Sales Management
Resume:
SCOTT SOLOWEY
New York, NY 10016
Tel: 917-***-****
E-mail: ********@*****.***
Experience: NUVERSE ADVISORS, LLC New York, NY
****-******* ********** ********** *****n
Researched compliance issues relating to SEC, FINRA, NF A, and Blue Sky Regulations
Reviewed the firm's SEC filings of Form ADV and ADV Part 2A
Drafted firm's Compliance Training Syllabus
Conducted compliance reviews of the firm's commissions and employee's Personal Securities Transactions
Participated in weekly meetings regarding launch of Form PF and ISDA Protocol
Performed due diligence on customers for AML/KYC requi rements such as checking OFAC's SDN List
Investigated FATCA provisions to ensure firm would be compliant prior to commencement date
2009-2013 SOLOWEY & COMPANY New York, NY
Securities Principle
Built infrastructure to launch New York City branch office of Miami based broker -dealer
Developed business plan to trade U.S. equities on a proprietary basis
Responsible for broker-dealer compliance guidelines
Set daily, weekly, and monthly trading revenue goals
Implemented trading strategy to achieve profit targets
Created daily game plan for trading opportunities through use of technical analysis
Monitored equity charts on different time frames for trade execution through Knight Direct Platform
Analyzed trade performance to increase profit potential and reduce expenses
Supervised branch office compliance and operational activities
FINRA Certification in Series 7, 24, 55, and 63
2003-2007 SAC CAPITAL MANAGEMENT - MERIDIAN FUND New York, NY
Trader
Managed relationships between fund and 12 bank counterparties daily
Executed over $50 million in trade volume through multiple platforms such as Hotspot FX
Monitored risk in six currency pairs and three futures instruments
Collaborated with team to increase daily P&L through execution and discretionary trades
Communicated trade strategy and key information between day shift and overnight desk
Reconciled Trade Statements for errors and accounting issues
Created a report template for all administrati ve and operational duties
Education: NEW YORK UNIVERSITY New York, NY
Leonard N. Stern School of Business
Master of Business Administration, May 2009
Specializations in Finance and Financial Instruments & Markets
Graduate Finance Association, Member
Sales, Trading, and Research Club, Member
TULANE UNIVERSITY New Orleans, LA
Bachelor of Science in Management, Finance, cum laude, May 2003
Sigma Alpha Mu Fraternity, President
New Orleans Hillel, Board of Directors
Community Tulane University Alumni Club of New York, Board Member
Activities: New York Cares, Volunteer
Zog Sports, Captain
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