Cindy Bernstein Email & Phone Number

New York, Ny

Full service broker-dealer and SEC registered investment advisor specializing in fixed income, equity trading, investment banking and investment advisory solutions. Solutions include alternative investment services, financial and estate planning, and wealth management.

Organized launch of human resources, management consulting, change management and organizational design business.Created introductory materials, mined LinkedIn for prospects/customers, set-up and participated in initial meetings.Website planning, including layout and content.

Greater New York Area

Grew global customer relationships by offering strategic consulting and business solutions, presenting products and services, cross-selling and revenue opportunities, problem solving, best practices/risk mitigation, and service excellence. Created strategic partnerships with C-level executives and other key contacts at the customers' organizations.Manager/supervisory role of a team of Account Managers and mentoring of peers.Engaged CCOs and other key contacts on compliance initiatives and key regulations ensuring both the customer and firm were protected from risk and reputational concerns.Assisted customers on escalated domestic and global back office issues; worked with Technology to rollout STP solutions and enhancements.Product ownership including creating process and procedures, internal and external rollout responsibilities and overseeing adoption and utilization.Worked with the Project Management Office on a new multi-custodial managed investments platform. Led stakeholder meetings, managed issues that threatened due dates, and ensured proper tracking, milestone reporting and presentation. Supported rollout efforts for large scale conversions, managed Sharepoint site, and held weekly/monthly team and business meetings with senior management and the Managed Investments organization.Key leadership roles on committees, including regulatory trade reporting and global capabilities.

Greater New York City Area

Managed a team of Account Managers who worked with institutional, retail, RIA, asset managers and prime brokerage customers. Our team worked with customers on new business opportunities, trading systems, products and services, as well as trading and operational issues. We partnered with Sales/Relationship Managers on strategic initiatives, incremental business sales, customer visits and customer retention. Worked with both the sell side and buy side communities on trading and commission issues, back office processing, and clearance procedures and issues.Created firm revenues through promotion of in-house execution services. Created order flow generation and rolled out proprietary and non-proprietary trading systems. Direct working relationship with Omgeo. Worked with customers on set-up and usage of ALERTDIrect and OASYS.

Greater New York City Area

Managed the relationship between Pershing and several business units of Donaldson, Lufkin & Jenrette, DLJ. Relationship responsibility for DLJ's high net worth business, Wood, Struthers and Winthrop Asset Management division, and DLJ's Institutional Trading department. Visited all Operations and Branch Managers for the US branch offices, met with operations staff and registered representatives. Trained on the platform, best practices, back office processes and operational efficiencies. Worked with international branch offices via telephone. Reviewed status of this key relationship with senior management regularly.