Frank A. Del Vecchio

*** ******** ****.

Oceanport, New Jersey 07757

zjnv2s@r.postjobfree.com

Phone - 732-***-****

MetLife - 2008 to present

Current Position: Financial Service Representative.

• Insurance and Brokerage

• Financial and Estate planning, Life Insurance and Annuities Sales.

American International Group, Inc. (AIG) - Royal Alliance Associates – 2007

Position: Consulting – (Mutual Fund Project)

• Programs used: Vision 2020, Net Exchange Word and excel.

HSBC Bank USA - 2005-2007

Position: Vice President

• Independent Compliance testing of branch offices and trading desks.

• Revised the firm’s policies and procedures for Compliance with Exchange rules and Regulations.

Compliance - The Financial Industry Regulatory Authority (FINRA) - 1986-2006

Position: Assistant Director of Compliance

• Promotions: Hired as a Regular Examiner, to Senior Examiner, Department Manager, Regulatory Specialist, and then Assistant Director.

• Examinations and Investigations of Member Brokerage Firms

• Complete equity and option review. Examined firms for compliance with Exchange rules and regulations.

• Acted as lead examiner. I was responsible for conducting large wire house examinations for the American Stock Exchange and (FINRA).

• Reviewed accounts to determine if transactions were suitable for customers.

The review includes, back office clearing procedures, registered representative registration filings and disciplinary history, U-4 and U-5 filing(s) for compliance with Exchange Rules.

• Responsible for Chinese Wall Examinations – Amex Rule 193.

• Reviewed firm’s media advertising material for rule compliance.

• Trained and instructed examiners.

• Revised department computer audit programs, documents and procedures manuals.

• Sat on the Exchange’s Examination Committee.

• On the committees which revised the series - 4 - 7- 9 & 10 examinations.

• Supervised 5-7 employees as Assistant Director.

• Presented and discussed deficiencies detected during examinations with Compliance Directors and Chief Compliance Officers.

• Responsible for review of customer complaints to determine if Exchange rules were violated, if so an in depth investigation was conducted, write-up and the case was referred to the Exchange’s Enforcement Department for appropriate disciplinary action.

• Conducted on the record depositions before the Exchange.

• Knowledge of Securities Rules, Regulations and Laws.

• Worked with the Securities and Exchange Commission (SEC) on several projects.

• Conducted Anti-Money Laundering (AML) Examinations:

Review of firm procedures for compliance with Exchange’s rules. Identified and reported Anti Money Laundering, as required by the Patriot Act Bank Security Act and Know Your Customer (KYC) requirements.

• Conducted examinations of Specialists Units and Floor Brokers, for compliance with Exchange Rules and Regulations.

Shearson Lehman now (Smith Barney)

Position: Stockbroker

• Responsible for multi-million dollar customer accounts. Salesman of the month. Trading of securities for customers.

Donald Sheldon & Company

Position: Municipal Securities Sales

• Selling municipal securities to customers. Tax swaps.

Berg Agency

Position: Real Estate Sales

• Listing and selling residential homes.

Educational Background:

• University of Baltimore – Baltimore, MD. - Business Administration/Marketing.

• Burdett College – Boston, MA. - Business Administration/Marketing.

• Leo Fleur School – New York City, NY - Securities training.

• Columbia University – New York City, NY

Registrations and Licenses:

Current:

• Brokerage - Series 7 – General Securities License

• State of New Jersey - Life and Health Insurance Licenses.

Prior:

• Commodities – Series 3

• State of New Jersey Real Estate License.

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