Manager Sales

MELISSA SCAPARRO Levittown, NY *****

***************@*****.*** 917-***-****

Objective

To obtain a challenging position that will utilize my diverse skills, as well as my years of experience, while offering the

opportunity for advancement in a progressive, growth oriented company.

Experience

AEGIS CAPITAL CORPORATION January 2013 – March 2013

810 7TH Avenue, New York, NY 10019

SENIOR COMPLIANCE OFFICER

Responsibilities: Assist Chief Compliance Officer with the development and testing of policies and procedures; respond to SEC, FINRA

and state regulatory inquiries; 4530 filings; branch manager related duties such as the review and approval of new accounts, physical stock

certificate deposits; check deposits; review and approval of fund transfers in accordance with anti-money laundering (AML) laws and

requirements.

OBSIDIAN FINANCIAL GROUP November 2010 – January 2013

1000 Woodbury Rd., Woodbury, NY 11797

COMPLIANCE OFFICER

Responsibilities: Facilitate industry registration for firm, branch offices and associated persons; assist with internal branch inspections;

review written supervisory procedures on a quarterly basis and update as needed; trade surveillance; e-mail review; sales practice reviews;

4530 filings; implementation for annual Firm Element Continuing Education training program; review associated persons outside business

activities to identify conflicts; monitor employee trading account activities; assist CCO and General Counsel with firm related projects.

WESTROCK ADVISORS, INC. April 2009 – October 2010

230 Park Avenue, New York, NY 10169

COMPLIANCE OFFICER

Responsibilities: Assisted CCO with development and implementation of policies and procedures; trade surveillance; e-mail review; sales

practice reviews; 3070 filings; assisted in the discovery process of regulatory, state exams and arbitrations; prepare and submit regulatory

filings; maintain firm’s registration records through web CRD.

CHICAGO INVESTMENT GROUP, LLC July 2005 – February 2009

40 Wall Street, New York, NY 10005

OPERATIONS MANAGER

Responsibilities: Maintained office books and retail client account records; provided back office support for financial consultants and

guidance for support staff; provided customer service; identify and resolve discrepancies; ensured compliance and regulation of daily

commission logs, external and internal correspondence; approved and monitored option accounts; margin support; cashiering; facilities;

processed new hires and terminations.

C.E. UNTERBERG, TOWBIN, LLC May 2005 – July 2005

350 Madison Avenue, New York, NY 10017

SERVICE ASSOCIATE – ASSET MANAGEMENT

Responsibilities: Prepared internal reports on Advent/Axys3; liaison between senior management and clients/colleagues to facilitate work

and accomplish objectives in a collaborative effort; managed the team’s calendar to establish a systematic approach for others to track time

commitments and the completion of tasks.

LADENBURG THALMANN & CO. INC. November 1997 – March 2005

590 Madison Avenue, New York, NY 10022

OPERATIONS MANAGER

Responsibilities: Facilities; liaison between branch offices and clearing firm; account reconciliation; training and management of branch

support staff; ensured compliance with firm and industry regulations; accurate and efficient processing of cashiering, margin and P&S

transactions; risk management of firm and client accounts; process & filing of Rule 144 items; processed client requests on corporate

reorganization offers; processed ACATS; trade support systems for financial consultants and traders; daily monitoring of firm proprietary

accounts; monthly review; Institutional Sales Operations; assisted Syndicate Manager in the progression of taking secondary corporate

issues to market as well as the allocation of shares.

REGISTERED SALES ASSISTANT

Responsibilities: Sales support for financial consultants with all areas of customer prospecting; profiling and sales; assisted in portfolio

diagnostics and developed suitable asset allocation; liaison to help resolve customer issues; daily functions such as back up to operations

staff; cashiering; processing of all trade related paperwork and documentation; administrative support to fixed income trading desk.

Licenses

Financial Industry Regulatory Authority

Series 7, 66, 55, 79, 99, 24, 4

Notary Public, State of New York

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