TEAM LEADER, NYLIFE SECURITIES, New York, NY 2010-Present Solve non-routine issues and make procedural decisions on escalated items.Investigate and resolve operational errors.Initiate trade corrections on transactions that violates SEC rules.Act as information resource for the margin team.Act as primary Liaison for the margin team by communicating with the clearing firm regarding margin violations and granting extensions when necessary.Approve financial transactions such as wires, journals, EFTs and check disbursements.Senior service Associate Conducted due diligence via communications with clients and their customers.
Identified risk concerns for risk management review.Performed suitability review to ensure that clients investment choices were aligned with their investment objectives.Monitored mutual fund trades to ensure compliance with the company's share class and breakpoint policy.Traded equities, options, fixed income and mutual funds.Investigated and responded to FINRA complaints.Trained new personnel within the department.

Educated financial Advisors on company products, corporate policies and procedures. Provided knowledge of systems support to assist the business activities of the financial advisor.Serviced clients by researching routine problems and complaints, identified errors and initiated correction.

Traded securities for high net worth clients. Explained margin and equity requirements to investors to assist in determining their risk exposure. Qualified potential clients and determined their investment limitation.Provided credit-based solutions for core clients, including the research of trade disputes.