Examiner-Market Regulation-TFCE

Jeffrey Schajer, CFE

Address: *** ***** *****, *******, *** York, 11753

Phone: 516-***-****

Email: **********@*****.***

Examiner-Market Regulation-TFCE Surveillance Analyst Trading Surveillance Specialist

Qualifications Profile

Seasoned, analytical, and results-driven professional with extensive experience in financial securities with focus on capital

market sales for both fixed income and equities. Equipped with expertise in developing and managing new customer accounts and

analyzing account portfolio positions. Effective at leading and guiding competitive teams, with ability to build strong

relationships with professionals at all levels. Armed with exceptional organizational and communication skills in resolving complex

business issues and challenges.

Areas of Expertise

Portfolio Handling

Trade Operations and Execution

Equity and Fixed Income Sales

Account Management

Strategic Planning and Implementation

Data and Performance Analysis

Professional Experience

Stifel Nicolaus Financial Corporation New York, NY

Managing Director Capital Markets, Fixed Income and Equity Institutional Sales 2008–2017

Managed assigned accounts by providing institutional fixed income and equity products for sale, both new issue and secondary

Oversaw account portfolios to identify areas of improvement on accounts earning potential, while maintaining established

investments strategies

Displayed expertise in monitoring and forecasting performance of all debt facilities involving covenant, performance triggers, and

excess cash flow sweep

Prepared and performed financial transactions, and assessed all service reports

Coordinated with Financial Services Team and Treasury Desk regarding monetizing existing positions and cash flow needs

Enforced strict compliance with all rules and regulations in accordance with FINRA internal policy

Dain Rauscher Wessels/RBC Wealth Management New York, NY

Vice President Capital Markets Fixed Income and Equity Institutional Sales 1999–2008

Developed all aspects of equity capital markets transactions by conceptualizing and implementing innovative marketing initiatives

in both the new issue and secondary markets

Supervised team in the implementation of capital market transactions regarding efficient time-to-market execution

Proactively communicated with senior management to obtain seamless delivery of client services and cultivate client relationships

Observed strict compliance of operations with all relevant legal and regulatory agencies

Facilitated coaching and mentorship to junior members of sales team

Earlier Career

Purcell Graham and Co. New York, NY

Vice President Preferred Stock Department 1978–1999

Proficiently utilized multiple national and regional stock exchanges in executing business for all national and regional accounts

Performed comprehensive ex-dividend research and all pink sheet trades

Keenly monitored commissions daily

Closely worked with the Accounting Department on department revenues

Contributed to the separation of duties and responsibilities between sales and accounting

Education

Bachelor of Science in Fraud Examination and Financial Forensics (30 Accounting Credits), 2017

John Jay College of Criminal Justice – New York, NY

Bachelor of Arts in Economics, 1978

Stony Brook University – Stony Brook, NY

Associate Degree in Science, 1976

Staten Island Community College – Staten Island, NY

Professional DEvelopment

Certification:

Certified Fraud Examiner (CFE)

Licenses:

Financial Industry Regulatory Authority (FINRA)

Series 7 – General Security Representative Qualification Examination

Series 55 – Equity Trader Qualification Examination

Series 63 – Uniform Securities Agent State Law Examination

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