Stephen Klein Email & Phone Number

Dallas/Fort Worth Area

Review risk policies and procedures of financial industry participants, interview management and use analytical skills to write reports detailing areas of risk. Also involved with developing scope of examination program and contributing ideas for improvement.

Manage firm risk in futures/futures options. Monitor internal risk systems and take appropriate action as needed to mitigate risk based on company guidelines. Interactions with clients via phone, web chat, and email to explain position and strategies to reduce risk. Also experienced with portfolio margin accounts, and familiar with stress testing. Assisted with training new representatives and presenting complex information to other teams in the company.

Main focus on derivative products, including equity and index options. Monitored internal risk systems and proactively reduced risk per firm guidelines. Dealt with option expiration risk on a weekly basis by reducing positions in clients accounts within parameters.

Provide support to clients for award-winning thinkorswim software following TD Ameritrade's acquisition of thinkorswim in 2009. Explained various aspects of the software and strategies relating to options.

Interacted with clients mainly thru phone to resolve customer service issues and placed equity and option trades. Processed client work items, reviewed client's trades for accuracy, and responded to client emails.

Dallas, Texas

Handled customer inquiries to their accounts, written correspondence and processed payments. Responded to inquiries per company guidelines. Later migrated to be a specialist in handling workouts and unique situations with borrowers.