Profile: Senior Margin/Option professional seeks a position with a Financial Institution. Experienced in financial/ analytical appreciation, models, and process of improvement techniques.
• Established track record for identifying complex financial problems concerning trade and regulatory issues. Provided technical support for development of new software.
• Strong leadership, planning and organization skills, capable of effectively taking an assignment with logic, determining realistic goals, and setting effective priorities. Consistently met deadlines and objectives.
Expert knowledge in technical, legal and regulatory issues.
• Skilled in the use of financial computer systems such as R C A, Midwest, PeopleSoft, A.D.P. and Triple-S.
· Genesis Securities 01/06-2/2008
· Margin Manager
· Issued Margin Calls
· Interpreted rules and regulations for Brokers and Clients
· Prepared Regulatory Reports (Call Sheets 15-3c Short report)
· Filed Extensions when necessary
· Implemented new programs for margin department as needed
· Constantly met goals and deadlines
· Improved efficiency and expertise of the department.
· New York Staffing
· Various Consulting Positions
· January 2004-January 2006
· Bank of New York
Issued Regulation T calls, house calls, Filed for extension of time, Transferred Securities, DVP, Research, Paid Checks to clients, and collected funds.
Advised Brokers on various rules & regulations & settled disputes between clients and brokers, and prepared monthly reports of losses
· Health insurance Plan of New York (HIP)
· New York District Attorney Office
Fegs, Career blazers, MSO 2000, Unemployment Compensation 1/02-2/04
· CIBC Oppenhiemer, NYC, NY 12/97-01/02
• Ensured the timely receipt of funds and/or securities and process sellout and buyins when necessary.
• Reviewed and approved the disbursements of funds & delivery of securities and journal transfers for customer accounts.
• Ensured efficient communication with branches and other Operation departments
• Analyzed existing systems, process, methods and procedures to reduce cost and increase efficiency.
· Edward Blank Associates/Chemical Mellon Bank, NYC, NY 11/95-06/96
• Provided strong technical knowledge of options and the associated margin requirements
· Advised financial consultants on trade issues and concerns.
· Trained new employees on department systems and procedures.
· Responsible for ensuring that all processing & reporting conforms to established procedures to meet legal & regulatory criteria standards.
â— Smith Barney, Inc N.Y.C. 11/1988-11/1995
· Functional as the primary contact for representatives of various financial institutions creating ongoing professional relationships.
· Knowledgeable with various Back Office departments such as Purchase and Sales, Dividends, Reorganizations, etc
· Maintain current knowledge of economic indicators, exchange and interest rates and inflation rates, political and competitive considerations.
· LaSalle Extension University, PA
· BA in Finance & Business
· Microsoft office 2000 Certification
· New York Institute of Finance
References: Furnished upon request