Margin
Resume:
JAMES GIANNINO
Staten Island, N.Y. 10312
ninoman1969 @gmail.com
SUMMARY: Financial Professional with over 25 years of experience in the
Financial Services Sector.
Results driven orientated professional with exposure to numerous aspects of
the Finance Industry.
Professional Expertise in the following:
Margin, Operations, Compliance, Audits, Trade Support, IT development, Risk
Management and P&L, Project Management, Prime Brokerage, Financial sales,
Client Services, FINRA rules and regulations.
EXPERIENCE:
1/2011 - 12/2012 Business Owner, sold Business.
3/2007 - 12/2010 GENESIS SECURTIES: - New York, NY
Managing Director: - Margin/ Operations:
. Responsible for staff of 10 (margin, new accounts,
data entry, options).
. Developed all risk management reports (special
maintenance, securities price under margin
requirements, option assignment, equities report,
etc.).
. Re- programmed current systems for Prime
Brokerage, daytrading, and option.
. Developed training class for all new employees for
general margin and FINRA & NYSE day trading rules,
options, and prime brokerage.
. Work with programmers / IT to develop and enhance
margin programs.
. Developing system and departments for self-
clearing.
. Developed margin and risk management procedures
for the firm.
12/00 - 01/07 Operations Consultant / Various
Companies - NY and NJ:
Nomura Sec, Pershing, Quick & Reilly, E Trade:
. Enforced NYSE regulations on properly margined
accounts.
. Maintained RVP and DVP, Prime Broker accounts.
. Enforced NYSE regulations on option accounts
including long/short a covered/uncovered.
. Maintained FX Trades.
. Developed new in house margin systems / conversion
reports
. Derivative margin.
06/97 - 10/00 A.B. WATLEY INC. -
New York, NY
AVP of Margin / Operations:
. Responsible for staff of twenty-five (margin, new
accounts, data entry).
. Developed all risk management reports (special
maintenance, securities price under margin
requirements, option assignment, equities report,
etc.).
. Developed training class for all new employees for
general margin and NASD & NYSE day trading rules.
. Developing system and departments for self-
clearing.
. Developed margin procedures and risk management
reports for firm.
11/95 - 05/97 CHARLES SCHWAB & COMPANY - Jersey City, NJ
SR. MARGIN MANAGER:
. Enforced NYSE regulations on properly margined
accounts.
. Enforced NYSE regulations on option accounts
including long/short and covered/uncovered.
. Review margin accounts for excessive
liquidation/day trading/90 day restrictions.
. Taught margin I-II to all new clerks.
01/92 - 11/95 WATERHOUSE SECURTIIES - New York, NY
MARGIN SUPERVISOR:
. Reviewed margin accounts for excessive
liquidation/day trading/90-day restrictions.
. Rewrote margin procedures/training all new clerks.
. Supervised three junior clerks.
. Enforced NYSE regulations on properly margined
accounts and on Option accounts including
long/short and covered/uncovered.
12/89 - 01/92 QUICK & REILLY CLEARING CORP - New York, NY
SR. MARGIN CLERK:
. Acted as liaison between senior management and
support operations.
. Developed solutions to all inquiries made by sales
force.
. Enforced all NYSE regulations on properly margined
accounts.
06/87 - 12/89 SHEARSON LEHMAN - New York, NY
MARGIN CLERK:
. Responsible for daily cash flow, i.e. Fed Funds,
Money Market and all marginable securities.
. Monitored margin and cash active statements.
. Serviced branch offices with account information.
SKILLS IBM PC with Lotus-1-2-3:PowerPoint, Excel pivot table / macros,
Knowledgeable in ADP,FINRA, NYSE, Federal Securities
Regulations, teaching skills, strong leadership,
problem solving and decision making skills.
EDUCATION:
09/83 - 06/87 SUSAN B. WAGNER HIGH SCHOOL - Staten Island,
NY
Academic Diploma
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