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Equity Trader/Ops Assistant to Successful Producer Resume
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| Desired Industry: Finance/Investment |
SpiderID: 27263 |
| Desired Job Location: San Diego, California |
Date Posted: 6/15/2009 |
| Type of Position: Full-Time Permanent |
Availability Date: ASAP |
| Desired Wage: $50,000/yr |
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U.S. Work Authorization: Yes |
| Job Level: Experienced with over 2 years experience |
Willing to Travel: Yes, Less Than 25% |
| Highest Degree Attained: Bachelors |
Willing to Relocate: Undecided |
Objective:
Seeking a challenging position where I can utilize my knowledge and experience to benefit and grow a company to the next level.
Experience:
UNX, Inc/Embarcadero Securities.
San Diego,CA April 2001–May 2009
UNX is an institutionally focused agency brokerage providing advanced electronic trading solutions and premium services. The Agency Trading desk focuses on single stock trading, as well as list trading, and focuses on the client’s trading objectives to deliver quality execution. Companies merged April of 2002.
Equity Trader/Head of Desk Administration (promoted from Operations, May 2002):
* Traded listed and OTC securities utilizing proprietary software, floor brokers and various dealers, for regular way settlement as well as shorted settlement.
* Beta tester of various algorithms and features of trading system.
* Daily communication with internal Electronic Trading Services regarding quote and system issues.
* Analysis of stocks and market conditions in general utilizing candle charts to aid in trading decisions.
* Daily reconciliation of desk account positions, booking trades to client accounts, and end of day reporting to clients.
* Performed administrative duties relating to desk trading such as processing new account paperwork, manual ticket assessment and addressing various desk compliance issues.
Operations Associate:
* Handled administration and reconciliation of accounts, ensuring timely settlement of client trades.
* Processed incoming client bills to be paid utilizing soft dollar funds in accordance with 28E regulations.
* General correspondence with high net worth clients.
Capstone Investments. San Diego, CA March 2000 – April 2001
Capstone Investments is a full service investment firm, servicing a large institutional account base.
Operations/Executive Assistant:
* Handled administration and reconciliation of accounts involving settlement of trades.
* Dealt with client inquiries and resolved prime broker commission discrepancies.
* Executed various tasks on behalf of Institutional Executives including expense reports.
* Administrative duties for office as necessary.
Education:
Attended University of Northern Iowa in Cedar Falls, Iowa. Received B.A. in Management with an emphasis in Business Administration.
Affiliations:
Member of Security Traders Association of Los Angeles.
Skills:
Series 7, 63 and 55 licensed. An ambitious and experienced equity trader with extensive knowledge of operations and desk administration; proficient user of trading software such as UNX Metabook and RediPlus; as well as Nasdaq ACT, Bloomberg, Thompson Financial and Portware OMS. Possess exceptional organizational and multitasking skills and adept at handling high pressure situations in fast paced environments.
Candidate Contact Information:
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