Customer Service Manager
Resume:
NEAL P. LAURO
Staten Island, NY 10302
****.*****@*****.***
OBJECTIVE
To obtain a challenging, growth-oriented position that values experience and will advance current analytical, customer service, follow-up and problem-solving skills.
SUMMARY OF QUALIFICATIONS
Brokerage Licenses: Series 7, 63, 24, 4, 3, 30
Concrete understanding of Regulation T and firm credit policies
Self-motivated, dependable and able to achieve immediate and long-term goals
Adapts easily to new concepts and responsibilities
PC Literate; Computer skills include MS word, Excel, NetXPro, Streetscape, FBSI, CICS, ADP, CFO
PROFESSIONAL EXPERIENCE
2008-2012 Jefferies & Company, Inc. acquired
Prudential Bache (2011) New York, NY New Accounts Associate
• Team leader for New Accounts Team
• Review all Futures and OTC documentation, ISDA, trading agreements and Futures Direct
• Supervise the processing of all new account applications
• Liaise with compliance, legal and credit departments on ISDA negotiations
• Review formation documents to ensure authorized signatories and the ability to speculate commodity futures
• Manage all new account documentation
• Assist financial advisors with the completion of respective client new account applications
• Perform know your customer due diligence using World Check, Equifax, OFAC, Lexis Nexis and Google
Associate Branch Manager OTC Trade Support
• Oversee middle office operations for OTC metals trading desks
• Manage all daily settlement payments
• Authorize all order errors and trade corrections
• Ensure department compliance by monitoring all incoming and outgoing email and fax traffic
• Complete annual reviews for Foreign Financial Institutions
2006-2008 Matrix USA LLC New York, NY Operations Manager
• Reviewed daily equity and option trade blotters with commission reports
• Provided trade support for Institutional Trading desk
• Supervised all brokerage aspects with regards to New Accounts, ACAT, and Cashiering
• Assisted Chief Compliance Officer with the preparation of Written Supervisory Procedures
• Examined Anti Money Laundering exception reports daily: OFAC, FINCEN and OATS
• Prepared documentation for SEC and NASD Audit
2003-2006 Pershing Jersey City, NJ Team Leader – Margin Associate
• Maintained margin calls and cash due items
• Processed journal requests, DTC deliveries, write-offs and DWAC items
• Managed the completion of daily tasks by a team of margin associates
• Trained new associates to learn process and systems
• Regulation T and maintenance calls, extension filing
• Executed sellouts for unpaid trades
2000–2003 Park Avenue Securities, LLC New York, NY Margin Analyst
1998–2000 Bear Stearns Securities Corp., Brooklyn, NY Margin Clerk
EDUCATION: Bachelor of Science, Accounting, The College of Staten Island, May 2007
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