principal sales trader resume example with 20+ years of experience
JessicaClaire
Montgomery Street, San Francisco, CA94105609 Johnson Ave., 49204, Tulsa, OK
Home: (555) 432-1000
Cell:
resumesample@example.com
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Summary
Highly talented
and accomplished Financial Services Professional, offering more than 20 years
of exemplary experience in the Finance Industry. Possesses significant ability
in managing successful client relationships and team building efforts, while
consistently reducing costs, improving efficiency, and increasing productivity.
Recognized hands-on team leader with outstanding ability in leading,
motivating, and coordinating internal teams and external clients. Proven
ability to work with and relate to people with different experience levels and
cultures in the organization.
Detail oriented leader with comprehensive equity
compensation background. History of bridging internal departments to enhance
business value for corporate clients. Expertise in prioritizing multiple tasks
and deliverable to ensure satisfaction internally as well as externally.
Communicate effectively with internal and external clients to identify needs
and evaluate alternative business solutions and strategies. Excellent ability
to monitor tasks at hand. Extremely resourceful, patient and adaptable.
Skills
Expertise
in Anti-Money Laundering (AML) investigations
Know Your Customer (KYC) due
diligence Suspicious Activity
Reports (SAR)
approving and settling restricted and control securities
transactions
insider trading regulations, conducting trade due diligence,
Knowledge of Bank Secrecy Act (BSA), USA PATRIOT Act, Securities Act of 1933 and Securities Exchange Act of 1934. Knowledge of Bank Secrecy Act (BSA), USA PATRIOT Act, Securities Act of 1933 and Securities Exchange Act of 1934. facilitating training programs. .
Training | Staff Development | Presentations
detailed orientated, resourceful, organized, self-starter
and driven to provide excellent client service to ensure a first class client
experience.
Compliance | AML investigations | KYC Due Diligence | SAR Filings | Insider Trading Approving and Settling Trading Restricted and Control Securities Due Diligence | Research | Business Unit Management |
FINRA Series 7
preferred, Series 24 a plus
Strong
communication and analytical skills
Ability to work
independently and meet critical deadlines
Strong ethical
commitment and detail oriented
Willingness and
ability to adjust to multiple demands, shifting priorities, and rapid
change
Experience
Principal - Sales Trader, 10/2003 to Current A.M. Castle – Dallas, TX,
Efficiently execute, allocate and report client trades Solicit and execute Rule 144, restricted stock, control stock and 10b5-1 trades from officers, insiders, affiliates of emerging growth companies using discretion Cultivate relationships with Chief Financial Officers to facilitate their corporate stock repurchases Work with corporate administrators in the implementation of stock repurchase plans and the successful selling of all option trades Communicate timely and accurate research with senior level firm executives, high net worth clients and hedge fund analysts Run analytical searches on Reuters and Bloomberg looking for corporations selling at years highs and lows Interact with both the investment banking department as well as research analysts to stay in front of company's reporting and potential offerings Help manage outreach, follow up and new business development effort Articulate and review daily events to Managing Director.
develop working relationships with internal
resources to effectively support the client, which includes Investments, Legal,
Compliance, Operations, Marketing and Finance.
• Strict compliance to financial and regulatory controls
including: PATRIOT ACT, AML and KYC
Responsible for deepening
existing client relationships and acquiring new relationships through
referrals and networking.
• Marketing
specialist working with High Net-Worth and C Level Clientele
• Inside & Outside sales and marketing experience
• Major account relationship building & retention covering internal
and external client groups
• Proven track record
working with teams and client groups
• 15 years experience working directly with clients on key projects from
inception to delivery
• Detail orientated with
high proficiency at problem solving and learning new skill sets
• FINRA Series 7, 65 & 63 licenses
• Identified, analyzed, and monitored emerging market and competitor trends.
• Cross-selling multiple products across verticals
• Strict compliance
to financial and regulatory controls including: PATRIOT ACT, AML and KYC
Knowledge of KYC/CIP, funds transfer, check
processing and trade finance activity
Strong knowledge of AML Compliance, the BSA,
USA PATRIOT Act, OFAC and other regulations and international best
practices with specific experience relating to account opening (CIP
standards) and KYC disciplines.
Knowledge of AML risk management and AML risks
with respect to business lines, geographies, client types, products,
services and transactions.
Strong organizational and communication
skills.
d Qualifications
Solid KYC
experience or experience in dealing with front office staff, including
Senior Management; in a middle office or a Risk analyst team
Experience
in a role with a strong client management focus
Proven track record of working within a
client servicing environment
Proven track record of working within an
financial services operations environment
* communicate
develop working relationships with internal resources to
effectively support the client, which includes Investments, Legal, Compliance,
Operations, Marketing and Finance.
***interact with
Legal, Compliance, Operations, Regulatory Control, Trading, Business Management
and Information Technology personnel, inside and outside counsels, and any
other relevant employees as necessary in fact gathering and in preparation of
the Firm’s responses.
My role also allowed me to serve as a liaison to Capital Markets and Equity
Trading as well as the REGSHO group and involved executing orders for the Rule
204 closeout process ensuring best execution on all order types against VWAP
benchmark. I also worked closely with developers and traders on the Algorithmic
Committee to ensure compliance with SEC rule 10b-18 and enhance algorithmic
effectiveness.
I also held a supervisory
role and managed the trading group responsible for U.S. Corporate Equity
buyback with sign-off authority on trades and e-mail traffic while developing
relationships and maintaining KYC standards with the equity capital markets
team and clients.
Highly talented
and accomplished Financial Services Professional, offering more than 20 years
of exemplary experience in the Finance Industry. Possesses significant ability
in managing successful client relationships and team building efforts, while
consistently reducing costs, improving efficiency, and increasing productivity.
Recognized hands-on team leader with outstanding ability in leading,
motivating, and coordinating internal teams and external clients. Proven
ability to work with and relate to people with different experience levels and
cultures in the organization.
ESOP, 10b5-1
plans, Act of 1933 sales, Rule 144 and Prospectus Sales
A dual origination
role. The Institutional sales component focuses on providing equity trading
products across both high and low touch trading desks to institutional clients.
Coverage includes the Mid-Atlantic, New York and Ohio, with a product suite
that ranges from CSA, high and low touch trading coverage, options, and algos.
The buyback origination role entails working with corporate clients to
originate equity buyback opportunities for the bank, with a focus on open
market repurchases. Client base ranges across all sectors, and includes MidCap
to Mega Cap corporations. Worked with the team to optimize execution, while
also building out our content offering to clients. This included customized
trade monitoring tools, as well as weekly updates on trading, liquidity, and
market structure
Vice President, Sales Trader,
Corporate Stock Repurchase Desk
Company NameJ.P. Morgan
Dates EmployedJan 2002 – Dec 2003
Employment Duration2 yrs
> Worked
directly with the CFOs and Corporate Treasury members of Fortune 500 companies
to structure and execute stock repurchase programs
> Consistently ranked as one of the top traders on the Listed Desk, by
commissions generated
> Marketed and executed various equity derivatives, for incorporation into
the company’s buyback strategy; specifically: forwards, accelerateds, and put
sales
> Had a large impact on increasing corporate buyback desk revenues,
resulting in annual commissions of $6 million
Sales Assistant, 01/XXX7 to 10/XXX7 A.M. Castle – Janesville, WI,
Communicated monthly performance reports to investors Ensured that client inquires were responded to in a timely fashion and reported accurately Created, produced and deployed monthly direct e-mail campaigns, and performed data cleaning on all distribution lists Conducted software evaluation and implementation of CRM system Processed NASD compliance questionnaires Developed marketing materials Coordinated sales meetings and seminars.
Sales Assistant, 01/1 to 07/XXX7 K. Hovnanian Companies – Boynton Beach, FL,
Generated quality leads through research and cold calling Assisted Northeast Sales Manager with office operations and organization Developed integrated database for sales team Prepared PowerPoint presentations for client meetings Participated in industry, partner and client events including trade shows and user groups.
Sales Assistant/Internal Wholesaler, 01/1 to 01/1 W.P. Carey & Co – City, STATE,
Educated existing and potential clients on product characteristics and portfolio strategy Managed client relationships prior to and throughout the life of investment Maintained CRM database to track sales performance and record corporate communications Designed and implemented inventory tracking system for client promotions Assisted in the development of prospectuses, annual reports and marketing literature Trained new internal wholesalers.
Marketing Assistant, 01/1 to 01/1 Brown Brothers Harriman – City, STATE,
Assisted a team of (6) senior institutional salespeople on a daily basis.
Assembled sales presentations for institutional and private client meetings.
Education and Training
B.S: Business Administration, Expected in to University of Dayton - Dayton, Ohio GPA: Business Administration
: , Expected in to - , GPA: FINRA Licenses Series 24, 7 & 63
: , Expected in to FINRA Licenses Series 24, 7 & 63 - , GPA:
: , Expected in to - , GPA: Related Skills:
• Chief Operations Officer
with Management, Operations and Marketing experience.
• Experience with Bloomberg, WebEx, Seibel, CRM Systems, Lotus Notes, Outlook,
Word, Excel, PowerPoint, PhotoShop, Microsoft Publisher, Office, Adobe,
networks, internet, e-mail software, and web page design.
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