National project executive sponsor in role as Co-Chair of the Office management team ACTM while maintaining a high level of production within the parameters of the MSM role.Manage risk within the branch while maintaining a superior and consistent level of client service and maintaining positive morale for all sales associates and team.Conduct one-on-one strategic program reviews with each FA/FA Team/CA (Team Grid, Client Support Enhancer, and Strategic Growth Award, Risk and Compliance).Coach other MSM’s in the Mid-Atlantic division to facilitate improving the risk tenor of the division.Facilitate monthly conference calls between senior management, strategic partners and banking partners to identify possible risk issues.

Review trades for various regional complexes, determining potential violations and/or concerns and avoiding potential penalties; protects the firm, clients, and financial advisors from potential litigation. Earned Series 66, and 9/10 Licenses within 90 days.• Member of the office management team supporting 150 financial advisers and 200 associates with annual revenues of $200MM.• Daily supervision of FA trading equities, debts, ETFs, mutual funds, alternative investments, structured products, equity options, closed end funds and UITs.• Conduct risk management supervision to identify emerging risks - churning/reverse churning, negative performance, concentrated positions, mutual fund switching and margin exposure, drive adoption of disciplined investment practices.• Review portfolio activity for suitability and potential risks, proactively identify trends and patterns, facilitate contact with at-risk clients.• Daily FA interactions, face-to-face meetings and written communications.• Builds long-standing client relationships, goals-based investment advice and adherence to the high standards of fiduciary responsibilities• Maintain an in-depth knowledge of securities regulations.

Played key role in establishing desk; incorporating corporate mission and supporting sales force development and expansion from 6 to 55 staff members.• Led site selection and office relocation from Clark to Edison to accommodate expanded staff.• Onsite compliance officer and specialists in equity trading, foreign trading, sales trading, and office administration. • Traded diverse group of NYSE, AMEX, NASDAQ, and Bulletin Board securities. Developed customer repertoire including UBS Securities, Credit Suisse, Pershing, Goldman Sachs, and Morgan Stanley.• Supported sales force as securities subject matter expert, encompassing 500+ active and inactive stocks. • Facilitated customer order receipt and execution, providing market condition updates and implementing optimal execution practices based on history of security, competitor trade knowledge, matching buyers and sellers, and forecasting general public reactions.• Short and long-term trading strategies.• Worked collaboratively with internal Compliance Department, implementing procedures in adherence with FINRA and SEC regulations. • Functioned as resource to Compliance Department, Branch Manager, Vice President of Trading, and Vice President of Sales Trading. • Monitored daily activities of trading personnel to ensure adherence to firm policies.

Traded NYSE, AMEX, NASDAQ, and Bulletin Board securities.• Developed and maintained opening and closing of diverse trading situations.• Supervised the practices of group traders, identifying and presenting questionable activities to Compliance Department; avoided loss and saved regulatory fee expenditures.