adtsyk@r.postjobfree.com Phone: 347-***-****

** ******** ***** ***** ******* N.J. 07733

Thomas Spicer

Professional Experience

Prudential 3/2017 – Present

Senior Analyst Regulatory Supervision – Sales, Support and Oversight

Reviewed new, options and margin accounts to confirm regulation best interest standards were meet including from CRS.

Reviewed stock / etf, option and mutual fund trades plus new annuities and life policies to confirm suitability for clients.

Lead tester on margin and option trades as this type of trading is new to Prudential.

Participated in internal investigations and responded to regulatory inquiries.

Performed electronic communication reviews (emails, instant messages and phone calls).

Developed and documented all operational procedures.

Interacted with regulators and compliance for annual and semiannual audits internal and external.

Lead tester for system enhancements (testing and production).

Manage training and development of new hire associates.

Processed KYC (know your customer) paperwork for all new accounts.

Reviewed Mutual Fund market timing reports.

Wedbush 7/2014 – 09/2016

Assistant Vice President – Prime Brokerage

Measured and assessed the investment risk of client investments and the firms via PTR.

Researched and responded to all options and equities trade related inquiries including order types, executions, and potentially erroneous trades.

Researched and responded to all back office related inquiries including equity settlements, trade breaks, options processing, corporate actions, locates, buy-ins and margin calls.

Maintained and tracked that all exchange related fees are up to date and verified in the trading system.

Approved outgoing wires and checked the status of incoming wires (foreign and domestic).

Implemented best practices by creating processes and documenting outage steps leading to reduced issue resolution times.

Hosted visiting clients and interviewed potential employees.

Experienced in all types of asset movement requests.

Educated reps on how to calculate house / NYSE calls and buying power.

Taught classes on margin including release, margin interest and maintenance requirements.

Metlife 9/2010 – 7/2014

Trading Supervisor - Equities, Options and Mutual Funds

Reviewed and signed off on Equities, Options and Mutual Funds blotters for trade suitability.

Conducted call surveillance.

Reviewed daily best execution report to confirm customer prices.

Reviewed commission report to confirm commission were correct and activity was in line with investment objectives.

Lead tester in the Metlife split ID and paperless projects UAT and production.

Answered all escalated calls for the desk.

Reviewed and adjusted rules engine to improve the internet order validation system.

Trained new employees who traveled to New Jersey weekly to ensure smooth BD transition to North Carolina.

Processed OATS reports for the trade surveillance unit of Pershing Advisor Solutions.

Ensured timely execution of trades by entering, routing and verifying orders.

Routed orders to one of four different vendors to get customer the inside market.

UBS 9/2008 – 9/2010

Margin Analyst

Pershing 4/2007 – 9/2008

Assistant Vice President - Compliance - Trade Surveillance Unit

Metlife 9/2004 – 4/2007

Trading Supervisor - Equities, Options and Mutual funds

Investex 6/1999 – 8/2004

Operations Manager

Licenses

Series 24, 4, 55, 7 & 63

Education

C.U.N.Y. College of Staten Island 1/1994 – 6/1996

S.U.NY. College of Old Westbury 9/1992 – 12/1993

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