| | | 20,000+ Fresh Resumes Monthly | |
|
|
| |
Click here or scroll down to respond to this candidateCandidate's Name
Built a trading desk to accommodate growth and manage the daily operations of over Street Address accounts and $4B AUMExceeded the firms high standards of trade execution review quarterly with the Best Execution CommitteeChosen by firm executives for assignment in Singapore to train Asia client service team and oversee the opening of Asian officeContributed to growing institutional clients by meeting with consultant teamsCustomized algorithms to achieve trading goalsPROFESSIONAL EXPERIENCECiti Financial Services New York, NYVice President FIU Execution Officer August 2019Review, analyze and investigate potentially suspicious activity generated through transaction monitoring alert/cases and referred from other line of businessesTrade and account surveillance. Investigate potential Regulation M violation and MNPI insider trading activity, along with cross trading and other market misconduct using internal and external resourcesReview client ADV and marketing material to identify investment strategies, counterparty relationships, and business jurisdiction to understand expected client behavior. Work and review client activity with internal business manager for client onboarding and KYC profilesExamine flagged cases for AML and market misconduct typologies: High Risk Transfer, Fund Transfers, Low Price Securities, Offsetting Trades, etc.Weekly market outlook meetings identify broad trends amongst institution client baseConduct appropriate due diligence related to the potential suspicious activity and report such activity to the appropriate regulatory authorities Network (FinCEN), the Bank Secrecy Act(BSA), and USA PATRIOT ACT.Prepare and file a Suspicious Activity Report (SAR) in compliance with established regulatory guidelines and time frames set forth by U.S. Treasury's Financial Crimes EnforcementLiaise with other FIU units, ACRM, the Business, CSIS, FIU Legal, GIU, Trade Surveillance, and Law EnforcementStralem & Company New York, NYAn investment advisory firm since 1966, Stralem began separately managed account (SMA) business in 2004. Part of a small team, I was key contributor in building the trading desk for growth to $4B assets under management and 400 separately managed accounts.Senior Equity Trader, Trade Operations March 2011 May 2018Model based trading for separate accounts and mutual funds; large trade programs for changes to model; algorithm and dark pool trading strategies; daily trading for cash flows and rebalancingConducted morning market recap with PMs and analystDaily review of 400 accounts versus model portfolio targets; Socially responsible investment screeningPresent technical analysis and execution strategies to investment committee; compliance review with CCODeveloped Managing sell side order flow/commission management for all brokerage relationships. Soft dollar and commission recapture reporting and reviewTransaction Cost Analysis (TCA) / Best ExecutionManaged a team of three overseeing daily operations and client correspondenceAdvent Moxy daily drift report and rebalancing. Moxy block trading for 400 portfoliosCustomized compliance trade restrictions for client accounts in Moxy and APXDaily rebalancing with 50 custodian using Dataport and Advent APX.Equity Trader, Trade Operations March 2005 February 2011Managed all client trading and account reconciliationTrade DTC affirmation and settlementAsset allocation account management: Mutual Fund trading, Treasuries, Foreign Exchange, wires, checks, IRA, tax paymentsIntegrated order management and execution management systemsOpening new accounts/Know Your Customer (KYC)Managing all corporate actions: dividends, reorgs, spinoffs, splits, and 13F filingsBuilding customized client performance reportsPROFESSIONAL EXPERIENCE ContinuedFX Alliance New York, NYRelationship Manager, Client Services July 2003March 2005Role of relationship manager for asset management and hedge fund clientsTrained clients on system trading functionality and liaised with market making banks and clients when necessaryWorked with other managers and sales team to generate more trade volumeEight week assignment in Singapore to open new Client Center: tasked to train new client mangers to support Asia during business hoursManaged Salesforce product integration for the sales and relationship teamsDeutche Bank New York, NYAssociate, Corporate Banking October 2001February 2003Part of a small team assembled to manage new Bankers Trust client relationshipsEDUCATIONRutgers University New Brunswick, NJSchool of Professional StudiesData Analytics Program, Certificate, 2018-2019University of Rhode Island Kingston, RIApplied Economics & Marketing DegreeCollege of Arts & Science, Bachelor of Science, June 2001President Sigma Chi Fraternity, Varsity Hockey TeamLICENSURES/OTHERFINRA License 63FINANCIAL APPLICATION PROFICIENCYBloomberg, Advent Moxy, APX, Dataport, ITG Triton, Liquidnet, Bloomberg TradeBook, EMSX, Omgeo Oasys TradeSuite, FIX, Microsoft Office, Pershing NetX360 Advisor, Actimize Risk Manager, Broadridge TREG, Charles Schwab Institutional platform, various broker trading applications, NICE Actimize,DATA ANALYTICS/PROGRAMMINGPython MySQL MongoDB Tableau |
