Compliance Officer
Horizon Point Wealth Management, Livingston, NJ
Jan 2009 – Dec 2009
- Responsible for drafting policies and procedures for the Code of Ethics.
- Ensure that all records are properly classified, retained and disposed of in accordance to regulations.
- Review and maintain all trade, correspondence, complaint and advertisement logs.
- Assist RIA in preparing for audits and reviews.
Investment Sales Assistant
Greenberg & Rapp, East Hanover, NJ
Jan 2008 – Oct 2008
- Prepare asset summaries and presentation pieces for clients.
- Record daily transaction in trade logs.
- Process ACATs and monitor to completion of transfers.
- Assist clients with questions regarding their accounts. Liaise with customer service centers to fulfill requests on their behalf.
Compliance Analyst
The Investment Center, Bridgewater, NJ
Feb 2006 – Jun 2006
- Daily review and resolution of break points for Pershing and direct customers.
- Daily e-mail surveillance and review of electronic advertisements.
- Review of all outside business trade placed by reps.
- Running and reviewing monthly active account reports, sending activity letters and documenting responses.
- Provide principal approval for all new brokerage, direct and insurance accounts.
- Assist branch examiners with the preparation of audits.
Customer Service Representative
AXA Advisors, New York, NY
Jan 2005 – Feb 2006
- Provide clients and brokers with detailed information about their accounts.
- Research and resolve any problems for clients and brokers in an accurate and timely manner.
- Advise clients and brokers on legal requirements and paper work used for account maintenance.
- Review and resolve complaint letter from customer and reps.
Sr. Trading Representative
MetLife Securities, Iselin, NJ
Jan 2003 – Jan 2005
- Ability to resolve any trade issues and answer questions about company trading procedures.
- Take mutual fund and equity orders from registered reps, execute appropriately and reporting executions.
- Ensure trading procedures are properly executed and compliance policies are followed. Work in close contact with Operation, Compliance, and the National Sales Force.
- Maintain current knowledge of regulatory trends and changes.
Sr. Commission's Clerk
- In charge of successful merger between Nathan & Lewis Associates fixed Insurance Dept. to Walnut Street
Securities Commission dept.
- Learning every aspect of the department including depositing checks from carriers, entering rates into the system, and physically cutting checks for the reps.
- Resolving all fixed commission inquiries and drafting new procedures manuals.
- Training the manager that will be taking over the different aspects of the department.