Customer Service Office

Arthur J Palino

** ******* *** ****** ******, NY 10312 * Mobile 718-***-**** * Email: ************@*****.***

Qualifications Summary:

15+ years in the financial sector with expertise in the Compliance and Broker Dealer sections for private institutions. Dedicated team player for driving results in fast-paced environments. Great attention to detail, problem-solving, clear communication, precision execution; including all middle office operations.

•NASD Series 7 and 63 licensed

•RBC Trading & back office Software WINOPS WEBOPS WORKFLOW RBC WEALTHSTATION

•FirstSouthWest Trading & back office Software

•Excellent Oral Skills Excellent Motivational & Management Skills

•Trade Support Client Relations Compliance Orientated KYC AML MIS/OFAC

•Trade Allocations Customer Service Reconciliation Operations Specialist

•Proficient in Microsoft Excel I Word I Power Point I Access

•Involved in Community activities. Light the night. Our lady star if sea church

•References upon request

Professional Experience:

EDI Financial INC, Woodbridge, New Jersey May 2013 to Present

Co-Manager of this boutique firm and partner with our Compliance, Middle and Back offices to maintain office processes that reduce redundancy, improve accuracy and efficiency. Provide comprehensive executive-level coverage for individual and institutional clients.

•Co-manage a team of eight people consisting of a 4 brokers, 3 Insurance agents, 1 sales assistant

•Partner with Compliance team to ensure the regulation of day-to-day operations

•Compliance-MIS/OFAC checks, commissions and trade activity monitoring, new account reviews, AML monitoring for incoming and outgoing payments and order approvals

•Responsible for all aspects of office management and back office operations: Margin, Opening Accounts, ACATS, Wires, Checks, DTC, Commissions, Transfers, Compliance

•Daily trade reconciliation

•Strategized investment vehicles for all customers with investment and insurance products.

•Maintain positive client relationships at all times.

•Manage training sessions for new insurance agents and financial executives.

•Manage the back operations to ensure specialist comply with rules and regulation of all our internal costumer accounts.

•Senior account executive & Life Insurance Agent managing over $3. Million client assets.

Previous Employers:

Colorado Financial, Woodbridge, New Jersey June 2012 to May 2013

Brookstone Securities INC, Woodbridge, New jersey October 2008 to June 2012

Empire Financial, Woodbridge, New Jersey March 2006 to October 2008

Great Eastern Securities INC, New York, New York October 2005 to March 2006

Synergy Investment Group, Staten Island, NY September 2004 to October 2005

Education: Devry University North Brunswick NJ 1996-97

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