Project Manager Sales
Resume:
Eric Lawrence Weinstein
North Merrick, NY 11566
H: 516-***-**** ************@*****.***
C: 917-***-****
SUMMARY OF QUALIFICATIONS
• Talented and accomplished FINRA regulatory expert and management professional.
• Highly motivated with a strong commitment to minimize Regulatory, Reputational and Financial risk.
• Outstanding organizational, written and verbal skills along with attention to detail.
• Experienced working in demanding environments and managing multiple projects.
• Strong background in Operations, Sales, Compliance, and Management.
EDUCATION
B.A. Economics State University @ Buffalo
EXPERIENCE
Surveillance, Regulatory and Compliance Experience
• Monitored mutual fund trading to identify and resolve any share class, breakpoint, short term trading and mutual fund switching issues.
• Reviewed trade blotters to ensure proper activity matched the client’ risk profile.
• Managed client issues and complaints following Regulatory and Firm policy.
• Corrected 100% deficiencies after performing internal audits of the Registered Representatives under my supervision.
• Reviewed E-mails and outgoing correspondence to adhere to FINRA regulatory and Firm policy.
• Reviewed Suspicious Activity Reports and Anti Money Laundering Reports with escalation to Sr. Management.
Management
• Successfully managed 45 Registered Representatives and delivered results for an acceptable audit rating.
• Managed Registered Representative nationwide within the Private Bank-met aggressive sales goals consisting of Mutual funds Managed Accounts, and Alternative product offering.
• Managed and performed assessments on third party vendors to ensure the Global Wealth Management Information Security Standard was followed.
Program Development/Training
• Built an OSJ to comply with regulatory requirements for a Securities Based Product offered within the Private Bank.
• Developed and implemented the E-mail Supervisory review/escalation process for the Smith Barney Private Client Area.
• Trained the Merger and Acquisition Area of Smith Barney Private Client on rules and regulations surrounding confidential information being sent via e-mail.
Administration
• Maintained Branch Records in accordance with the Securities and Exchange Act of 1934.
• Acted as a Registered Option principal.
• Contacted clients to ensure they understand all the risks associated with their investments.
• Delivered the Annual Compliance Interview for all of the Registered Representatives under my supervision.
• Reviewed Employee statements to ensure the “Know your Employee” FINRA regulation.
• Followed up with Sr. Management and Human Resources on the employees who breached the Citigroup Electronic Policy.
• Approved New Accounts and performed Enhanced Due Diligence and OFAC testing on each new account to ensure the “Know Your Client” regulation.
• Reviewed and signed off on marketing material and correspondence used by the Registered Representative(s).
Eric Lawrence Weinstein PAGE TWO
WORK HISTORY
Aegis Capital, New York, NY 2010-Present
Compliance/Surveillance Officer
Citigroup/Smith Barney Private Client, New York, NY 2006-2009
Sr. Vice President/Risk Manager
Citicorp Investment Services, New York, NY 2003-2006
Compliance Operations Principal
Citigroup Project Manager, LIC, NY 2002-2003
Project Manager-CitiGold Conversion
Citigroup Private Bank, New York, NY 1998-2002
Sales Manager/Compliance Principal
Citicorp Investment Services, New York, NY 1996-1998
Investment Supervisor Assistant
Quick and Reilly, Garden City, NY 1992-1996
Registered Representative/Branch Manager
Charles Schwab and Co, New York, NY 1986-1992
Registered Representative/Operations Manager
CERTIFICATIONS
Series 7, 9 and10 (formally 8), 24, 63, Life and Health Insurance License
COMPUTER PROFICIENCY
Microsoft Office, Excel, Power Point
AWARDS
2005 Citistars Support Award-CitiGold/Citibank-Compliance and Operations manager.
1996 Service Excellence Award- Citicorp Investment Service OSJ
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