Manager Sales
Resume:
John M. Williams MBA, CRCMP
PO Box ****, Melville NY 11747
631-***-**** cell,
*****@***.***
Performance Profile
Results-oriented professional with over 15 years of customer services. Recently completed 8 and 16 hour
Security Guard classes. Licensed Fire Guard Category F01.
Core Competencies
Licensed Fire Guard F01 Compliance Compliance Training
8hr & 16hr Security Guard Branch Management Organizational Skills
Classes Completed Operations Mediation
NY State Security Guard Audit
application submitted Project Management
Professional Experience:
01/2013 – Present Investment Advisor
Southeast Investments, N.C. Inc., New York, NY
Assumes full responsibility for overseeing trust and investment accounts while continuously
identifying, specifying and reconfirming investor objectives. Skilled in creating sound investment
solutions, developing high-levels of market growth, and facilitating effective financial
management strategies to increase portfolio value. Series 7, 24, 4, 63 and 66 Licenses.
10/2011 – 05/2013 Project Lead/ Research Analyst/ QC
JP Morgan Chase, New York, NY
Selected to create, review and QC final deliverable to regulators for OCC mandate program.
Team lead in assisting team members in the creation and reviewing processes. Worked on
secondary projects to assist the development of deliverables.
Research bankruptcy foreclosure data. Take ownership/review for research conducted by research
analyst. Validating results and correcting errors for OCC mandated program. Review other 2 nd
Look Analyst research. Maintain a zero percent error rate in Research and Review. Facilitate
employee review sessions and coordinate/participate in process improvement projects or
initiatives in support to department managers.
05/2011 – 10/2011 Consultant – Thai Rock, L.L.C, Rockaway, NY
Provide accounting, operational and marketing solutions for an up and coming restaurant.
01/2011 – 05/2011 Consultant - The Walsh Associates, Morgan Stanley Smith Barney New York, NY
Conducted LinkedIn Pilot Program. Profile Review and Registered Principal Approval. Provide
Technical support for pilot participants in LinkedIn use. Part of LinkedIn Policy steering
committee.
12/2006 – 12/2010 Compliance/Branch Manager - JP Turner & Company, LLC. New York, NY
Supervise two offices for compliance issues, Maintain compliance with Written Supervisory
Procedures and FINRA Regulations. Conduct Compliance Meetings covering various
compliance topics. Sales Supervision. Option Principal. Review/Approve all
correspondence/marketing materials/sales literature. Conduct Branch Office Compliance/Do-Not-
Call Audits. Review new accounts. Trade/Commission Review. First contact for all internal and
John M. Williams MBA, CRCMP
PO Box 1113, Melville NY 11747
631-***-**** cell,
*****@***.***
external audits. Products include equities, mutual funds, bonds, options, insurance (life and
health), REITs, IPOs and Secondary Offerings, private placements and managed accounts.
John M. Williams MBA, CRCMP
PO Box 1113, Melville NY 11747
631-***-**** cell,
*****@***.***
10/2005 – 12/2006 Director of Compliance/Operations - Trident Partners Ltd., Inc, Jericho, NY
06/2005 – 10/2005 Director of Compliance/Operations - Europacific Capital, Darien, CT
Trade/Commission Review, Primary Contact for all regulatory requests, Conduct Branch audits.
Maintain Written Supervisory Procedures. Conduct Firm Element continuing education program
and compliance meetings. AML Compliance, FinCen. Maintain CRD records (Form BD, Form
BR, U-4/U-5), Establish procedures for new business lines and offices. SROP/CROP.
Trade/Commission Review. Review/Approve all correspondence/marketing materials/sales
literature including websites/web-blogs/market commentaries.
10/2003 – 10/2005 Associate – Target Corporation, Old Westbury, NY
Take Inventory of overnight deliveries, separate deliveries and transfer to floor for stocking.
Maintain an orderly and clean work area.
04/1996 - 06/2005 Branch Manager/Corporate Liaison
CD Trading, Inc. /LH Ross & Company, Inc., Boca Raton, FL
Andrew Garrett, Inc., Garden City, NY
Established 3 corporate offices, 4 OSJ offices. Supervise 65 Financial Representatives.
Established branch operations and compliance regulations; Approval/Review of branch trades and
accounts. Acted as corporate liaison between branch offices, company and regulators. Also
represented company with various regulatory organizations. Service of company’s clients;
Research and development of market data; Maintain documentation and broker control.
Processing of trades and accounts; LAN Supervisor; Office Manager, Branch and Corporate
Operations. Review/Approve all correspondence/marketing materials/sales literature including
websites/web-blogs/market commentaries.
Education:
International Association of Risk and Compliance Professionals (IARCP)
Professional Certificate: Certified Risk and Compliance Management Professional (CRCMP)
New York University
Professional Certificate in Alternative Dispute Resolution: December 2006
Long Island Chapter of PMI
Certificate of Project Management, Spring 2004
New York Institute of Technology
Master of Business Administration: Finance & Marketing Concentration: May 2003
Honors: Delta Mu Delta National Honor Society Award, NYIT MBA Program International
Business Award, NYIT MBA Program Accounting Award, Mau Kappa Tau – National Marketing
Honor Society
Bachelor of Science: Mechanical Engineering; Jan 1992
Honors: Part A, Professional Engineers License; New York State, Order of the Engineer
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