Sales Operations

V INC E N T A. B AU D O N E, CA MS

** ******** ***** • Levittown, NY 11756 • Home: 516-***-**** • Cell: 516-***-**** • **********@*****.***

C O M P L I A N C E A N A LY S T

Dynamic, highly motivated, and results driven financial services professional with a demonstrated track record of over 11 years of success in

overseeing several areas of broker/dealer operations is seeking to build a rewarding and challenging career within a well–respected financial

institution acting as a Compliance/Regulatory professional to help support operations and to mitigate the risks to both the company and the investor.

Recognized for driving a high level of client service. Exceptionally committed and dedicated individual with the ability to earn trust and respect from

a wide range of peers, management, and clients.

Specific areas of expertise include: Equity Trading, Back Office Operations, Compliance, Client Relations, Account Management,

IPO/Secondary offering analysis, NYSE/NASDAQ rules, FINRA regulations, and AML/KYC laws.

Knowledge of: Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, the Office of Foreign Asset

Control (OFAC), BSA rules, and the Sarbanes Oxley Act of 2002.

SUMMARY OF QUALIFICATIONS

Expert research, problem solving, and analytical skills.

Exceptionally detail oriented and organized.

Able to multi task and deliver high quality work products under strict deadlines.

Flexible and reliable in working independently or within a team environment encompassing all levels of management; recognized as a

self starter.

Superior verbal and written communication skills.

Proficient in quickly learning new disciplines to enhance job performance and to expand knowledge base.

Proven ability to work effective and efficient in fast paced operations.

Working knowledge of Microsoft Office applications; including advanced skills in Excel .

EDUCATION & PROFESSIONAL DEVELOPMENT

BACHELOR OF BUSINESS SCIENCE, ACCOUNTING (2012) – SUNY College at Old Westbury, Old Westbury, NY

Dean’s List; Summa Cum Laude; GPA: 3.91

ASSOCIATE OF SCIENCE, CRIMINAL JUSTICE (2001) – Nassau Community College, Garden City, NY; Cum Laude

Certified Anti Money Laundering Specialist (CAMS)

Financial Industry Regulatory Authority (FINRA): Series 24 • Series 7 • Series 55 • Series 63

CAREER HISTORY & PERFORMANCE

GRACE FINANCIAL GROUP, LLC, Great River, NY, January 2007 – March 2013

EQUITY TRADING/OPERATIONS ASSOCIATE

Maintained responsibility for executing trading operations in listed and OTC equity securities.

Managed day to day desk operations for multiple institutional clients. Handled new hire orientation and supported current employees by

contributing to their continued growth and success by promoting efficient workflow and adherence to the highest ethical standards. Promoted

to Senior Vice President within two years.

Responsible for the execution of client equity trading; averaging 750,000 shares daily with a valuation of over $5MM.

Participated in the trading of OTCBB and Pink Sheet securities.

Performed various brokerage accounting operations; balancing daily stock ledger, transaction processing and settlement.

Played a crucial role in investigating/analyzing and resolving any trade and/or account discrepancies.

Prioritized work flows and ensured deadlines were met.

Worked extensively with client reports to analyze trading activity/trends to minimize failed trades and to promote efficient trade settlement.

Reported to the Branch President key information and findings on efficiency and accuracy of overall operations.

Developed strong relationships with Goldman Sachs Execution & Clearing (GSEC) personnel, counter party Prime Brokers, IT, financial data,

and service providers.

Conveyed related IPO and secondary market pricings to client base; analyzed market trends/news related to securities involved in the offerings.

Experienced at working with Alternative Trading Systems (ATS); provided electronic trade support to clients; resolved any trading platform

inquiries specifically involving the REDIPlus trading system.

Completed yearly continuing education requirements regarding current AML/KYC rules and regulations.

Supervised a staff of seven employees ranging from junior traders to sales personnel to ensure compliance regarding FINRA regulations and

NYSE/NASDAQ trading rules.

Assisted in streamlining trading desk operations by switching to all electronic trade ticketing to enhance order entry speed and execution.

OFFICE OF THE ATTORNEY GENERAL STATE OF NEW YORK, Hauppauge, NY, July 2011 – June 2012 (part time)

AUDIT INVESTIGATOR INTERN / MEDICAID FRAUD CONTROL UNIT

Gained comprehensive experience in conducting investigations on allegations involving healthcare fraud by members and providers.

Participated in various aspects of investigations, which included reviewing case reports and analyzing data for regulatory reporting purposes.

Communicated with legal counsel during all phases of investigations. Aided in preparing cases for referral to law enforcement for prosecution.

Generated leads for fraud investigations.

Played an instrumental role in detecting fraudulent activity by auditing and analyzing claims data.

Assisted senior auditing and investigation teams in various areas while gaining exposure to the audit process from inception through completion.

REDWOOD BROKERAGE, LLC, New York, NY, September 2001 January 2007

INSTITUTIONAL EQUITY TRADER

Managed trading activities on a daily basis for listed and OTC equity securities.

Served as a liaison with clients concerning the resolution of trade settlement disputes. Performed administrative functions associated with sales

order tickets and processing.

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