Broker Dealer Resume Sample
Willa Hessel
67039 Moen Plain,
Boston,
MA
+1 (555) 311 1061
Work Experience
Director of Broker Dealer Operations
03/2016
-
PRESENT
Dallas, TX
- Facilitate participative management. Motivating employees to achieve high levels of performance
- Leads projects, coordinates resources & communicates the status of projects to leadership team and key stakeholders external to the department.
- Documents progress of project to include key measurements and opportunity areas
- Establish/Communicate job performance standards and work procedures
- Construct and deliver formal and/or informal presentations
- Implement the Company's Affirmation Action goals for the selection, training, development, and promotion of minority group members and women
- Work in a team environment that emphasizes diverse cultures
- Maintain a high level understanding of DB’s wide range of investment products and global investment views
- Market active, passive, and alternative solutions to DB’s most important clients
Broker Dealer
03/2012
-
02/2016
Detroit, MI
- Prepares and presents briefings for both the assigned distributor’s and Columbia Management's senior management
- Preparation of daily SEA Rule 15c3-3 reserve calculations for both MSCO and MSSB, MS’s 2 primary U.S. BDs
- Analyze/evaluate customer protection aspects of all New Products proposals impacting MSCO and MSSB
- Presents Dimensional Fund Advisors’ investment capabilities, investment theory and performance to Financial Advisors, branch offices, company conferences and industry functions
- Present Dimensional’s products and philosophy to small and large groups
- Daily Blotter & Other Supervisory Reviews
- Review and approve marketing material that is distributed through the bank or broker dealer channel (e.g., Private Placement sales)
Cib-treasury Services NA Banks & Broker Dealer
10/2007
-
09/2011
Chicago, IL
- Determine if sale meets appropriate suitability requirements for client/prospect
- Ensure that communication to client/prospect falls within FINRA guidelines for PPM sales
- Review and approve the subscription agreement for the sale of a PPM
- Review and approve all Managed Account sales
- Review and approval of bank-channel and broker dealer investments
- With minimal supervision, operates more complex equipment including mail metering machines, hand-held scanners, and imaging scanners
- Monitors and alerts coworkers and leaders of safety issues
Education
Argosy University - Sarasota Campus
2002 - 2006
Bachelor's Degree in Business
Professional Skills
- Strong organization and execution skills while being involved in multiple initiatives
- Strong written and verbal communications skills with ability to influence and direct peers and business partners
- Excellent customer focus and customer service skills
- Flexibility and ability to quickly adapt to changing priorities
- Review of Operational Controls surrounding SEC Rule 17a-5 to ensure they are designed and executed effectively
- Strong brokerage accounting knowledge
- Strong understanding of Brokerage Operations
How to write Broker Dealer Resume
Broker Dealer role is responsible for events, reporting, compensation, security, securities, finance, tax, analysis, marketing, accounting.
To write great resume for broker dealer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Broker Dealer Resume
The section contact information is important in your broker dealer resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Broker Dealer Resume
The section work experience is an essential part of your broker dealer resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous broker dealer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular broker dealer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Broker Dealer resume experience can include:
- Indexing and preparing incoming paperwork to be sent for processing
- Performing quality analysis related to banking, broker dealer, FCM accounting and regulatory processes
- Monitoring and steering of the closing process
- Assessing the Accounting, Finance and Operations internal control environment (to the extent that it generates accounting)
- Executing securities trades and providing quotes
- Being a subject matter expert in terms of internal control, accounting and regulatory risks
Education on a Broker Dealer Resume
Make sure to make education a priority on your broker dealer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your broker dealer experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Broker Dealer Resume
When listing skills on your broker dealer resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical broker dealer skills:
- Strong leadership capability with prior managerial experience required
- Strong experience with the SEC’s Net Capital and Customer Protection requirements
- Reviewing paperwork for accuracy / good order
- Approximately 5-7 years of experience working as an external auditor, or financial controller in the financial sector
- Significant business experience in financial services, ideally broker/dealer
- Staying up to date on emerging GAAP, IFRS, and B/D regulatory changes and assessing their impact on the firm’s accounting policies and control framework
List of Typical Skills For a Broker Dealer Resume
1
Skills For Director of Broker Dealer Operations Resume
- Designing audit plans on high risk processes and areas and help with their implementation and follow up
- Communicating with multiple teams within the bank on their activities and risks
- Processing distributions, ACH / wire transactions, journal entries, ACAT transfers and other transactions
- Explaining trade procedures to callers
- Testing the quality of SG’s Broker Dealer compliance with the SEC Financial Responsibilities rules (17A5 Framework)
- Technical aptitude and understanding of how systems work/integrate with one another
- Contribute to action plans aimed at increasing operational efficiencies
- Establish the system’s ability to comply with regulatory reporting requirements
- Willingness to take on broader responsibilities over time
2
Skills For Broker Dealer New Accounts Senior Associate Resume
- Make payments on behalf of AFS, LLC timely and correctly to external vendors
- Refund overpayments to PFRs for AFS, LLC expenses
- Review of all Liquidity policies, procedures, the contingent funding plan, Individual Liquidity Adequacy Assessments (ILAA’s), etc. in order to obtain an independent viewpoint of the representation of risk
- Account certification process for entities within Americas perimeter
- Regulatory oversight of Branch, Broker Dealer and subsidiaries
- Train and guide operational teams on controls
- Identify opportunities to enhance operational platforms and systems
- Series 7 and 24 required within 6 months of hire
- Assists and oversees other employees in setup and use of equipment
3
Skills For Broker / Dealer Operations Specialist Resume
- Knowledge of TrustQuery and associated products
- FINRA Series 6 and 26 License required
- Plans, implements, manages and/or contributes on compensation and incentive projects that are up to moderate complexity and are small to moderately scaled using accepted project management standards
- Operating as the Key contact and primary operations relationship manager for all broker dealers, BGA’s, IMO’s, RIA, individual agents
- Provide data to Dash reports on held, missing, corrected commissions payments
- Use reporting and analysis to assist in development and implementation of strategies
4
Skills For Regional Broker Dealer External Wholesaler Resume
- Serve as contact for (registered) Agency Owners and Financial Specialists for questions about commissions payments
- Design, plan, organize, control and evaluate multi/cross-organizational projects from concept through implementation of a solution incorporating multiple strategic business partner’s organizations
- Manages service levels, troubleshoots operational issues
- Identifies commission and benefit problems
- Implements local and national efforts to improve efficiency
5
Skills For Cib-credit Risk Market Infrastructure & Broker Dealer Risk Analyst Resume
- Support the firm’s Corporate Location Strategy
- Oversee executive management’s Culture & Conduct initiatives across the organization
- Cold and warm calls into prospect firms
- Identification of opportunities across other business segments
- Answer detailed client inquiries about MSCI products and methodologies
- Inform all clients about MSCI products, announcements, projects, etc
6
Skills For Broker Dealer Suitability Consultant Resume
- Work with other departments to ensure that client requests and inquiries are managed appropriately
- Proactively solicit client feedback regarding new initiatives and future product development and share with relevant internal groups (i.e. Product Management, Sales Colleagues, Marketing, and Research)
- Associate responsible for establishing and servicing the following in a broker/dealer environment
- Assess and challenge current processes and methodology to identify opportunities for improvement
- Lead the department through multiple projects including the implementation of a new general ledger and stock record systems, the adoption of Basel 2.5 methodology to calculate market risk, the adoption of new Security Based Swap Dealer Regulations to name a few
- Work with business partners across the organization to analyze specific requirements of each project, develop comprehensive project plans and track project performance
7
Skills For Cib-treasury Services NA Banks & Broker Dealer Resume
- Delegate project tasks by utilizing Regulatory staff members
- In Broker Dealer Regulatory Reporting
- Oversee the preparation of the monthly focus reporting package and reserve computations
- Act as the liaison for Finance during regulatory examinations and audits
- Provide rule interpretations regarding net capital and customer protection
- Develop and formalize a Regulatory Net Capital Policy Manual
8
Skills For Middle Office Broker Dealer Support Specialist Resume
- Compliance with SEC Rules 15c3-1 (Net Capital) and 15c3-3 (Customer Reserve Computation)
- Monitor and manage net capital on a daily basis
- Report regulatory and financial results to senior management
- Review and approve new business proposals
- Reconcile compensation corrections
- Provide accurate, timely reports
- Serve as liaison for New Accounts team with other departments and outside vendors
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