Head Of Operations
Current◾ Over twenty years of extensive experience in all aspects of a Broker Dealer◾ Equity, Fixed Income and Option settlements - money differences, quantity differences, DK’s, deliveries and receivables, firms holdings, ACT transactions, TRACE reporting, ORF reporting◾Onbording account’s – responsible for handling all aspects of client on-boarding for equity, option and fixed income accounts. Including obtaining trading authorization, settlement instructions, 151 agreements, suitability certificates, OFAC checks and ensuring compliance with AML policy.◾Handling of firm’s error accounts – overseeing all errors are executed and document compliant with the rules of NYSE and FINRA.◾Allocation of the firms daily trades – via excel spread sheets, SS&C, Oasys, ACT and Pershing operation systems.◾SEC and FINRA – work hand and hand with CEO and CCO providing proper documentation on inquires and audits.◾Equity trading - Execute and generate institutional orders. VWAP, TWAP, POV, Multiple leg spreads, Not Held, Dark pool, Pink sheet, Bulletin board, Foreign markets and 10b18.◾Risk management - Created the firms business model for rule 15c3-5(market access rules). Implement the firms WSP and manage daily risk limits for customer and firm accounts. ◾Institutional sales - onboarding and maintain institutional accounts for payout◾Technology - handles OMS issues and Fix connections◾Management - Trading, Back Office and Middle Office teams◾Billing and Reconciliation - soft dollar, firm accounts, customer accounts, broker and vendor invoices.