Senior Associate
CurrentTEAM 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.