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Manager Sales

Marlboro Township, NJ
October 16, 2018

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Daniel T. O’Connor

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

Marlboro, NJ *7746

Home: 732-***-****

Cell: 551-***-****


Over 20 years in the financial investment sector with experience in compliance oversight, supervising trading desks, branch management, and sales.


Series 7, 24, 63, 65


State of New Jersey Life and Variable Annuity Producer


Primerica 12/15 - Present

Freehold, NJ

Independent Representative

Prospect and set appointments with potential customers through personal leads

Discuss financial, retirement, and insurance needs of the customer

Formulate a portfolio consistent with customer’s goals and investment objectives

Santander Investment Securities, Ltd. 5/08 – 9/14

New York, NY

Vice President/Compliance-Trading Supervision and Control/ROP

Review daily the Regulation SHO report from NYSE and NASDAQ

Review daily activity reports from equity, fixed income, options and 15a-6 trading desks

Review and correct daily OATS reports

Review all corrections on equity order tickets on trade desk

Continuously review the ACT Workstation for trading unmatched orders

Maintain daily logs of errors, customer facilitations, OATS issues for equity, TRACE issues for fixed income, options or customer complaints

Review all proprietary trading reports

Prepare monthly summary report for Chief Compliance Officer

Present meetings with equity trading desk on a variety of topics that pertain to their business (i.e., changes to rules and regulations, AML and KYC updates, trade platform issues, monthly report cards) and prepare minutes of the meetings for upper management

Review a random sample of telephone calls, listening for breaches of professional conduct or customer complaints

Conduct monthly Best Execution Review with a committee to identify and determine which firms show patterns of poor execution performance

Review daily work assigned to subordinates and cover the work in their absence

Review and approve monthly Rule 605 and Rule 606 Reports

The Concord Equity Group, LLC. 4/06 – 5/08

Iselin, NJ

Chief Compliance Officer/ AML Officer/ MSRP

Interacted with all branches and affiliates regarding compliance issues

Represented firm and acted as liaison for regulatory examinations and inquiries by SEC, NASD and MSRB

Identified and resolved problems relating to sales practices

Conducted branch audit examinations

Researched and responded to inquiries received from regulatory organizations

Developed and supervised implementation of continuing education program

Developed, supervised and reviewed KYC and anti-money laundering procedures and SAR reporting

Interpreted firm and regulatory rules and policies

Reviewed and granted approval of firm marketing material

Updated the firm’s policies and procedures

Supervised compliance personnel

Laidlaw, Ltd. 6/99 – 4/06

New York, NY

Senior Vice President /Branch Manager (1/03-4/06)

Sales supervisor of registered representatives in the New York branch office

Reviewed and approved all customer account and KYC documents

Investigated customer complaints and made reports to Compliance Department

Identified and resolved problems relating to sales practices

Conducted branch audit examinations

Conducted sales practice examinations with individual registered representative groups

Held continuing education classes for registered representatives

Senior Vice President/ Deputy Director of Compliance (6/99-1/03)

Company liaison between Laidlaw and clearing firm

Reviewed and answered customer complaints received in the Compliance Department

Conducted branch audit examinations of San Francisco, Austin and Florida branches

Researched inquiries received from regulatory organizations

Developed and implemented continuing education program

Supervised and implemented anti-money laundering and KYC procedures

H.J. Meyers & Co., Inc. 1/97 – 9/98

Woodbridge, NJ

Regional Compliance Officer

Performed trade surveillance of registered representatives for three branch offices

Investigated customer complaints and filed reports with senior management

Taught continuing education classes for registered representatives

Completed monthly manager’s compliance audit for three branches

Acted as branch manager in absence of assigned branch manager


University of Arizona

Tucson, AZ

College of Business and Economics

BSBA 1983, Marketing (Major), Psychology (Minor)

Seton Hall University

South Orange, NJ

1/92 – 12/92 Earned 6 post-graduate credits

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