Supply Chain Manager

Richard Seiffer

Email: *********@********.***

Address: *** ******* **** ****

City: Wilton

State: CT

Zip: 06897

Country: USA

Phone: 347-***-****

Skill Level: Experienced

Salary Range: $175,000

Willing to Relocate

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

RICHARD W. SEIFFER

116 Danbury Road, 2205

Wilton, CT 06897

347-***-****

*********@********.***

REGISTERED PRINCIPAL / DIRECTOR / COMPLIANCE / TRADING / FIXED INCOME

Series 24 registered principal with 20 years of financial service

experience in compliance, trading, sales, marketing, risk management,

retirement solutions, market making, best execution, business continuity,

supply chain management, and all levels of middle and back office

support, on both the retail and institutional level.

FINRA Series 24, Series 7, Series 63 licensed

BA/BS Finance/Banking, Minor in Economics from Adelphi

University 1993.

CAREER SUMMARY

Registered Principal/Director, Head of Best Execution Compliance,

Bank of America/Merrill Lynch, July 2008 to May 2012. Series 24

registered principal. Served as the Head of the Best Execution

Compliance Group, within Capital Markets, ensuring regulatory

compliance on all taxable fixed income trades. (TRACE,

Best Execution) Drove the automation of the Best Execution

process from a labor intensive, manual process of sampling trades,

to an automated process of reviewing all potential problem trades.

Also, served as a marketer of actionable trading ideas, within the

fixed income space, as well as business continuity manager and

supply chain manager.

Trader/Associate Director, Bear Stearns & Co.,

2000-2007, Retail Trader of Fixed Income. Market maker

for private client brokers in treasuries, zero coupon

and agency securities. Proprietary trader for

positions of 100 securities valued up to $100m.

Served as compliance liaison for trading desk,

retail brokers, and legal department.

Institutional Broker of Treasury Bonds, Cantor

Fitzgerald & Co. Inc., 1994 to 2000. Institutional

Broker of Treasury Securities, specifically 30 yr bonds.

Promoted from an entry level back office position through

several middle office positions, before completing an

extensive 6 month training program, which resulted in a

5 year tenure as an institutional broker covering some of the

largest primary dealers on the street, like Salomon Bros.

and Deutsche Bank

Summer Intern, New York Stock Exchange, 1985, 1986, 1987.

Spent 3 summers as an intern on the floor of the NYSE

receiving extensive real world financial experience in

the financial markets while still in high school.

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