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Customer Service Manager

Location:
San Francisco, CA
Posted:
August 12, 2015

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Resume:

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



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