VP Relationship Manager, 02/2006 to CurrentMIDAS EXECUTION SERVICES, LLC Midas Securities LLC － Anaheim, CA
Stock Brokerage and DMA connectivity to Korea KOSPI trading Developed and operated $200 million brokerage business locally and in the United Kingdom, developed and implemented the firm's strategic plan and budget, analyzed the firm's P&L to save over $300,000 in operational cost Recruited, trained and supervised a diverse staff of 16, created a successful work environment for all staff through a positive and proactive leadership style Provided constant feedback to staff and implemented process improvements that led to a 98% customer service satisfaction rate Grew business in United Kingdom from $600,000 to $3.8 million within 5 years Experienced in operations restructuring to address business growth, reduce cost, and improve service Analyzed payroll costs and productivity reports and implemented best practice improvements Provided technical support for Korean brokerage and dealer, and trading software for foreign clients Engaged in private placement and 15c2-11 filings.
Supervise 144 filing and transactions Engage in market making of low price stocks Branch compliance and audit Clearing Liaison - day to day branch operations Consult and Market KOSPI trading to US high frequency trading firms Experienced in risk management and reduced business costs by 15% through research and analysis of daily and annual budgets Experienced with conflict management and dispute resolution Call Center Management with the latest technologies in call monitoring and statistics Software QA and training.
Independent Financial Consultant, 11/2004 to 08/2005SEGTRADE － Walnut, CA
Ran my own desk - day trade, retail, and high net-worth clients Assessed risks with regard to markets and clients' accounts Resolved trade disputes and provide financial guidance Developed business through referrals and prospecting Recruited new brokers to join SEGTRADE.
Branch Manager, 09/2003 to 11/2004MIDAS SECURITIES, LLC － Buena Park, CA
Korean full service/day trade brokerage company making a market in the US Oversaw day to day operation of the branch Resolved trade dispute and provide impeccable customer service Responsible for branch P&L Involved in strategic planning to add more retail clients to the company Developed and maintain relationship with new and existing clients Oversaw branch compliance IT support and product training.
Call Center Manager / VP, 01/1996 to 01/2002TD WATERHOUSE INVESTOR SERVICES, INC － Pasadena, CA
A leading discount brokerage company with over 150 branches nationwide.
A subsidiary of TD Waterhouse Group, Inc., a wholly-owned subsidiary of Toronto-Dominion Bank.
Hire, train, supervise, and motivate two teams comprised of 32 members in two different locations -NY and LA.
Act as liaison between call centers and retail branch network.
Manage and assess risks to reduce liability and increase profitability.
Key Accomplishments: Pioneer Asia Pacific sales and Services aimed to target Asian investors.
Since then, Asia Pacific has expanded to include four retail branches and two call centers with over 62 associates.
The division is the fastest growing one in the company.
Set up two retail branches and one call center.
Create value-added services to ensure total customer satisfaction Asia Pacific Private Client Services - Personalized service tailored to the high net-worth clientèle.
Aim to deepen relationships and to generate additional business through referrals.
Extended Hours Services - Customer service beyond market hours.
The service allows clients to access account information and customer service until 8 PM PST.
Successfully integrated Kennedy Cabot (a company acquired by TD Waterhouse) in 1999.
Introduce TD Waterhouse values and cultures Implement and train 12 employees on TD Waterhouse procedures and policies.
Remodel retail location to upgrade facility.
Engaged in software QA and training.
Sales Supervisor, 01/1992 to 01/1996DENNIS UNIFORMS MFG. COMPANY － Oakland, CA
A privately owned school uniforms manufacturing and retailing company with over 25 retail locations and $55 million in annual sales.
Train, supervise, schedule, and motivate 14 full and part-time sales associates.
Manage the day-to-day activities of sales floor with $1.8 million inventory.
Schedule and set up 50 schools sales annually.
Generate new business through acquisition of new school uniforms contracts.
Key Accomplishments: Set record sales for the Oakland store - topped $1 million in sales for the first time in 12 years of operation in 1994.
Renewal of contract maintains at 99% rate and acquisition of new contracts grows at a rate of 36% during tenure.
Assist in the set up and training of Novell Network nationwide.
Complete and integrate to existing platform within eight months.
Streamline mail order flow to increase efficiency and reduce error rate.
o Efficiency measured by shipments per day increased by 60%.
o Error rate have been reduced by 75% as measured by fewer complaints.
Education and Training
Bachelor of Science:Biology Chemistry,1992CALIFORNIA STATE UNIVERSITYGPA: Cum LaudeBiology Chemistry Cum Laude
A+, Streamline, Automotive, budgets, budget, c2, Call Center, conflict management, contracts, clientèle, Client, clients, customer satisfaction, Customer service, filing, financial, inventory, IT support, Korean, leadership, Market, access, Microsoft Access, MCP, Microsoft Excel, mail, Outlook, Microsoft PowerPoint, 2000, Windows 95, 98, Microsoft Word, network, Novell Netware, Novell Network, payroll, policies, QA, research, retail, risk management, sales, statistics, strategic, strategic planning, technical support, Technician, upgrade, Vantive 8