Omaha, Nebraska, United States
With over a decade of experience in the financial industry, I have a comprehensive understanding of investment products, including derivatives (futures, options, forex, etc.), and the ins and outs of client service. I am Series 3, Series 34, Series 24, Series 27, Series 7 and Series 63 licensed and committed to maintaining a strong, current understanding of the industry.
- Compiling monthly/quarterly Regulatory Financial Reports for TD Ameritrade entities - Conducting ancillary reporting as required, including TIC, FRY711, 17H, Foreign Commissions, etc. - Reporting Daily Futures & Forex Segregated funds filing to the NFA - Training and advising new team members on roles and responsibilities - Performing weekly 15c3-3 calculation, working alongside Treasury - Planning and presenting to monthly leadership committee - Aquisition integration planning and analysis - Monitoring of Daily Net Capital
- Performed compliance audits of Introducing Brokers, and ensure the office is in compliance with National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) regulations - Drafted detailed audit reports outlining office visits - Followed up with office supervisors on audit deficiencies as necessary - Ensured Anti Money Laundering (AML) compliance on all incoming/outgoing wire transfers - Monitored and approved position transfers between customer accounts - Reviewed brokers’ monthly commission to equity reports - Inspected incoming and outgoing emails sent by employees to ensure compliance with company and government regulations - Assured brokers promotional material/websites are compliant with NFA and CFTC regulations - Mediated customer complaints by reviewing facts and trying to reach an agreement between all of the parties involved - Communicated with internal clients, brokers and regulators - Processed due diligence checks on new commercial hedge business - Reviewed and evaluated third-party audit reports for introducing brokers and monitor their progress on any deficiencies
- Opened new client trading accounts for several different brokerage groups - Serviced broker requests by updating and maintaining accurate account information - Answered customer questions and complaints through the client services hotline - Learned the job functions of different departments throughout the company to better direct clients to their correct destination - Provided clients with ability and access via email to receive daily trade confirmations - Established commission rates for accounts as requested by the introducing brokers - Maintained awareness of the rapidly changing integration from Refco to Man Financial to facilitate transition - Reviewed and approved Basket/Breakdown trading accounts - Completed Identification of Special Accounts (102 forms) to be reported to the CFTC