Microsoft Office 2010, Bloomberg, FactSet, Charles River, InData, Instinet. RIT Alumni Career Coaching.
Senior Institutional Equity TraderJan 2002 to Current Federated Clover Investment Advisors － Rochester, NY
Execution of buy and sell orders for securities, considering the size of the order, trading supply, the prevailing market conditions, best execution and the research budget.
Engage in trading for Small Cap Value portfolio valued at $1.6 billion.
Trade Large Cap Value equities for $1 billion fund.
Managed on-going (ex.
rebalancing) and ad-hoc (e.g.
raise cash) trading activity across all client accounts.
Execute equity transactions for $347 million high net worth portfolios.
Monitor daily performance and risk of the firm's actively managed investment strategies with Bloomberg and FactSet.
Track position specific news/events, conference calls and economic data and events.
Analyze financial statements and interpret economic trends.
Initiate, develop and maintain business relationships with trading desks, vendors, wire-houses and internal stakeholders.
Provide current market, economic and technical information and updates as well as external changes impacting trading activities to Portfolio Managers and Analysts.
Adhere strictly to compliance and operational risk controls in accordance with Company and regulatory standards, policies and practices; report control weaknesses, compliance breaches and operational loss events.
Negotiate execution prices when shown a bid or offer.
Establish commission rates with executing brokers.
Manage all trade allocations.
Recognize areas of weakness in the trading environment and create trading functions that allow for a more efficient trading environment.
Compile monthly commission reports for upper management breaking down into propriety research, Soft Dollar, CSA and Directed categories adhering to firm directives.
Utilize technical analysis in determining entry and exit points for equities.
Assistant TraderJan 2000 to Jan 2002 Monroe Securities － Rochester, NY
Enhanced customer relationships for increased order flow.
Managed order flow for equity traders at numerous sell side firms.
Reflected bids and offers to board members and officers of the firms Monroe made markets in.
Hit and took stocks in response to the current trading environment.
Identified and resolved position discrepancies throughout the day to minimize the firm's financial exposure.
Confirmed that all compliance procedures were fulfilled and adhered to on a per trade basis.
Developed and improved existing compliance measures to ensure that the required FINRA reporting policies were followed.
Account ManagerJan 1999 to Jan 2000 Manning and Napier Investment Advisors Inc － Rochester, NY
Implemented investment decisions for individual client portfolios assigned, during a trading program and for individual situations.
Managed portfolios with Investment Policy Group's asset mix matrix and other guidelines for each statement of investment objective type.
Responded to inquiries from service representatives and client custodians.
OTC Trading Assistant/ Profit and Loss AnalystJan 1996 to Jan 1998 Lehman Brothers Inc － New York, NY
Provided operational support for the international and domestic NASDAQ trading desks.
Assisted on OTC trading desks.
Trained and supervised new employees.
Prepared daily, monthly and yearly Profit and Loss reports for Over the Counter trading desk.
Restructured and developed monthly analysis resulting in improved efficiency.
OTC Trade Support Representative/ Senior Account SpecialistJan 1994 to Jan 1996 Dean Witter Reynolds Inc － New York, NY
Executed and filled orders for trading desk.
Answered broker dealer telephones and relayed orders to NASDAQ traders.
Performed ACT function to assure all trades with contra brokers matched.
Acted as liaison between OTC Department and FINRA to resolve reorganization and corporate action issues.
Prepared weekly and monthly FOCUS reports for the corporate accounting department.
May 2012Rochester Institute of Technology － Rochester, NY
MBA, Business AdministrationSaunders College of Business
Bachelor of Arts, Finance and GovernmentMay 1993Skidmore College － Saratoga Springs, NYFinance and Government
ad, Bloomberg, budget, Coaching, corporate accounting, client, equities, equity, financial, Analyze financial statements, FOCUS, investment strategies, market, Microsoft Office, policies, Profit and Loss, reporting, research, securities, technical analysis, telephones, type
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Companies Worked For:
Federated Clover Investment Advisors
Manning and Napier Investment Advisors Inc
Lehman Brothers Inc
Dean Witter Reynolds Inc
Rochester Institute of Technology
Saunders College of Business
Job Titles Held:
Senior Institutional Equity Trader
OTC Trading Assistant/ Profit and Loss Analyst
OTC Trade Support Representative/ Senior Account Specialist
May 2012 MBA , Business Administration Bachelor of Arts , Finance and Government May 1993
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