Bob Hoff Email & Phone Number

Pflugerville, Tx, Us

Austin, Texas

Supervisor of Trading Support, 2004 – PresentResponsibilities• Analyze, approve and monitor Option activity as the Registered Options and Securities Futures Principle.• Participate in the Quarterly Compliance review and the development of reports for Options trade activity, FINRA’s OATS, TRACE and MSRB transactions.• Contribute to the success of FINRA & SEC audits by following Regulatory Standards and Firm Policies.• Recognize exceptions around activities and functions processed within or through the department alerting Compliance and Management immediately. • Develop compliance automated trading rules to protect the firm, representatives, and clients.• Manage the day to day workflow of the team including the resolution of personnel issues in addition to ensuring the training and development of the team to produce a consistently high level of service.• Maintain a high level of department service, performance and quality standards by streamlining and creating effective systems and procedures.• Approve and review the correction of error processing and trade blotters ensuring they are complete and compliant.Accomplishments• Managed and resolved various escalated issues related to errors, trading and Corporation reorganization.• Streamlined the Option Agreement Approval Process through the company’s paperless system realizing a 30% savings in processing time.• Collaborated with co-workers in the application of advanced excel formulas for the allocation of block trades and the movement of data from vertical columns to horizontal rows reducing processing time and human entry errors by over 70%.• Restructured automated Compliance and Control rules reducing NFP and representative errors by 18% and saving over $50K a year; eliminated ineffective rules by modifying and creating new rules saving over 42 FT employee hours a month.• Established a strong team focusing on advisor first attitude resulting in awards across the team.

Austin, Texas

Developed trading processes for equities, mutual funds, options, precious metals, alternative investment, ESOP’s, fixed income products, restricted stocks, corrections and risk management. Refined trading processes through National Financial Services (NFS). Increased trading services and products for representatives and their clients.

Irvine, Ca.

Promote Pershing L.L.C new internet trading system Net Exchange Pro and provide support and training to the field. Assist Chief Operating Officer on Rep review for contract renewal, merger or termination and general relations and issues. Prior positions held: Equity Trader, Assistant Manager of Equity Trading and Bond Trader.

Bachelor Of Science, Business Administration, Finance And Marketing

Associate Of Arts