Manager Management

LUIS CASTANEDA

**** ********* *****, *** *******, CA 90046

TEL 310-***-**** • E-MAIL *.********@*****.***

SUMMARY OF SKILLS AND QUALIFICATIONS

• Over 14 years of financial services industry experience. Bilingual (Spanish).

• Expertise in operational and compliance functions within broker dealers and registered investment advisors in addition to various consultative projects.

• FINRA Series 7, 8, 24, 27, 55, 63, and 66. California Health and Life Insurance License.

• Successfully led conversion to a new clearing firm and software platform that resulted in a 24% annualized cost savings to the firm.

PROFESSIONAL WORK EXPERIENCE

Hunter World Markets, Inc. Beverly Hills, CA Aug 2008 – Oct 2009

Chief Compliance Officer and Operations Manager

• Managed all operational and compliance responsibilities for full service Broker-Dealer.

• Spearheaded the complete revision of the Firm's Written Supervisory Procedures and lead the implementation of those policies and procedures in the field.

• Facilitated the ongoing development of the Firm’s AML Program including CIP, OFAC review; CE firm element, and overall risk management. Met regularly with senior management from all departments to coordinate best practices and to promote areas for improvement.

• Supervised all aspects of client administration and served as principal responsible for advertising reviews; maintenance of all books and records; reporting and responding to customer complaints; MSRB, SEC, state insurance commission and FINRA filings/inquiries as necessary.

• Facilitated the dissolution and closing of several offshore hedge funds.

M.L. Stern & Co., LLC Beverly Hills, CA Jan 2007 – Jan 2008

Compliance Director

• Compliance for dually registered Broker-Dealer and its Registered Investment Advisor subsidiary Tower Asset Management.

• Conducted annual inspections of 6 branch offices and delivered findings to Firm’s Board.

• Supervision of Licensing and Registration for registered personnel.

• Reviewed trades, incoming and outgoing funds, customer correspondence and all exception reports for compliance with all applicable rules and regulations.

Morgan Stanley Los Angeles, CA March 2004 – June 2006

Area Administrative Manager

• Promoted from Branch Administrative Manager to Area Administrative Manager responsible for oversight of 4 branch offices.

• Prepared and served as point of contact for all regulatory (SEC, NYSE, FINRA) audits/inspections.

• Reviewed daily commission logs and trade order tickets.

• Monitored for security concentrations, advisor state registrations and Blue Sky Law violations.

• Assisted with administrative responsibilities including office operations procedures, monitoring of wire transfers, account journals, maintenance of books and records, as well as review of all incoming and outgoing correspondence.

• Assisted in interviewing candidates for roles within operations or client services.

• Conducted periodic internal branch inspections and audits within Area Complex.

Lehman Brothers San Francisco, CA April 2000 – June 2003

Senior Operations Analyst, Equity Syndicate Coordinator, Institutional Equities Operations

• Supervised fixed income and equities desks. Private Client Services risk management, approval of new accounts, correspondence, daily trade error corrections, margin calls, and approval of fund disbursements including checks, wires, and journals.

• Served as liaison between the New York Syndicate Desk and San Francisco Private Client Services.

• Allocation and ticketing of all Lehman Brothers lead and co-lead initial public offerings and secondary offerings.

• Maintained and reviewed all appropriate documentation regarding Free Riding and Withholding, Annex II or Legal Opinions.

• Ensured the timely and accurate settlement of all trades as member of the Institutional Equities Trading Desk.

• Initiated contact with both buy side clients and other brokers in regard to issues such as DK’s, fails, and trade allocations through Oasys.

• Reviewed and approved all new client accounts and prime broker agreements.

Osterweis Capital Management San Francisco, CA March 1999 – April 2000

RIA Compliance Specialist

• Drafted and filed new account documents, investment advisory agreements, client questionnaires and broker/custodian forms.

• Prepared SEC forms 13-F, 13-G, 13-D and other regulatory reports as needed.

• Assisted in operation of investment advisor, mutual fund, hedge fund and offshore fund compliance issues including marketing, trading, operations, and books and records.

• Distributed monthly and quarterly board and shareholder letters.

• Oversight of portfolios to ensure compliance within specified guidelines.

SOFTWARE

• Proficient in Bloomberg, Advent, Pershing, AdvisorMail and all Microsoft Office Applications.

EDUCATION

Arizona State University Tempe, AZ 1994

Economics

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