Manager Vice President
Resume:
ANGELA A. PUCCIA * Williamsburgh Way
Montvale, NJ 07645
********@*********.***
Work History
Capital Partners Securities, LLC New York
Chief Compliance Officer 10/07 - Present
Chief Compliance Officer for a small Finra broker dealer. Responsible for
the daily monitoring of all firm activity, new account approvals, e-mail
retention and employee outside account review. Maintain all broker
registrations, BD amendments and Continuing Education schedule.
Work with a consulting firm for the development and writing of all firm
written supervisory procedures. Coordination of firm Anti-Money Laundering
Audit and outside compliance review. Conduct yearly Compliance Meeting.
Primary contact and responsibility for all regulatory and internal audit
examinations.
Responsible for processing the firm payroll, health benefits and all other
insurance coverage. Maintain firm Quikbooks and conduct all banking
business. Work with Fin-Op to provide information for firm Focus Report.
JP Morgan Chase New York
Vice President 6/07 - 10/07
Compliance contact on the Tax Exempt Middle Office Desk. Work with the
Compliance Department and Municipal Trading Desks in monitoring timely MSRB
reporting. Review of all MSRB G-14, G-32 and G-36 statistics. Assist
Compliance Department with all municipal bond regulatory inquiries.
Municipal Partners, LLC
Vice President New York, NY
Compliance Officer 2/05 - 6/07
Office Manager
Compliance Officer for a Municipal bond broker-dealer. Responsibility for
the supervision of daily trading activity and the approval and maintenance
of all new accounts. Daily monitoring of the RTRS System to ensure the
timely reporting of trades and to make certain the firm's clearing agent is
correctly reporting trades to the MSRB. Daily contact with clearing agent
in the resolution of operational issues.
Work with an outside consulting firm in the writing and implementation of
the firm's written supervisory procedures. Coordinate the Anti-Money
Laundering audit and the firm's NASD
3012/3013 outside compliance review. Responsibility for all MSRB contact
and Rule G-40 updates.
Supervise the Regulatory and Firm Element Continuing Education Programs and
the annual compliance meeting. Maintain all broker registrations, BD
amendments and schedule all exam and Continuing Education appointments.
Monitor all employees outside brokerage accounts.
Primary contact and responsibility for SEC and NASD audit examinations.
Respond to all NASD inquires and audit exit conference letters.
Responsibility for processing employees' payroll, health benefits and firm
insurance coverage. Maintain business checking account and employee 401(k)
plan as well as payment of all bills. Work with Fin Op to supply
ANGELA A. PUCCIA PAGE 2
information for the monthly Focus Report. Daily contact with vendors for
maintenance and addition of new phone systems, IT support, computer
equipment, Bloomberg and Fabkom Systems
Municipal Partners, LLC New York, New York
Compliance Consultant 1/04 - 2/05
Compliance Officer/Office Manager 4/02 - 1/04
Compliance Officer for a municipal bond securities firm. Responsible for
monitoring the firm's clearing agent to ensure that all trades had been
correctly reported to the MSRB. Maintained all broker registrations and
scheduled all exam and Continuing Education appointments. Reviewed all
employee personal trading accounts in accordance with MSRB and NASD
regulations. Approved, reviewed and maintained all new accounts. Daily
contact with outside Financial
Operations Principal to ensure all necessary documents were provided for
the timely filing of the monthly NASD Focus Report.
Conducted and arranged all Compliance Meetings and managed the firm's NASD
audit. Supervised the Regulatory and Firm Element Continuing Education
Programs. Worked with counsel and an outside consulting firm in the
writing and implementation of the firm's written supervisory procedures.
Responded to all NASD inquiries and audit exit conference letters.
Responsible for the processing of payroll through ADP, enrollment and
monitoring of all employee health and insurance benefits and in the
arranging of all required liability, unemployment and worker's compensation
insurance for the firm. Maintained the business checking account and the
employee 401(k) Plan.
Skarven Enterprises, LLC Murray Hill, NJ
Compliance Consultant 1/04 - 2/05
Compliance Officer for a soon to be formed federally registered Investment
Advisor. Responsible for the creation and implementation of the firm's
written Compliance Manual and Anti-Money Laundering Procedures. Evaluate
the firm's trading procedures to help determine the quality of Best
Execution. Monitor all employee personal trading accounts and maintain
restricted buy/sell lists. Maintain proper documentation and records that
support compliance with the firm's policies and procedures.
CANTOR FITZGERALD New York, New York
Compliance Manager 10/98 - 4/02
Compliance Manager with a staff of 5 whose responsibilities included the
monitoring of all broker registrations, licenses, terminations, exam
appointments and the Regulatory and Firm Elements of the NASD Continuing
Education Requirement. Engaged in the creation, establishment and
implementation of all compliance files, records and procedures.
Responsibility for all SRO and State Renewals, NASD BD Amendments, NFA
amendments and all NASD/SEC Blue Sheet inquiries. Daily contact with the
trading desk for all incoming NASDAQ inquiries. Monitored and processed
all the necessary documentation for restricted stock sales. Reviewed
employee outside brokerage accounts. Checked employee outside brokerage
accounts for excessive trading and manipulation. Worked with counsel on
special NASD inquiries and in the implementation of the firm's supervisory
procedures.
ANGELA A. PUCCIA PAGE 3
M.H. Meyerson & Co. Jersey City, New Jersey
Vice President 4/97 - 10/98
Assistant Compliance Officer
Daily surveillance of all equity, municipal and option trading activities.
Interaction with trading desk for all NASDAQ inquiries. Monitoring of
market manipulation, short selling and excessive trading. Approval of all
new accounts, Bulletin Board stock suitability and sales correspondence.
Involved in customer complaints, broker registrations and licenses.
G.W. PIPER & COMPANY Paramus, New Jersey
Vice President 2/89 - 2/97
Operations Manager
Developed Operations Department for small New Jersey NASD firm.
Responsibility for receipt and delivery of all securities; new account
maintenance and daily sales support. Sole liaison for all problems
involving G.W. Piper and clearance firm of Pershing & Co. Assisted in
account coverage in both fixed income and equity securities as needed.
EDUCATION
Queens College of the City of University of New York
Bachelor of Fine Arts - January 1983
Magna Cum Laude
ACCOMPLISHMENTS
NASD Licenses: 7, 63, 8, 24, 53, 55
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