Sales Quality

Carmen G. Lelli, Jr.

**B Mill Street

Mount Holly, NJ 08060

H: 609-***-****

C: 609-***-****

E-mail: ab827s@r.postjobfree.com

Compliance Professional

EXPERIENCE:

MTD COMPLIANCE ADVISOR LLC, Chatham NJ

November 2011 to March 2012

Regulatory Analyst (Consultant)

. Assist in the review of firms' CMA (Continuance in Membership

Applications)

. Assist in the review of firms' new business lines to determine

Regulatory Requirements

. Review of business/transaction scenarios and determine Regulatory

Requirements in the areas of:

o Trade Reporting

o Limit Order Display

o OATS (Order Audit Trail System) reporting

o Customer Order Protection Rules (FINRA Rule 5320)

o Reg SHO (Short Sale Rules)

o Assist with other SRO Rules and Regulations as applicable

SUNGARD TRADING SYSTEMS/BRASS, Jersey City, NJ

November 2005 to October 2011

Director of Compliance

. Work as a member of the Product Management department, as Regulatory

Compliance SME.

. Participate in various company projects as a Core Member, for the

creation of new products as well as industry and regulatory

initiatives. Ensure personal deliverables are met.

. Advise on the functionality of firm's Order Management System (OMS)

with regard to Securities Industry rules and regulations.

. Stay current with newly introduced rules and regulations as well as

changes to existing rules and regulations.

. Provide Functional Specifications/Documentation to be used by

IT/Development staff to facilitate technological changes, for new

Securities Industry rules and regulations.

. Compose test scripts and work with QA and IT/Development staff to

execute testing and perform analysis of testing results.

. Analyze data provided by IT/Development staff, to be used by clients

to respond to regulatory exams and inquiries.

. Create new and update existing daily surveillance reports utilized by

the clients' Compliance departments.

. Investigate OMS issues reported by clients and work with Client

Services Representatives and IT/Development staff to resolve.

. Identify and report potential compliance issues and work with

IT/Development staff to resolve.

. Research and work with IT/Development staff to resolve OATS issues

reported by clients.

ANDREW GARRETT INC., New York, NY September 1998 to November 2005

(Andrew Garrett Inc. was the parent company of Brokerage America LLC.)

Director of Compliance

. Oversight of firm's compliance with Industry Rules and

Regulations; reported directly to General Counsel

. Handle Regulatory Inquiries into the practices of firm and its

personnel.

o Prepare responses to said inquiries, for the SEC and FINRA as

well as any State Securities Divisions.

. Address and investigate customer complaints.

. Perform investigations within the firm as needed.

. Ensure that the Firm's Supervisory Controls are effective and up to

Industry Standards.

Director/Execution Quality

. Monitor Company's performance statistics in execution of customer

orders with the use of Web analysis tools; reported directly to CCO.

. Prepare customized spreadsheet analysis on firm's performance versus

competition, along with commentary for use as a sales force marketing

tool.

. Pinpoint areas of weakness and provide solutions to better maintain

firm's performance statistics.

. In accordance with Regulations, schedule, conduct and document

Execution Quality meetings on a monthly basis.

. Review daily trade surveillance reports provided by a contracted

Vendor and made price adjustments for customers when necessary.

. Perform daily OTC BB spot checks and pinpoint weaknesses in order

handling to maintain and/or improve performance numbers in this area,

similar to NMS.

. Participate in monthly Business Group meetings to discuss the progress

of Execution Quality with other department heads, including the COO.

Desk Supervisor/Compliance (Re-assigned from NASDAQ Trader)

. Oversight of the activities of nine NASDAQ Traders.

. Review trade surveillance reports on a daily basis.

. Investigate and report, patterns or practices inconsistent with

industry rules and regulations to management.

. Compose and maintain files of documentations for future reference.

Assist in the preparation of responses to any Regulatory Inquiries

Execution Quality (in addition to Trader responsibilities)

. Review Execution Quality report on a daily basis.

. Provide price improvements for clients when necessary.

. Keep spreadsheets on resolutions of exceptions on a daily basis.

. Communicate to trading managers any instances that appear to be system

problems.

. Communicate to managers any questionable patterns or practices by

Traders.

Head of Trading/NASDAQ Market Maker

Oversight of Trade Desk.

Maintain markets in various securities on NASDAQ.

Handle various types of transactions (stocks, options, bonds, mutual

funds) via telephone and computer.

Negotiate stock prices and maintain daily trade records.

FIRST COLONIAL SECURITIES GROUP, Marlton, NJ 1993 to

1998

Head of Trading/NASDAQ Market Maker

. Oversight of Trade Desk.

. Maintain markets in various securities on NASDAQ.

. Handle various types of transactions (stocks, options, bonds, mutual

funds) via telephone and computer.

. Negotiate stock prices, maintain daily trade records, troubleshoot

accounts as needed, kept track of all principle accounts and figured

sales credit payouts on a monthly basis.

BREGMAN, MANTEL & COMPANY, INC., Philadelphia, PA

1993

Registered Options Trader

PERSHING DLJ, Philadelphia, PA

1991 to 1993

Stock Execution Clerk

PENNSYLVANIA ARMY NATIONAL GUARD, Philadelphia, PA 1983 to 1989

Combat Telecommunications Center Operator

EDUCATION:

Fort Gordon, GA - Army Signal School

Honors Graduate 1984

South Philadelphia High School

Graduated 1982

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