Operations, Compliance, Risk, Manager, Supervisoe
Resume:
Mark Wesley
*** ****** ***** ***** . ****** NC **110
**********@*****.***
LICENSES
Series 7, 63, 3, 4, 9, 10, 24, 55, Life Insurance, Health Insurance
SALES
EXPERIENCE
ViewTrade Securities Securities Principal Charlotte, NC
2013 - 2014
Celadon Financial Group Senior VP-Investments
Charlotte, NC 2012 - 2013
TWS Financial LLC Registered Principal Charlotte, NC
2009 - 2012
. Reviewed and approved new accounts and transactions
. Executed complex trades for institutions and retail customers
. Monitored and ensured compliance of emails
. Executed batch trades for 50+ clients at a time
. Expanded business by establishing relationships with vendors and clients
. Trained brokers I recruited to the firm
. Oversaw the trading desks and trading activity executed
COMPLIANCE/OPERATIONS EXPERIENCE
Synergy Investment Group Director of Operations
Charlotte, NC 2000 - 2009
. Instituted new broker compliance and customer account review systems to
ensure consistency across all team members
. Evaluated customer complaints with Branch Managers
. Ability to work with all levels of management and staff within the firm
. Supervised 25 brokers for compliance with industry and firm regulations
. Monitored matters related to ethical business practice, risk management
and regulatory compliance
. Oversaw Best Execution reports
. Liaison between clearing firms and brokers
. Managed both front and back office for multiple trading platforms
. Supported new brokers through transitioning book of business to firm
SURETRADE, Inc. Supervisor of Compliance New York, NY
1998 - 2000
. Delegated responsibilities within Operations and Compliance department
. Determined suitability for clients requesting options trading
. Coordinated regulatory agency examinations
. Developed relationships with regulatory agencies to ensure proper
guidelines were followed
. Coordinated and implemented complaint prevention
. Final approval of responses to SEC and FINRA regulatory complaints
. Investigated and resolved customer inquiries via email and phone
. Supervisor of Trade Desk and Call Center before this position
SKILLS
. Excellent organizational and time management skills
. Solution oriented
. Extremely flexible and adapts well with change
. Ability to multi-task under pressure
. Strong sense of professionalism and ethics
. Advanced in Microsoft Office products
EDUCATION
Marist College Bachelor of Science Degree
Poughkeepsie, NY
Major: Mathematics Minor: Business
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