Mark Wesley

*** ****** ***** ***** . ****** NC **110

704-***-****

acf8bf@r.postjobfree.com

LICENSES

Series 7, 63, 3, 4, 9, 10, 24, 55, Life Insurance, Health Insurance

SALES

EXPERIENCE

ViewTrade Securities Securities Principal Charlotte, NC

2013 - 2014

Celadon Financial Group Senior VP-Investments

Charlotte, NC 2012 - 2013

TWS Financial LLC Registered Principal Charlotte, NC

2009 - 2012

. Reviewed and approved new accounts and transactions

. Executed complex trades for institutions and retail customers

. Monitored and ensured compliance of emails

. Executed batch trades for 50+ clients at a time

. Expanded business by establishing relationships with vendors and clients

. Trained brokers I recruited to the firm

. Oversaw the trading desks and trading activity executed

COMPLIANCE/OPERATIONS EXPERIENCE

Synergy Investment Group Director of Operations

Charlotte, NC 2000 - 2009

. Instituted new broker compliance and customer account review systems to

ensure consistency across all team members

. Evaluated customer complaints with Branch Managers

. Ability to work with all levels of management and staff within the firm

. Supervised 25 brokers for compliance with industry and firm regulations

. Monitored matters related to ethical business practice, risk management

and regulatory compliance

. Oversaw Best Execution reports

. Liaison between clearing firms and brokers

. Managed both front and back office for multiple trading platforms

. Supported new brokers through transitioning book of business to firm

SURETRADE, Inc. Supervisor of Compliance New York, NY

1998 - 2000

. Delegated responsibilities within Operations and Compliance department

. Determined suitability for clients requesting options trading

. Coordinated regulatory agency examinations

. Developed relationships with regulatory agencies to ensure proper

guidelines were followed

. Coordinated and implemented complaint prevention

. Final approval of responses to SEC and FINRA regulatory complaints

. Investigated and resolved customer inquiries via email and phone

. Supervisor of Trade Desk and Call Center before this position

SKILLS

. Excellent organizational and time management skills

. Solution oriented

. Extremely flexible and adapts well with change

. Ability to multi-task under pressure

. Strong sense of professionalism and ethics

. Advanced in Microsoft Office products

EDUCATION

Marist College Bachelor of Science Degree

Poughkeepsie, NY

Major: Mathematics Minor: Business

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