Christopher Rooney Email & Phone Number

Greater New York City Area

Greater New York City Area

Received and circulated outright and swap orders for convertible corporate bonds and convertible preferred stock.Brokered convertible securities orders via Bloomberg.Corrected trade problems and discrepancies with both the contra broker and the firms back office.Reconciled and corrected monthly billing statements with contra brokers. Reported trades using Act and FINRA Trace.Reconciled daily and monthly trade blotters for both net and commissionable trades.

Processed and priced institutional trade tickets and municipal bond orders.Priced and filled retail orders for various financial products including; taxable and tax free municipal bonds, corporate bonds, government and private label CMO's and Pass-Through's, and CD's.Processed retail trade ticket corrections Corrected trade problems and discrepancies with both the contra broker and the firms back office. Maintained and balanced municipal bond and CMO inventories.Tracked trades and holdings across the entire family of Spirit of America funds.Prepared mutual fund performance reports and board presentations.Developed and updated mutual fund marketing and sales materials.

Processed Fed funds wires and internal account journals daily at clients request.Analyzed financial statements and prepared personal financial plans for prospective clients.Opened client accounts, processed client agreements, and prepared all client documentation.Processed client IRA, annuity, and insurance distributions.Planned and organized client recruiting seminars.Processed and distributed client checks and payments from brokerage accounts.

Involved in all aspects of sales and customer service.Launched multi media advertising campaign partnering existing television advertising with direct e-mail marketing, SEO, search engine advertising, and launching three outdoor advertising campaigns.Responsible for online customer service, order processing and shipping.Developed and launched a fully functioning e-commerce and informational website.Process daily website inquiries providing pricing and product information. Expanded and maintained existing intranet, computer systems and server.

Assisted branch manager in identifying candidates for the retail brokerage division.Supported operations manager in ensuring that all brokers were in compliance with all department policies including; trade ticket processing, order confirmation share allocation and tracking trading positions.Assisted branch manager in client account reassignment and tracking when financial advisors left the firm. Analyzed performance of financial advisors and created reports for the branch manager’s use in performance evaluation and financial advisor incentive programs.

Involved in various financial operations of the company including profit and loss statements and special financial reporting presentations. Collaborated with the billing department, as well as product managers to catalog, research, and confirm all fees collected by the company. Participated in the Six Sigma certification project as well as business continuity and disaster recovery initiatives.

Bachelor Of Science, Business Administration; Finance

Education record

Education record