Frank Devino Email & Phone Number

Red Bank, Nj, Us

Greater New York City Area

• Analyze written supervisory procedures and trading activity for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of the FINRA and SEC rules and regulations • Lead or participate in, and provide guidance and advice on examinations of broker dealers. Identify key risks, develop strategies to review for those risks, and manage staffs who execute such strategies and prepare examination reports.• Actively lead and participate in meetings with firms during examinations

Jersey City, Nj

Jersey City

Responsible for the complete integration of new clients into the GSEC systems as well as maintaining the needs ofexisting clients. -Project managed several new client relationships per month to ensure an outstanding new client first experience. This included coordination of various departments within the organization to ensure proper clearance and access to appropriate trading and reporting systems. -Met with clients to assess trading needs, understand their business and goals, determine their desired product mix and reporting requirements. -Worked with an outside vendor to migrate an outdated database user profile system to a web-based system. This new system allowed the facilitation of mass entitlement changes, the ability to run queries and view prior updates resulting in greater efficiencies and improved controls. -Assisted with the development of the Eboard task management system. This system created greater transparency and control of the onboarding process of new customers along with changes made to existing customer. -Reviewed and created new procedures for the team to comply with federal regulations required when GS became a Bank Holding Company. These procedures were also added to a GS operations training website that was used to train new employees and ensure consistency within the team. Analyst, Equities Division, 2002 ­2004Client Service Representative for GS Prime Brokerage Customers that used GSEC trading systems. -Met with clients to access trading needs, understand their business goals and discuss products that could be provided. -Provided demonstrations to potential new clients as well as individual training sessions for existing users. -Collaborated with product development team to develop new functionality based on client requests. -Tested new functionality and provided feedback before new versions were released to clients

Registered Representative who provided electronic trading and exchange access to SLK clearing customers.-Executed customers’ US equity and options orders via the Redi Plus trading system and by phone with the exchanges directly.-Worked with customers and GS Operations team members to resolve trade breaks.

Iselin, Nj

Submitted sold case documentation for Life, Dental and Long Term Disability. This required the evaluation and review of census data, plan design, medical information and determination of how to apply underwriting guidelines.-Completed Monthly Sales, Pooling and Producer Bonus Reports for Manager.-Evaluated renewals and process revisions on existing business.-Communicated with insurance brokers, sales representatives and policyholders extensively.

-Performed acceptance and regression testing on illustrations utilizing programs developed by an outside company and Prudential -Created test-decks using Microsoft Excel. -Proof-read headers, footers, and explanatory pages on illustrations.

B.S., Finance

Bachelor Of Science, Finance