Manager Management

CORY ELK

**** ******** ***

Mount Laurel, New Jersey 08054

856-***-****, *********@*****.***

Highly motivated, energetic, and team oriented individual recognized for

working effectively in project management, business development and

customer relations, combining outstanding finance, analytical and strategic-

planning skills.

PROFESSIONAL LICENSES

Series 7, 63, 24

PROFESSIONAL EXPERIENCE

TD WEALTH MANAGEMENT, Cherry Hill, New Jersey

2009-2010

Trading Operations Supervisor

. Supervise and monitor the handling of all Trade related issues for over

75 Financial Advisors

. Monitor all Margin Calls, House Calls and Funds Due Notices for TD

Wealth's clients

. Responsible for balancing all Fixed Income trades, phone coverages and

timeoff for department staff

. Work hand and hand with Compliance Team to make sure all Financial

Advisors adhere to TD's trading models

. Implement and document all procedures for the Fixed Income Desk and

Margin Department

TD WEALTH MANAGEMENT, Cherry Hill, New Jersey

2007- 2009

Online Trading Supervisor

. Process all Fixed Income Trades and Inventory Lists for TD's Financial

Advisors

. Reviews all incoming trades that come to the Review & Release System for

Online trading clients

. Process money movements, IRA Distributions and execution of trades for

Full Service clientele

. Review all New Account Applications, Margin paperwork and Options

agreements for online clients

. Process commission adjustments, trade corrections and reorganization

items

MERRILL LYNCH, Hopewell, New Jersey

2004 -2006

Trading Desk & Compliance Specialist

. Executed all Fixed Income trades & large option orders for ML Direct

clients

. Monitored the Review & Release of all online orders that met share and

dollar requirements set by the firm

. Worked with the Violations department to settle all Regulation T and

Maintenance calls for ML Direct clients

. Acted as the liaison for the ML Direct associates to all the Merrill

Lynch Trading Desks

. Worked on Compliance related issues with the Administrative Manager of

Merrill Lynch Direct

MERRILL LYNCH, Hopewell, New Jersey

1999 - 2004

Merrill Lynch Direct Associate

. Processed transfer of assets between accounts, retirement distributions,

initiated Fed Funds wire transfers, and executed all equity orders for ML

Direct clients

. Responsible for providing online and customer support for ML Direct and

Merrill Lynch's High Net Worth clientele with assets totaling 1 to 5

million dollars

. Provided assistance in the Merrill Lynch Direct Web Site release(1999)

and supervised the rollout of

Merrill Lynch's Visa Signature Program to its New Jersey Call Center

(2000)

. Involved in the development of new employees by conducting training

seminars on various financial services topics, such as margin and options

trading

TD WATERHOUSE, Edison, New Jersey

1996 -1999

Account Officer

. Assisted in the opening of the Edison Branch Office by setting up

procedures for all branch personnel

. Responsible for marketing of new products and services to current

clientele

. Provided daily branch assistance which included Account Transfers, checks

& stock certificates

processing and execution of 100 trades per day

. Developed relationships with clientele to execute trades and report trade

executions in a timely manner

EDUCATION & SKILLS

JOHNSON & WALES UNIVERSITY, Providence, Rhode Island

Bachelor of Science, Hospitality Sales and Meeting Management, 1996

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