Stephen Block Email & Phone Number

New York City, Ny

As an Examiner-in-Charge, I lead teams in examinations of financial institutions or financial services companies typically offering multiple product lines or services, including some that may pose a risk to consumers, and will participate as a technical expert in the development of solutions to issues and problems with broad impact on consumers and the industry. With minimal supervision I conduct very complex examination work, and develop, present, and discuss examination findings, recommendations, and matters requiring attention with depository institutions and non-depository consumer financial services company's ("regulated entities") senior management. Specific duties include the following:• Develop and implement supervision strategies for regulated entities being examined,• Evaluate adequacy of Board and Management oversight of the compliance program,• Evaluate adequacy of the regulated entity's compliance program, including policies, procedures, controls, staff expertise and training,• Assess risk and prepare Risk Profile of the entity and affiliates,• Examine the entity's audit procedures, including resource materials,• Researching, analyzing and interpreting regulations, laws, practices or procedures,• Conducting examinations, investigations, audits, reviews, tests or analyses and developing recommendations,• Training, developing or mentoring others,• AND communicating legal, regulatory or technical financial subjects to senior management through both oral presentations and written reports.

Hoboken, Nj

As a discount brokerage firm stock broker, I partnered with clients guiding them on the journey to financial success, entered trades for individual equities, exchange traded funds, closed end funds, and options. I facilitated seminars to teach investors technical analysis, ensured compliance with FINRA and SEC regulations, made proactive business development calls to clients, and prospects, for asset gathering purposes. I used business development techniques to strengthen client relationships in order to drive value for the customer and Scottrade. Held series 7 for position

Wall St. New York, Ny

As a financial advisor at a Wall St. investment banking firm, I provided clients with advice on financial matters, making recommendations on ways to best utilize their money. I ensured compliance with FINRA and SEC regulations. The role involves researching the marketplace and advising clients on products and services available, ensuring they are aware of; and understand those that best meet their needs, and then securing a sale. Products I advised on and offered include publicly traded equities, close-end funds, open-end funds, private equities, bridge loans, private investment in public equity, private placements, and underwriting sales syndicate for initial public offerings. I Held a series 7, 63, and 65 for this position.

Sardina, Italy

As a third class petty officer in the U.S.N. I learned effective leadership, the ability to work as a team member and a team leader, ability to get along with and work with all types of people, ability to work under pressure and meet deadlines, ability to give and follow directions, systemic planning and organization, emphasis on safety, ability to conform to rules and structure, flexibility and adaptability, self-direction, initiative and hard work ethic, and a standard of quality with a commitment to excellence.

Bachelor Of Science (B.S.), Finance, General, 4.0

Activities and Societies: Member of the NJ Collegiate Business Association Honor Society Member of the National Society for Leadership.

Business Administration And Management, General