Sales Manager

Location:

Bronx, NY, 11779

Salary:

100000

Posted:

May 24, 2013

Contact this candidate

Resume:

Richard H.Crockett

*** ******** ******

Ronkonkoma NY 11779

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

631-***-**** (h)

847-***-**** (C)

EXECUTIVE SUMMARY

A solutions-focused and highly-accomplished Compliance professional

possessing diversified experience within the financial services industry,

with noteworthy credentials and outstanding success in the compliance

management of the Emerging Markets Sales & Trading business line.

Extensive background and expertise across multiple subject areas, most

notably on matters involving surveillance, policies and procedures

development, marketing and trading documentation review, development of

compliance training, supervision, product/project management, and

regulatory audit, review, and communication.

PROFESSIONAL EXPERIENCE

Craig Scott Capital,LLC. ( New York 2010-2013

Managing Director/Chief of Compliance, Chief of Operations/CROP/SROP

. Responsible for all aspects of the New Membership Application.

. Director of firm operations and responsible for the implementation of

the firms compliance and operations infrastructure.

. Developed, drafted, and implemented the firm's written supervisory

procedures.

. Train management, sales personnel and support staff to insure

compliance and mitigate risk.

. The firm's header trader for equities, options and fixed income.

. Develop systems, utilize vendors and enhance products to support the

business model and activity.

. Monitor and test the firms systems, controls and tools to insure

flexibility to handle volatile markets.

. Utilized tools to supervise business Protegent, Smarsh, MIS and

Wolters Kluwer.

. Monitored all aspects of trade activity on a daily basis for all

client accounts 250-300 trades.

. .Firm offset accounts and proprietary accounts were reviewed and

approved daily.

Brookville Capital Partners. ( New York 2008-2010

Managing Director/Chief of Compliance, Chief of Operations/CROP/SROP

. Director of firm operations and compliance/implemented new compliance

infrastructure for organization for all products executed by the firm.

. Developed, drafted, and implemented the firm's written supervisory

procedures/corrected firms failure of multiple audits from The

Securities and Exchange Commission and FINRA.

. Created a business plan to increase sales force, reduce cost, and

improve efficiency.

. Responsible for the firms trading desk equities, options and fixed

income.

. Reviewed 200-300 trades daily to insure compliance with internal and

external procedures.

. Managed the sales process, trained sales and subordinates, enhanced

product knowledge.

. Utilized search products Wolters Kluwer and McDonald Services (MIS).

Advanced Equities, Inc. . ( New York chicago san 2006-2008

francisco

Managing Director/Branch Manager and North America Chief of

Compliance/CROP/SROP

. Recruited from Merrill Lynch for the role of Chief of Compliance.

. Developed and drafted and implemented the firm's written supervisory

procedures, AML, Business Continuity Plan, OFAC, FINCEN, Options and

all aspects of administration processing.

. Surveillance through Smarsh, MIS McDonald Services FINCEN, OFAC and

Protegent.

. Managed and supervised Chicago, New York, and San Francisco branches.

. Responsible for all aspects of firm's North America Administration,

Compliance, and Operations.

. Managed all domestic and international investment banking deals from a

compliance and operations perspective.

Merrill Lynch & Co. . ( chicago 2005-2006

Assistant Vice President, Global Compliance Officer

. Built, developed, designed, and implemented a corporate cash

management platform.

. Established compliance control procedures and policies for the Global

Private Client Division.

. Created tools and processes that enhance monitoring of compliance and

regulatory issues.

. Crafted, project managed, and executed Compliance Business Control

Plan Document.

. Oversaw compliance monitoring of retail, middle market and

institutional business.

. Work as compliance project and product development lead for

surveillance..

. Performed compliance audit around supervisory controls and adherence

to industry rules and regulations.

. Work as Compliance Lead for compliance and risk management projects,

Deloitte surveillance. (i.e. electronic communication, training, AML,

OFAC, FINCEN etc?)

. Participated group committees and forums including FINRA and Industry