Provided sell-side equity execution services to firm's buy-side institutional accounts.Utilized smart order routers, floor brokers, and algorithmic trading strategies via front-end order management system based on breath of market and liquidity opportunities in both public and non-displayed markets.Tracked execution quality to ensure benchmarks were being met consistent with account expectations.

Surveil and provide first line supervisory transaction review and approval of equities, mutual funds, fixed income, cash equivalents and real estate investment trust transactions for broker-dealer utilizing SunGard's Protégent Surveillance and Supervisory compliance solutions software.Identify suitability of investment vehicles for client's based on investment objectives, risk tolerance, financials, age and portfolio diversification. This process incorporates assessing appropriate standard deviations, identifing churning, excessive sales loads, disproportionate investment in a single security, breakpoint implications and violations.Review and approve all Office of Supervisory Jurisdiction (OSJ) written correspondence as a first line supervisor for broker-dealer in adherence to FINRA Rule 3010.

Provide sell-side equity execution services to firm's domestic and international institutional accountsFacilitate equity execution services for corporate repurchase plans, compliant with SEC rule 10b-18Serve as key member of the firm's best execution committee to ensure firm's compliance with SEC rules 605 & 606Evaluate post trade analytics to determine firm's order routing strategies and preferencesNegotiate $2 broker and algorithmic trading platform provider feesRelationship liaison with regional exchanges and wholesalers

Provided technical and analytical information to regional wholesalers, registered representatives and individual investorsTelemarketing of product line to registered representatives, registered investment advisors and broker/dealersPrepared asset allocations and hypothetical illustrations for registered representatives and individual investors

Negotiated and executed over-the-counter trades on an agency basis through market makersCompared and researched trades with market makers through ACT reporting systemProvide quotes and markets through Level 2 NASDAQ, pink sheets and yellow sheets

Opened new accounts - Provided quotes and account informationAssisted customers by providing information on products and services offered by the firmRepresented the firm at locally sponsored lectures and seminars on current industry trends

Prepared and conducted registered branch office compliance auditsResearch and responded to formal inquiries from the SEC, NASD and State Securities CommissionsApproved general securities advertising, sales literature and correspondenceComposed compliance notices to update registered representatives on industry rules and regulations