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.
• 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.

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.

-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