EDWARD T. BRIENZA
** ******* ** **** *******, NJ 08550 *********@*****.*** 609-***-****
Experienced Senior Compliance Officer and Executive Branch Manager with more than 35 years of retail brokerage, trading, and compliance expertise.
SUMMARY OF QUALIFICATIONS
More than three decades of broad experience in the securities industry
Consistently recognized for extraordinary achievements in sales, management, customer service, and business growth
Self-motivated and goal-oriented, thrives in both independent operations and team dynamics, builds alliances and engages in cross functional activities
Demonstrates professionalism, tenacity, and dedication, with solid work ethic and friendly demeanor in executing professional responsibilities
Excellent oral and written communication and relationship building skills
PROFESSIONAL EXPERIENCE
Anvik Advisers LLC, Princeton, NJ (January 2009 – Present)
Advisory Firm and Hedge Fund
Co-Founder and Managing Member/Chief Compliance Officer
Directly involved in all operational aspects of both the advisory business and the hedge fund
Established and maintain a comprehensive compliance program for the firm
Developed, executed and maintain Written Supervisory Procedures designed to ensure compliance with all relevant FINRA, SEC and MSRB regulations
Implemented Continuing Education training for employee understanding of regulatory issues
Authored the firm’s brochure (ADV II)
Manage the registration and filings for the firm and its personnel with the appropriate regulatory agencies and serve as the primary contact with regulators during exams and inquiries
Created and currently manage Business Continuity Plan for the advisory firm
Established model for the firm’s document and email archive
Work directly with States and Attorneys on filings, registrations and renewals
Maintain company P&L and trade records and reports on all business activity
Conduct Annual Compliance Meeting
Maintain complete understanding of federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups
McLaughlin, Piven, Vogel Securities Inc., New York, NY (September 1982 - December 2008)
Boutique Wall Street brokerage firm catered to affluent private investors
Partner/Branch Manager/Options Strategist
Managed P&L responsibility for the company’s flagship branch at 44 Wall St.
Served as Officer of Supervisory Jurisdiction (OSJ)
Managed staff of 50+ retail brokers and 60 ancillary personnel (trading and support staff)
Redirected firm’s focus from bonds to covered call strategy using ETF’s resulting in a doubling of commission revenue in a 2 year period
As Options Principal, established and administered an effective options compliance program. Monitored options trading for strict adherence to customer suitability
Trustee in the company’s 401(K) plan
Recruited, hired and trained more than 200 brokers and personnel while acting as branch manager
Provided detailed reports to executive management on changing market conditions, new product availability and potential profit driving opportunities.
Conducted internal staff monitoring and investigations which included account and email surveillance
Conducted legal research and consulted with outside council on litigation and regulatory filings
Enforced FINRA and internal compliance procedures
LICENSES
Series 66 (Current); S4, S7, S8, S24, and S63 (could be grandfathered)
AFFILIATIONS
Hearing Officer, New York Stock Exchange Division of Enforcement
EDUCATION
College of Staten Island, Staten Island, NY, Major: Business Administration