Skilled financial professional with sixteen years expertise in retail and managed-money brokerage trading practices and back-office clearing functions. Analytical and detailed-oriented, able to identify and implement process improvements that increase accuracy, consistency, and efficiency. Collaborative team player with strong communication, decision-making and time management abilities. Experience as lead and subject matter expert with internal audits over brokerage operations and regulatory examinations.

Highlights:

• Analytical
• Advanced Excel
• Advanced Access
• Complex problem resolution
• Business Process Improvemen
• Business requirements matrixes
• Business systems analysis
• Securities
• Management
• Audit
• Automation
• Compliance
• Fraud
• Investment Management
• Process Improvement