Sales Manager
Resume:
TRACY CURRIE
*** **** ******** ** • Long Beach, New York 11561
516-***-**** • *************@*****.***
Equity Trading Professional
Accomplished Professional with a proven track record of exceptional performance in Financial Services,
Trading and Operations Management. Demonstrated ability to maximize profitability and client
satisfaction in both equity trading desk startups as well as established equity trading operations. Skilled in
evaluating existing processes and procedures and implementing innovative programs to cut costs,
streamline processes and improve efficiency.
Equity Trading • Operations Management • Systems Operations • Client/Customer Service
Process Improvements • Vendor Relations • Program Development
Hiring, Training and Managing Staff • Account Management
Risk Management • Regulatory Compliance • Tracking Systems & Reports
Corporate Bonds and Treasuries • CRD#4333090, Licenses 7, 63, 55
PROFESSIONAL EXPERIENCE
RAFFERTY CAPTIAL MARKETS, New York, New York • 2006 to 2010
Head Trader
Oversaw the accurate and timely trading of equity assets for trading desks in New York City, Garden City,
Boston, and Connecticut. Demonstrated expertise in all sectors of equities, OTCBB, Options, International, via
ECNs, dark pools, assorted algo’s, pairs, ACT and other broker dealers. Wore multiple hats within the company,
including office management (hiring & training staff), technology management & implementation, and daily
trading functions (task resolution, contract negotiations, trading vendor selection as well as commission and soft
dollar tracking). Provided sound financial advice directly to key clients while mentoring sales force on relevant
market news.
• Played a key role in increasing annual sales volume by 400%, growing the practice from $300 thousand
to over $2 million from 2006 to 2009.
• Assumed leadership responsibilities as key contact person for the clearing firm, OMS delivery manager
and Nasdaq Administrator.
• Streamlined processes and enhanced efficiency by restructuring the operations department and
revamping the trading procedures.
• Initiated FIX connection infrastructure which included Eze Castle, Bloomberg EMSX, Instinet, NYFIX,
Knight Direct, ECN’s, $2 brokers, broker to broker direct lines to streamline the initiation and processing of
trades electronically.
• Ensured compliance with internal and FINRA regulations by scrutinizing books and records to monitor
best execution, new account documentation, OFAC, OATS, trade blotters, clearing reports, error reports
and desk trade blotters versus clearing firm daily statements; interacted with FINRA as needed.
• Assisted Compliance Manager with updating and maintaining internal controls and procedures
• Oversaw trade settlement process – resolution of breaks, DK’s, Fails – for equities, preferreds and
international.
RESUME
TRACY CURRIE Page 2
Professional Experience, continued
GGET LLC, Greenwich, CT • 2000 to 2006
Sales Trader/Position Trader (2002-2006)
Facilitated complex transactions involving agency, capital facilitation and proprietary trading in all sectors of
equities, with specific expertise in REITs. Oversaw the firm’s P & L, oversaw day-to-day operations and
monitored risk exposure to maximize profits.
• Built a substantial account base generating annual revenues in excess of $500,000 through networking,
prospecting and establishing strong business relationships.
• Served as the delivery manager and point person for the Fidessa OMS.
Operations Manager (2000 to 2002)
Spearheaded initial operations for a start-up, sell-side broker/dealer trading desk, designing and implementing
all infrastructure, operating procedures, account opening and risk control safeguards. Promptly resolved any
trade settlement issues, including breaks, DK’s, fails and unaffirms. Hired and trained staff and established all
operational setup aspects of Fidessa OMS including new accounts and commission tracking.
• Negotiated clearing firm contracts, liaison with clearing firm.
• Grew staff from 8 to 25 and sales volume from $10 million in year one to $30 million in just 3 years.
• Established P&L and commission tracking systems to aid in sales trader payout as well as overall
budget preparation and balancing.
• Assisted Compliance Officer with development of best execution tracking systems, audit preparation
and writing of internal policies and procedures.
Gerard Klauer Mattison, New York, New York • 1999 to 2000
Managed daily operations for an institutional research and investment banking organization, including the timely
and accurate resolution of trade breaks, DK’s & fails, opening of new accounts, ticket input, commission
tracking and reconciliation with the clearing firm.
Gained extensive experience in balancing commission production with clearing firm statements,
•
resolving breaks, unaffirms and DK’s, how to book trades and maintaining P&L for firm trading accounts.
• Evaluated and restructured the firm’s commission tracking system for the equity sales, trading &
research department to account for the correct percentages to the various units. Implemented effective
procedures to balance the daily and monthly numbers with clearing firm and provide daily, weekly, monthly
and quarterly reports to the sales force and management.
Organized the operations department, coordinating the efforts of five employees in creating compliance
•
tracking and for record retention procedures, customer databases and office management.
• Dramatically improved client service by designing and instituting proactive processes to promptly resolve
issues and instill confidence and security among client base.
EDUCATION
Allegheny College, Meadville, PA
Bachelor of Arts
PROFESSIONAL SKILLS
• Bloomberg, Thomson One, Fidessa, Mixit OMS, Knight Direct, ACT, BofA IQ, LEK Option, Microsoft Office,
ADP, DTC, TRACE, OASYS & Alert
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