SETH BENJAMIN SCHOEN

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

Oakdale, NY 11769

abmra0@r.postjobfree.com

631-***-**** Cell

631-***-**** Home

EDUCATION Masters of Business Administration: Banking & Finance

Dowling College

Bachelor of Science: Business Administration

Southampton College of Long Island University

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SKILLS/ABILITIES Life/Health, Series 7, 9/10, 24, 51, 63, 65

• Strong knowledge of Microsoft Office

• Efficient / Organized / Results driven

• Can work independently or as part of a team

• Trustworthy / Honest / Accountable

• Ability to work proactively, which reduces the need to work reactively

• Able to communicate with all levels of management

ACCOMPLISHMENTS • Upon promotion to Field Compliance Supervisor in Nov 2005 – restructured / reorganized

two OSJ’s that were disorganized & mismanaged.

• Since Nov 2005, I have supervised & work with several OSJ’s & approximately 200 different advisors. I

have had to rebuild relationships / trust with advisors / staff who due to past relationships have been

skeptical towards compliance personnel. I have far exceeded expectations based off the feedback /

support that I have received.

• Patagon.com – I worked with senior management to write training modules / procedures for the

operations / customer service departments

• Chase Auto Finance – Was randomly audited internally on several occasions and recognized for

excellence in terms of quantity / quality of my work rate

• Dowling College-MBA graduate 4.0 GPA

EXPERIENCE Ameriprise Financial Services. October 2002- June 2010

Registered Principal

November 2007 - June 2010

• Supervised daily activity of financial advisors including trades, suitability, new account openings,

advertising, and correspondence. Monitored mail handling procedures, reviewed investment

management advice and ensured adherence to firm’s policy. Conducted individual annual sales

practice reviews and prepared branch for annual inspection.

• Assessed and monitored OSJ to ensure compliance with all regulatory requirements and company

compliance policies and procedures, resulting in 100% satisfactory reviews annually from

internal home office audit.

• Also assisted other Registered Principals in preparing there own OSJ’s for annual internal home

office audit.

• Created and enforced best practices in the complex, consistent with firm and FINRA regulations.

• Regularly contacted clients to promote customer relations and to identify potential issues.

• Conducted preliminary investigation and collaborated with home office to resolve internal issues

and customer complaints. Prepared responses to regulatory inquiries with accuracy and within

time constraints.

• Facilitated compliance training and provided education to advisors which led to improved overall

adherence to compliance policies.

• Developed training for operational staff which improved understanding of regulatory policies.

Field Compliance Supervisor

November 2005 – November 2007

• Review advisor transactions to insure suitability based on client timeframe, risk tolerance,

investment objective and other factors

• Verify advertising & correspondence is compliant with company guidelines

• Update and provide on-going training to advisors, on current company policies & procedures

• Assist Field Vice President with annual compliance interview with advisors

• Ensure correct documentation are on file

• Update OSJ binder & keep records of documentation

• Perform “spot checks” on advisors by contacting clients to confirm satisfaction of service

• Track advisor progress with various mandatory compliance requirements

• Assessed and monitored OSJ to ensure compliance with all regulatory requirements and company

compliance policies and procedures, resulting in 100% satisfactory reviews annually form

internal home office audit.

Senior Specialist

October 2002 – November 2005

• Assist Financial Advisors in developing financial planning strategies for clients

• Research investments to provide services suited for clients

• Analyze current financial trends to forecast potential client needs

• Ensure clients have maximum level of satisfaction

• Performed miscellaneous Compliance responsibilities as necessary

Chase Auto Finance. July 2001-October 2002

Documentation Analyst

• Verified automobile documentation to ensure compliance with Chase Auto Finance guidelines

• Assisted credit analyst with complications in funding process

• Contacted automobile personnel if documentation is insufficient for funding

• Made continuous contact with dealerships to build dealer relationships

• Verified that dealer used correct rates for current programs & dealer specials

Patagon.com. January 2000- June 2001

Operations Specialist

• Reviewed client applications, opened accounts, & called to welcome new clients

• Assisted in the collection of debits in client accounts

• Trained employees with regards to proper operation procedures

• Handled trading desk overflow

• Assisted in rewriting instruction modules

• Created templates to help increase the efficiency of customer service department

• Regulated funds in & out of client accounts

REFERENCES Available upon request

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