Sales Life Insurance

Amy Hillenbrand

*** ********* ****** ***. * Phone 201-***-****

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

Hoboken, NJ 07030

ACCOUNT MANAGEMENT & EQUITIES TRADER

Institutional and Principal Equity Trading

More than 10 years of experience driving revenue for high-growth and multinational financial organizations. Combines

astute strategic, business, and financial skills and is able to handle multiple roles and manage responsibilities without

affecting production performance. Excellent analytical, organizational, leadership, and negotiation skills.

Areas of expertise include:

Principal Trading Account Management Client Relations

Institutional Trading Compliance Relations Territory Management

National Association of Security Dealers (NASD) Series 7, 63, 55

PROFESSIONAL EXPERIENCE:

World Trade Financial Corporation 11/12-3/13

A full service financial firm authorized to conduct business such as corporate equities, U.S. government

securities, market making and mutual funds.

Equity Sales Trader/Market Maker

• Fostered and maintained relationships by entertaining clients and prospects.

• Relayed reports to customers and reviewed client inquiries and complaints.

• Identified and initiated short-term equity trades in an assigned account.

• Determined list of equities that provided greatest potential for trading opportunities on a daily basis.

Chardan Capital Markets, LLC, New York, New York 6/11-11/12

Privately held investment banking firm with a focus on micro, small, and mid-cap markets. Provides a full range

of services that include institutional trading, market making, capital raising, equity research, and merger and

acquisition advisory.

Lead Equity Trader/Sales Trader

• Lead trader in partnership where we identified and initiated short-term equity trades in an assigned

account.

• Determined list of equities that provided greatest potential for trading opportunities on a daily basis.

• Executed trades based on current order flow to provide fast and accurate executions for institutional and retail

clients.

• Reviewed daily reports to rectify any trading discrepancies.

Seaboard Securities, Inc. 5/04-11/10

NASD member firm since 1958-Specialized in performing high quality transactions and executions for large

institutions.

Market Maker/Agency Trader/Compliance Relations

• Made continuous markets in over-the-counter (OTC) stocks to ensure

fast and accurate trading executions for both institutional and retail clients.

Relayed reports to clients while maintaining trading positions as they occurred.

• Reviewed daily reports to rectify any trading discrepancies and trade breaks.

• Managed compliance efforts for the company to ensure compliance with the rules, proposed laws, and industry

practices.

• Played a key role in analyzing existing regulatory and industry laws in order to strategize and develop policies

and procedures to meet complex industry requirements.

• Assisted compliance manager in response to all reports issued by regulatory agencies and audits .

AXA EQUITABLE LIFE INSURANCE COMPANY, New York, New York 1/03-5-04

Leading Financial protection company and premier provider of life insurance, annuity, and investment products/

services-Subsidiary of AXA Financial Inc.; Global leader in financial protection strategies and wealth management.

Internal Wholesaler

• Provided annuity sales support to financial professionals and wholesalers.

• Conducted proactive marketing calls and handled inbound territory calls focusing on all levels of

sales.

• Executed effective territory management to increase sales and firm penetration.

• Partnered with External Wholesaler to formulate, implement and execute a business plan and

sales strategy.

• Delivered effective presentations and traveled with External Wholesaler in select territories.

Recommended appropriate sales tools (hypothetical illustrations, literature, marketing materials.

PERSHING TRADING COMPANY, A BNY MELLON COMPANY 1/01-1/03

Industry’s largest global business solutions provider, which serves more than 300 international financial

organizations. Provides full service clearing and execution and a range of global resources.

Assistant Principal Trader

• Made continuous markets in assigned OTC stocks.

• Ensured fast and accurate trading executions for both retail and institutional accounts.

• Obtained and relayed information to principal traders regarding the purchasing and selling of OTC

stocks.

• Played key role in resolution of questionable trades.

1/00-1/01

Agency Trader

• Fostered and maintained relationships by entertaining clients and prospects .

• Relayed reports to customers and reviewed client inquiries and complaints.

• Played key role in resolution of questionable trades.

• Obtained stock quotes and information via research and analytic systems.

• Maintained daily communication with other market making firms.

PREVIOUS PROFESSIONAL EXPERIENCE:

Nori, Hennion Walsh, Inc 6/99-1/00

Assistant Bond Trader

• Maintained bond inventory for municipal securities firm.

• Updated firm’s position on Bloomberg and Blue List.

• Obtained bids wanted and market levels via Broker’s Brokers and the Bloomberg system.

• Determined market availability of various municipal securities.

• Obtained municipal bond offerings.

• Reconciled discrepancies in trading accounts.

EDUCATION & PROFESSIONAL DEVELOPMENT:

BA- Political Science, Douglass College, Rutgers University, New Brunswick, NJ (1999)

The Fusion Group: Sales, Leadership, Presentation, & Training Design Courses

Owner of an exclusive catering and event planning company since 2007

Contact this candidate