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.
• 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,

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.

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.

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.

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 and.

Business Administration And Management, General