Daniel T. O’Connor
Marlboro, NJ *7746
ad4ihc@r.postjobfree.com
Home: 732-***-****
Cell: 551-***-****
CAREER SUMMARY
Over 30 years in the financial investment sector with experience in compliance oversight, supervising trading desks, branch management, and sales.
FINRA LICENSES
Series 7, 24, 63
INSURANCE LICENSES
State of New Jersey Life, Variable Annuity,
Property and Casualty Producer
PROFESSIONAL EXPERIENCE
Primerica 12/15 - Present
Morganville, NJ
Independent Representative
Prospect and set appointments with potential customers through personal leads
Discuss financial, retirement, and insurance needs of the customer
Formulate a portfolio consistent with customer’s goals and investment objectives
Santander Investment Securities, Ltd. 5/08 – 9/14
New York, NY
Vice President/Compliance-Trading Supervision and Control/ROP
Review daily the Regulation SHO report from NYSE and NASDAQ
Review daily activity reports from equity, fixed income, options and 15a-6 trading desks
Review and correct daily OATS reports
Review all corrections on equity order tickets on trade desk
Continuously review the ACT Workstation for trading unmatched orders
Maintain daily logs of errors, customer facilitations, OATS issues for equity, TRACE issues for fixed income, options or customer complaints
Review all proprietary trading reports
Prepare monthly summary report for Chief Compliance Officer
Present meetings with equity trading desk on a variety of topics that pertain to their business (i.e., changes to rules and regulations, AML and KYC updates, trade platform issues, monthly report cards) and prepare minutes of the meetings for upper management
Review a random sample of telephone calls, listening for breaches of professional conduct or customer complaints
Conduct monthly Best Execution Review with a committee to identify and determine which firms show patterns of poor execution performance
Review daily work assigned to subordinates and cover the work in their absence
Review and approve monthly Rule 605 and Rule 606 Reports
The Concord Equity Group, LLC. 4/06 – 5/08
Iselin, NJ
Chief Compliance Officer/ AML Officer/ MSRP
Interacted with all branches and affiliates regarding compliance issues
Represented firm and acted as liaison for regulatory examinations and inquiries by SEC, NASD and MSRB
Identified and resolved problems relating to sales practices
Conducted branch audit examinations
Researched and responded to inquiries received from regulatory organizations
Developed and supervised implementation of continuing education program
Developed, supervised and reviewed KYC and anti-money laundering procedures and SAR reporting
Interpreted firm and regulatory rules and policies
Reviewed and granted approval of firm marketing material
Updated the firm’s policies and procedures
Supervised compliance personnel
Laidlaw, Ltd. 6/99 – 4/06
New York, NY
Senior Vice President /Branch Manager (1/03-4/06)
Sales supervisor of registered representatives in the New York branch office
Reviewed and approved all customer account and KYC documents
Investigated customer complaints and made reports to Compliance Department
Identified and resolved problems relating to sales practices
Conducted branch audit examinations
Conducted sales practice examinations with individual registered representative groups
Held continuing education classes for registered representatives
Senior Vice President/ Deputy Director of Compliance (6/99-1/03)
Company liaison between Laidlaw and clearing firm
Reviewed and answered customer complaints received in the Compliance Department
Conducted branch audit examinations of San Francisco, Austin and Florida branches
Researched inquiries received from regulatory organizations
Developed and implemented continuing education program
Supervised and implemented anti-money laundering and KYC procedures
H.J. Meyers & Co., Inc. 1/97 – 9/98
Woodbridge, NJ
Regional Compliance Officer
Performed trade surveillance of registered representatives for three branch offices
Investigated customer complaints and filed reports with senior management
Taught continuing education classes for registered representatives
Completed monthly manager’s compliance audit for three branches
Acted as branch manager in absence of assigned branch manager
EDUCATION
University of Arizona
Tucson, AZ
College of Business and Economics
BSBA 1983, Marketing (Major), Psychology (Minor)
Seton Hall University
South Orange, NJ
1/92 – 12/92 Earned 6 post-graduate credits