Seth Weinstein Email & Phone Number

New York, New York, Us

New York, New York, Us

- Review and approve documentation for all new, as well as existing Capital Markets clients so that the firm is in compliant with all AML, KYC and regulatory policies.- Perform background checks of all entities and individuals to make sure there is no political exposure, adverse media or high risk scenario that would pose a business risk to the firm.- Analyse my findings and when necessary escalate to the Financial Investigative Unit for further enhanced due diligence.- Research and validate the entities data using appropriate internal and external data sources such as LexisNexis, World Check as well as the OFAC list for potential risks.- Worked closely with the sales force, client onboarding team as well as the compliance team to ensure there were proper controls in place to protect the firm.- As senior member,responsible for training college interns as well as new members of the group.

New York, Ny, Us

- Manage all equity transactions, employee stock option trading, corporate repurchase order flow and FX transactions- Maintain and manage the corporate services sector with a focus on 10b5-1 plan design and execution- Responsible for all administration, trading and general operations for over 40 global corporate clients across various sectors- Manage all executions for senior level executives and Rule 144 restricted sellers

New York, New York, Us

- Assisted in executing highly sensitive corporate repurchase order flow, which generated over $50 million in annual commissions- Worked directly with CEOs, CFOs, and Treasurers of various listed and NASDAQ companies to present trading strategies to effectively manage rule 10b-18 order flow- Serviced the high net worth clients of the firm in all aspects of their transactions- Provided expert support for trading and all trade related matters- Built strong relationships with retail brokers to execute order flow and to ensure repeat business throughout each fiscal year- Responsible for reviewing and approving the daily trade blotter- Directly reported daily commissions and P&L numbers to Senior Management- Managed all executions for Rule 144 restricted sellers and cleared them with Company Counsel- Ensured that daily work flow was in compliance with policies and procedures of the firm- Approved all new accounts by performing Customer Due Diligence and when necessary Enhanced Due Diligence to rule out any potential risks to the firm.- Reviewed and approved all movements of funds in and out of the firm for potential AML risk.- Administered stock distributions for Venture Capital and Private Equity firms- Administered and executed stock plan services for Transfer Agents

New York, Ny, Us

- Administered all insider selling plans for high net worth clients and high level executives in various Fortune 500 companies - Assisted in corporate repurchase programs from account opening to the settlement stage- Serviced the largest high net worth clients within the firm with all facets of their business- Handled execution and settlement for Middle Market accounts- Structured all trading schedules working directly with clients, financial advisors, and legal department to determine and maintain feasibility- Head weekly training sessions for FAs and CSAs to educate them on new policies and procedures

New York, Ny, Us

- Assisted in opening new Retail Branch Offices where the firm was lacking a presence- Responsible for writing Branch Office Opening Reference Guide used by new branches- Visited and assisted branch offices around the country during high volume trading periods- Conducted training sessions for new FAs, CSAs and Operations Personnel on the new systems and company policies and procedures- Monitored the account transfer process so that the FAs accounts were transferred over on a timely basis. on company policies and procedures- Conducted seminars for branch office personnel

- Managed operations area, including supervision of cashiers and wire operators- Held monthly training sessions to update sales assistants on new procedures- Performed daily reviews of all operational staff work flow- Acted as liaison between the Branch office and the back office operations areas- Assisted the Financial Consultants in communicating with their clients - Compared trades from the previous day and reconciled potential trade breaks

Ba, Economics

High School