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| Desired Industry: Finance/Investment |
SpiderID: 28384 |
| Desired Job Location: Pompano Beach, Florida |
Date Posted: 8/24/2009 |
| Type of Position: Full-Time Permanent |
Availability Date: |
| Desired Wage: |
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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 |
Experience:
RELATED EXPERIENCE
TRADER - STOCK CROSS FINANCIAL SERVICES - DELRAY BEACH, FL 2008-2009
- Effectively directed a large institutional client and serviced all daily account needs
- Worked closely with the head trader in all trading activities as well as in monitoring firm’s inventory
TRADER - VIEW TRADE SECURITIES, INC. - BOCA RATON, FL 2008
- Served as Register Representative for client accounts
- Made markets in NASDAQ, NMS, Small Cap, OTCBB, and Pink Sheet securities
- Developed and managed a large institutional client and provided daily account needs
- Efficiently traded stocks
PARTNER OF THE HEADTRADER - EMPIRE FINANCIAL GROUP - BOCA RATON, FL 2006-2008
- Efficiently served as Register Representative for client accounts
- Made markets in more than 250 NASDAQ, NMS, Small Cap, OTCBB, and Pink Sheet securities
- Assisted Head Trader trading of his account as well as managing the firm’s proprietary inventory
- Supervised institutional clients
TRADER - OPPENHEIMER AND COMPANY - BOCA RATON, FL 2006
- Successfully traded exchange traded funds as an agent
- Monitored global markets; assisted the desk and tracked foreign market movements
- Administered and processed all orders and adjusted prices based on market fluctuations of the previous trading session
- Liaised with the specialist on the New York Stock Exchange (NYSE)
FLOATING BROKER, COMPLIANCE, SALES ASSISTANT - MORGAN STANLEY - BOCA RATON, FL 2005-2006
- Effectively served as member of the Top Producer’s Sales Team
- Coordinated with the team leader in supervising customers and assisting in the trading of accounts
- Worked with brokers that specialized in foreign accounts and sport teams
ASSISTANT TRADER - STC SECURITIES CORP. - FORT LAUDERDALE, FL 2004-2005
- Developed markets in NASDAQ, NMS, Small Cap, OTCBB, and Pink Sheet securities
- Led and supervised customer agency transactions
- Tracked and implemented PCX Trades
REGULATION ANALYST - TRADE STATION SECURITIES - PLANTATION, FL 2003-2004
- Tracked proposed and adopted rules and regulations of the SEC, NASD (n/k/a FINRA), and other self-regulatory organizations (SROs); updated written supervisory policies and procedures according to firm's business model
- Restructured, improved, and updated daily company operations in compliance with SROs
- Modified and improved written supervisory procedures including special projects for Anti Money Laundering and Commodities
- Responsible for conducting various reviews of the trading activities of the firm (including Best Execution, Limit Order Display, OATS Compliance and Firm Quote Rule)
BRANCH MANAGER - NEXTRADE HOLDINGS - BOCA RATON, FL 2003
- Established and managed the Office of Supervisory Jurisdiction (OSJ) of a proprietary trading firm including finding and negotiating a rental property, networking the computer systems, obtaining licenses from the state to open an office; advertised, interviewed, hired, trained as well as fired employees
- Supervised the functions of the OSJ trading desk
- Facilitated and directed traders concerning firm’s proprietary trading platform
- Maintained accuracy of books and records in compliance with SEC and NASD rules and regulations
- Supervised trading accounts and established goals
ASSISTANT VICE PRESIDENT - HILL THOMPSON MAGID, LLP - BOCA RATON, FL 2000-2002
- Effectively served as branch manager of the OSJ
- Managed the activities of the market makers and assistants on the satellite trading desk
- Reviewed daily market impact and exposure limits of the office's traders
- Developed and maintained daily interaction with the main office acting as liaison between compliance and trading management
VICE PRESIDENT AND OTC EQUITIES TRADER - HERZOG HEINE GEDULD - AVENTURA, FL 1987-2000
- Made markets in more than 250 NASDAQ, NMS, Small Cap, OTCBB, and Pink Sheet securities
- Analyzed risk / reward potential of more than 1,000 daily transactions
- Presented market liquidity for institutional and retail client orders
- Developed existing trading list through sector and company research
- Served as register representative for numerous client accounts
- Served as Registered Options (Series 4) Principal General Securities Sales Supervisor (Series 8), General Securities Principal (Series 24) and Municipal Securities Principal (Series 51) for the Florida OSJ
- Successfully nominated and selected by the Board of Directors to become the Vice President of Herzog and became a shareholder of the company
OTHER WORK HISTORY
LICENSED SALES ASSISTANT - SMITH BARNEY - MIAMI, FL 1986-1987
LICENSED SALES ASSISTANT - SHEARSON LEHMAN - NEW YORK, NY 1985-1986
INTERN - ALLEN & COMPANY, INC. - NEW YORK, NY 1980-1985
Education:
EDUCATION
Bachelor of Science in Business Specialization in Finance
- Rowan University, Glassboro, NJ
LICENSES
NASD Licenses
- Series 4, Registered Options Principal; Series 7, General Securities Representative Exam; Series 8, General Securities Sales Supervisor; Series 24, General Securities Principal; Series 53, Municipal Securities Principal; Series 55, Limited Representative-Equity Trader; Series 63, Uniform Securities Agent State Law Exam
Credential
- Tutored colleagues in their preparation for Series 7, 24, and 55 exam
Affiliations:
PAST AFFILIATIONS
- Board of Directory, Security Traders Association of Florida
- Member, National Society of Compliance Professionals
- Big Sister for the Big Brother Big Sister Organization
Skills:
Focus of Interest: Trading, Institutional Trading, Compliance, and Finance Industry
QUALIFICATIONS PROFILE
Pro-active, detail- and results-oriented professional, with 25 years of extensive financial experience, enthusiastic in applying dynamic strategic and analytical skills in the financial, trading, and compliance arena. Proven ability in effective communication and determined focus on success and achievement that could play a vital role in realizing company’s goals and objectives. Strong problem-solving abilities and competent at managing special projects as necessary. Hardworking and effective multi-tasker, with impressive background of improving efficiency and accuracy in accomplishing assigned tasks. Familiar with creating and implementing written supervisory policies and procedures. Skilled in managing budgets, customer service, and operating finances.
AREAS OF EXPERTISE
Leadership and Team Building
Customer Management
Account Management
Action Plans and Development
Excellent Work Ethic
Assessment and Organization
Articulate Oral and Written Communication
Superior Interpersonal Skills
Time Management, Prioritizing
Self-Motivated
Additional Information:
PROFESSIONAL TRAINING
- Attended numerous Compliance Seminars
Candidate Contact Information:
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