I am a highly motivated individual available for immediate employment who can support the delivery of professional services in Compliance, AML Surveillance, KYC Rules, FINRA regulations, Brokerage Services, Regulatory Reviews, Internal Audits, Fraud Prevention, Trading, and Risk Management. I plan to be a success with my family, friendships, and career.
Timeline
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'10
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Margin Manager
Newbridge Securities
Compliance Supervisor
TradeKing
Associate Degree
Finance (Completed '06)
Palm Beach Community College
Securities Trader
Self Employed
Collections Specialist
Phillips and Cohen
Broker
TD Ameritrade
Work Experience
Compliance Supervisor
TradeKing // Feb '07 - Jan '11
Responsible for the supervision and adherence to all FINRA regulations
Handled FINRA and SEC biannual reviews
Directly responded to customer complaints and filed on FINRA web CRD
Stock, Options, Margin, Customer Service and Risk Management Specialist
Reviewed the identity of new and existing account holders as the supervisor of the CIP (Customer Identification Program)
Handled client phone calls concerning account transactions, customer service inquiries, advanced order placement, and supervisory issues
Creator of the Customer Identification Program database was implemented by such clearing firms as Penson Financial and Legent
This essential CIP tool is currently being marketed to brokerage firms by MacDonald Information Services as the benchmark utility for customer identification
Developed an AML detection system to monitor and identify any suspicious money movement
Reviewed and Approved Incoming And Outgoing Correspondence
Reviewed and Approved New Accounts
Account Transfer and E-Commerce Specialist
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Broker
TD Ameritrade // Feb '99 - Sep '02
Equity, option, margin and mutual fund order expert
Delivery of Management level Customer Service by phone, e-mail, "Live Chat", and in response to a complaint filed with FINRA or the SEC
Risk Management experience in evaluating firm and client risk
Vast knowledge of retirement and tax related inquiries
Advanced Technical Support (Trouble-shooting electronic brokerage technical issues)
Fielded new account calls and all identified all potential prospects
Carried out supervisory responsibilities by checking order tickets, associate paperwork, e-mail correspondence, approving check requests, and money market tickets
Fulfilled back office responsibilities such as gathering and itemizing departmental statistic reports and forwarding time sensitive customer service files to the appropriate managers for expedited resolution
Associate Trainer - trained new and existing associates in Advanced Margin, Trading Order Entry, Risk Management, and proper handling of all correspondence
Cross-trained as a Customer Relations Officer/Sales Representative at the branch level.
Highly skilled in Legent Clearing and Penson Financial back office systems, AOM BETA order entry, Vantive, Brightware, Microsoft applications, OFX Comtapi, Fiserve/CTT.
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Securities Trader
Self Employed // Nov '03 - Dec '06
Utilized experience in market trending and research to self sustain income via day trading equities
Incorporated knowledge of options to hedge investments from substantial losses
During this time period I attended college and achieved my associates degree
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Collections Specialist
Phillips and Cohen // Jan '03 - Oct '03
Contacted businesses that defaulted on contractual obligations and negotiated payment terms
Researched and updated contact information for responsible parties and maintained detailed records of all interactions with clients
Consistently in top five percent of recovery specialists in dollar amount and calls per hour
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Margin Manager
Newbridge Securities // Sep '11 - Oct '11
Monitored account transactions and equity levels daily
Ensured timely payment of Reg T debits or filed the appropriate extension
Issued House, Fed, Day-trader, Equity, and Exchange Calls
Identified free ride violations and placed proper restrictions on accounts when applicable
Enforced and adhered to strict Risk Management procedures
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