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Customer Service Manager

Location:
United States
Posted:
May 30, 2012

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Resume:

NEAL P. LAURO

** ********* ******

Staten Island, NY 10302

347-***-****

****.*****@*****.***

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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