Danny C. Email & Phone Number

Philadelphia, Pennsylvania

Newark, Delaware

• Lead a team of four to ensure timely and accurate execution, validation, and verification of all trade instructions in order to provide first class service in a first class way.• Support multiple security types (equities, fixed income, derivatives, and private investments) for both domestic and international markets.• Advised and oversaw the adoption of a proper version control and templates for processes and procedures, freeing up resources to focus on new business initiatives• Proactively focused on issues and adjust rapidly to changes in the team, the market, or wealth management to deliver sound recommendations for process improvement.• Built and facilitated partnerships across registered representatives, distribution groups, and counterparties to enrich the client experience.• Maintain best practices to quickly assess and take action to minimize customer and firm risk.

Newark, Delaware

• Leveraged strong knowledge of market securities when investigating potential trade violations of company policy and Federal regulations.• Liaised with Compliance on the issuance of violations and various monthly, quarterly and daily ad-hoc reporting.• Provided business analysis and process improvement support to Personal Account Dealing management team and staff.• Monitored and reviewed internal employees’ portfolios ensuring compliance with the appropriate company regulations.

• Independently monitors workflow to ensure the timely completion of tasks• Collaborate with attorneys and staff on how to solve issues that I solely identified• Individually review and analyze client files• Actively facilitating client communications on all going matters.• Continuously exceeding weekly and monthly goals while providing a quality product and service.