Jesse Brooks Email & Phone Number

New York, New York, United States

-Leads operational product implementations for change/enhancements related to client seg and rehypothecation (including 15c3-3)-Provides expertise while working collaboratively across functions to define technical requirements, analyze cost-benefit, and specify success metrics.-Direct support of with executive-level management with support responsibilities spanning prime brokerage, agency clearing/execution, & wealth management lines of business.-Extensive experience in reg-change and compliance remediation efforts. Regularly serves as external regulatory and audit relations subject matter expert for client assets function.

New York, New York

New York, Ny

-Risk lead in Member Regulation with experience in broker-dealer financial operations and regulatory accounting. Specific focus on 15c3-3, 15c3-1, and related FINOP regulatory risks.-Responsible for face-to-face communications with C-Suite managers/executives of Finra member firms through the examination program. -Team and audit/examination planning lead.

New York, New York, United States

New York, New York, United States

New York, New York, United States

Greenwich, Ct

-Settlement and secured funding operations roles in Stock Loan and Equity Settlements. -Daily responsibilities within the US and Canadian market making segment.-Accountable for compiling daily statements of cash flow for the operational group.

Greater Boston Area

Provided financial advisor support for individual income tax projections, estate planning, investment research, client portfolio performance reporting, and new business acquisition proposals.