Management System
Resume:
Jeffrey Galvani
Email: *********@********.***
Address: *** *** ******
City: Hoboken
State: NJ
Zip: 07030
Country: USA
Phone: 516-***-****
Skill Level: Senior
Salary Range: 100
Primary Skills/Experience:
See Resume
Educational Background:
See Resume
Job History / Details:
Jeffrey K. Galvani
4 Park Avenue, Apartment 14-0, New York, New York 10016
*********@********.***
EXPERIENCE
The GRISWOLD Company Inc., New York, NY 2000 - Present
Chief Compliance officer / Director of Operations / S.R.O.P. / FINOP / AML Officer
Effectively accomplish responsibilities in compliance with standards and regulatory requirements; determine compliance risks from every business line as well as administer and supervise training, advice, testing, and monitoring
Coordinate the execution of compliance training; update employees and senior managers concerning compliance related matters
Analyze and track international firm in communication and interaction with regulatory bodies; ensure regulatory requirements of the system and Anti Money Laundering (AML) processes
Establish innovative measurements and as well as organize business activities as required
Perform ad hoc projects and present periodic reports to management; arrange document requests, including compliance information for compliance assessments
Manage soft dollar credits / debits; maintain soft dollar invoices and produce reports for clients on a monthly basis
Provided primary direction to staff in the Operations and Compliance departments; lead a team toward the successful development of a proprietary trade management system
Direct exchange settlement, including balance foreign exchange currency fluctuation risk
Managed approval of all Options transactions and opening of Option accounts
Utilize and enhance expertise of LAVA OMS, Riptide, Mix It, Neovest and REDI; directed team accountable for obtaining new OMS
Administer trades for firms prime broker customers
Conduct analysis of the entire firms e-mails, AOL IM, and all communications with customers
Develop and approve the firms IT department, operation, and compliance expenses
Manage all RVP/DVP client account opening, bookkeeping, and billing
Noticeable Accomplishments:
Conceptualized and implemented viable solutions to issues and concerns concerning discrepancies
Played a lead role in developing a profitable soft dollar program for institutional customers
Established prime brokerage operation within the broker / dealer, supervised intra-day risk for prime brokered accounts, observed client daily trading thresholds, and maintained positive client relationship management
Effectively reconciled NYSE, LAVA, Mix It, Neovest and REDI invoices and GSEC JPMCC clearing files versus Firms Trade Management system
Facilitated significant improvement in overall efficiency of the AP department to maintain timely payments
Served as anti-money laundering officer; supervised all aspects of firms AML procedures and compliance with FINRA, SEC, and NYSE regulation
Triple J Trading, New York, NY
Senior Clerk 1999-2000
Assisted in trading with Head Market Maker in options pits for INTC SPDR 500 ETF on AMEX floor
Traded around core positions generating profits for the company
Used REDI and Instinet to trade stocks for traders in the crowd
Assisted compliance department with review of all options/equities trades done by members daily
Clerk 1998-1999
Traded shares of securities to flatten positions intra-day
Inputted all options trades executed by members into MICROHEDGE system
Arranged all business trips for AMEX members
LICENCES:
NASD Series: 4, 7, 14, 24, 25, 63, 27, 55, 99 CFA Level 1 Candidate
EDUCATION:
McFord University
Bachelors Degree: Business Administration
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