluation process by clearly identifying the measuring objectives linked to employee's performance.
Conducted and supervised the quart.
Team Leader August 1997 to October 1999
Managed and developed a team of over 12 Investor Services Representatives.
Routinely monitored telephone conversations and email responses, for quality assurance and product knowledge.
Handled escalated customer inquiries.
Conducted quarterly and annual performance evaluations.
Responsible for the 1998 /1999 Needs Analysis and Training Plan for Investor Services.
July 1996 to August 1997Representative- Investor Services
Provided customer support to on-line brokerage account holders.
Responded to customer inquiries by telephone and/or email, related to account activities.
Also provided general information on the markets and current events impacting the markets.
Provided quotes, entered orders, accepted reorganization instructions, and calculated "real-time" account balances, including available cash and margin buying power.
Informed customers of new products and services being offered.
Responsible for navigating customers through web-based proprietary brokerage applications.
Also responsible for troubleshooting basic technical issues.
Bachelors of Science : Business Management and Corporate Finance, 1994Kean University － Union, New Jersey, United States
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Companies Worked For:
Harrisdirect LLC DLJdirect LLC, an affiliate of
Representative- Investor Services
Job Titles Held:
Assistant Vice President and Account Manager
Vice President and Senior Relationship Manager
Assistant Vice President and Assistant Branch Ma
Bachelors of Science : Business Management and Corporate Finance , 1994
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