Analyst Manager
Resume:
JUDITH HOCKNELL
** **** ******, *** ******, New Jersey 08857
*********@***.***
OBJECTIVE
Seeking an opportunity to advance my career, where my skills in
Regulation/Compliance and Analytical experience will be fully utilized.
PROFESSIONAL EXPERIENCE
OFFICE MANAGER
CHIEF'S HOME IMPROVEMENTS June 2008 - Present
Queens, New York
. Appointment setting and schedule estimates.
. Responsible for maintenance of daily office operations and
maintenance of calendar.
. Responsible for payroll, enrollment process and working on feedback
of clients.
. Manage and take control of security issues and take care that
security is maintained.
SENIOR COMPLIANCE ANALYST
April 2006 - June 2008
BEAR WAGNER SPECIALISTS LLC New York, NY
. Reviewed various FINRA data and reports to detect possible trading
improprieties.
. Responsible for timely and accurate document preparation to various
regulatory inquiries, while maintaining electronic and physical
filing system.
. Reviewed and analyzed firm regulatory exception reports, including
proprietary error trend analysis.
. Responsible for reviewing employee monthly brokerage statements
pertaining to restricted list.
. Conducted daily Amex / NYSE on-floor surveillance, monitoring for
compliance with applicable rules.
. Assisted with conducting firm-wide testing and verification of
written supervisory procedures, while continuously working with
management.
. Conducted real-time surveillance of proprietary trading reviewing
for compliance with NYSE hedging rules.
SENIOR REGULATORY ANALYST January 2003 - April 2006
NASD/FINRA (Amex Division) New York, NY
. Analyzed exception reports to ensure proper handling of orders
on the trading floor as it pertains to the specialist firms in
compliance with Amex and SEC order handling standards (equities,
options and ETF's).
. Researched trades on the floor for various violations as they
relate to market mechanics: Executable Orders Unexecuted, Firm
Quote Obligations, Trading Ahead and Linkage Orders.
. Analyzed order handling complaints, which were referred to
Department.
. Interviewed Exchange members regarding investigations of order
handling complaints.
. Assisted junior analysts with experience of floor policies and
option knowledge.
ASSOCIATE TRADING ANALYST January 2001 - December 2002
GOLDMAN SACHS & COMPANY New York, NY
. Analyzed and researched daily option trades.
. Ran customer order protection (COPS).
. Entered and corrected option orders through the EXTRA system.
. Worked directly with option traders and specialists.
JUDITH HOCKNELL . *********@***.*** . 732-***-**** . Page 2
TRADE ANALYST February 1993 - January
2001
SPEAR LEEDS & KELLOGG New York, NY
. Worked with option traders and specialists on Option trade
research.
. Filed daily option trades.
. Entered data and research DK's.
. Resolved unapplied trades using the Intra Day clearing System
(IDC).
SUMMARY OF QUALIFICATIONS
. 5 years of Regulatory Experience reviewing Compliance
Surveillance Exception Reports: Firm Quote, Executable Orders
Unexecuted, Limit Order Display, and Linkage.
. 10 years on the American Stock Exchange as an Analyst.
. Proven ability to work well under strict time constraints.
. Reliable, hard working, self-starting, and motivated employment
history.
. Proficient in Word, Excel, Instinet, REDI, AODB, and Web Research.
TECHNICAL SKILLS
. SOFTWARE: Proficient in Microsoft Word, Excel, Outlook.
Contact this candidate