Manager Assistant
Resume:
RUTHVEN E. BENJAMIN
Brooklyn, NY 11226
E-mail: ********@***.***
OBJECTIVE:
To obtain a position that will utilize both my extensive managerial skills
as well as my diverse knowledge of the securities industry.
CORE FUNCTIONS AND SKILLS:
. Management of surveillance staff in the areas of Equity and Fixed Income
Trading.
. Designed and developed a Surveillance Tracking System enabling the
Compliance Department to monitor, analyze and track surveillance efforts
of the Compliance staff.
. Active involvement with outside vendors in the development of strategic
programming initiatives required to establish an updated surveillance
protocol for Morgan Stanley.
. Created technical solutions and compliance reports to ensure regulatory
and industry wide compliance.
. Developed TRACE Protocol to comply with the NASD's Fixed Income
reporting requirements.
. Liaised with the Legal Department and outside counsel in the research and
preparation of legal briefs for compliance litigation, communicating
directly with both Corporate and outside counsel.
. Authored Written Policy and Procedure for the Core Surveillance Unit of
the firm.
. Demonstrated the ability to interface successfully with the IT Department
to develop surveillance reports needed to respond to Regulatory Audits
and Examinations.
. Interacted with the Internal Audit Department to perform annual audits of
compliance with the firm's standard operating procedures.
. Coordinated efforts with the Research Department and developed Control
Room surveillance to establish and maintain the integrity of the firm's
Information Barriers.
. Developed Employee Trading protocol to monitor and review trading in
outside accounts and activity in securities on the firm's Restricted
List.
. Implemented strategies for providing and ensuring Best Execution for
customers in the Marketplace.
. Knowledge of the research required to respond to Customer Complaints.
. Extensive exposure to responding to Regulatory Inquiries from Federal and
State Regulatory Agencies.
. Participated as an active member of the firm's Regulatory and Diversity
Committees.
EXPERIENCE:
Morgan Stanley DW Inc. 2002-08/2004
Executive Director/ Manager of Core Surveillance
. Supervised a staff of six employees.
. Coordinated daily surveillance activities for the Retail and Fixed Income
units.
. Interacted with Federal and State regulatory agencies regarding
compliance issues.
. Defined the staffing needs of the compliance unit.
. Interfaced with the Legal Department to provide proper support
documentation on compliance issues.
Morgan Stanley DW Inc. 1997-2002
Vice President/ Manager of Proprietary Surveillance
. Developed compliance policy in the areas of OTC trading, Exchange trading
and the Fixed Income Trade desk.
. Created inter departmental operation techniques to ensure efficiency in
the processing of compliance issues.
Dean Witter Reynolds Inc. 1989-1997
Assistant Vice President
. Developed controls to ensure confidentiality of research information.
. Implemented syndicate trading processes to ensure compliance with rules
of the regulatory bodies.
. As Senior Analyst, researched, implemented and executed compliance
policies and procedures relating to the Watch List, Gray List and
Restricted Lists.
Charles Schwab & Co. 1987-1989
. Performed clerical functions in the areas of the order room, floor
trading and Compliance Surveillance.
Dean Witter Reynolds Inc. 1973-1987
EDUCATION:
Brooklyn College (DEGREE IN Business Administration)
Teacher's Diploma in Education
REFERENCES:
Available upon request
Contact this candidate