John R Quinn Email & Phone Number

Berkeley Township, Nj, Us

New Jersey, United States

MAP is a vital program within Member Supervision, supporting FINRA’s overall regulatory mission of investor protection and market integrity. MAP serves as the entry point to the broker dealer industry. Any person or entity that would like to become a broker dealer, or any existing member that would like to materially expand, needs to apply to the MAP group. The MAP team works within rule-mandated deadlines to review and analyze each application to ensure that the applicant meets the Standards for Admission before approval is granted.

Jersey City, Nj

Lead Conversion Analyst which supports the Conversion Team providing Global Processing services (GPS) for securities processing.• Led the Conversion Team, providing Global Processing Services (GPS) for securities processing solutions to new and existing clients.• Coordinated project resources and established realistic project plans.• Maintained consistent client communication regarding conversion progress.• Managed workflow and gap processes, building strong partnerships with clients, vendors, and internal teams.• Developed business requirements and specifications for client business integration.• Wrote, executed, and validated test scripts based on client requirements.• Researched and documented responses to open brokerage processing questions/issues.• Coordinated and managed mock and parallel activities, static data setup, QA and Production testing, and training processes.• Developed and executed ad hoc queries, custom reports, data workflow processes.• Facilitated Broadridge’s internal Artificial Intelligence (AI) application.• Supplied written documentation for machine learning (ML) processes.• Designed and executed test scripts for AI and ML applications.

In charge of all trade clearance for the firms’ day to day functions of DTCC settlements including but not limited to the firms Stock Borrow and Stock return process. Responsibilities include, but are not limited to managing the firms General Ledger, approving new accounts and working with traders to resolve trade issues and help manage risk for the firm. Work with the IT department to help resolve any desktop and connection issues.Oversee all departments in the Operation area. The department consist of the P & S, Settlement, Stock borrow/Loan, Reorg and the Margin department. Reconcile and allocate all cash and equity discrepancies.

Responsibilities would include overseeing Purchase and Sales, Cage, Fail Control, Corporate Actions and Stock Record. Handle Federal Wire of Funds of the firms’ accounts. Perform staff reviews and maintain a positive working environment. Troubleshoot and correct discrepancies and errors in all of the back-office operations. Responsibilities would include balancing the firms daily and monthly books and records. The books and records would consist of daily blotters, Traders P&L, the firms GL, Security Master and Stock Record.