Financial Analyst
Resume:
JOHN W. KING II
**** **** ****** ****** ~ Philadelphia, Pennsylvania 19150
**********@*****.***
Qualifications Summary
Highly analytical, results-driven, and tenacious executive powered with progressive experience in Trading, Budgeting, Finance, and Investment Management. Proven expertise in utilizing out-of-the-box techniques to optimize operational efficiencies and enhance relationships with financial institutions and capital markets. Exemplify outstanding problem solving skills to achieve aggressive business goals and drive the evolution of concepts into achievable business plans. Accustomed to working with diverse people by providing innovative solutions and utmost satisfaction. Possess a keen eye for detail with proven effectiveness to multitask in fiercely competitive, challenging, and fast-paced environment.
Core Competencies
- General Accounting and Auditing
- Competitive Market Trends Research
- Risk Management and Securities Regulation
- Strategic and Tactical Planning
- Outstanding Customer Relations
- Training, Leadership, and Team Building
- Superior Presentation and Negotiation Skills
- Articulate Oral and Written Communication
- Problem Solving and Decision Making
- Organized with Strong Analytical Abilities
Professional Experience
NASDAQ OMX PHLX / PHILADELPHIA STOCK EXCHANGE ~ PHILADELPHIA, PA: 2000–PRESENT
Options Analyst II Jul 2007–Present
Review and evaluate options market activity to detect unusual trading situations involving market manipulation or other violations of Exchange Rules and/or federal securities laws. Provide expert oversight to a caseload of several concurrent alerts and investigations. Assess and present daily and pattern-based exception reports to determine validity of activity violated. Collect necessary trading information by utilizing various surveillance applications. Regularly interact with members and member organizations through phone, in-person, and written requests to acquire necessary information. Coordinate surveillance and investigative findings with other regulation groups, other SROs, and the SEC. Prepare closing alert and investigation memoranda with appropriate analysis and recommendations for regulatory action.
Notable Accomplishments:
- Instrumental in referring high-level exceptions that were taken over by the SEC which was successfully prosecuted and/or resulted in settlement fines by the Investigations/Enforcement departments
- Worked collaboratively with the Technology Department to develop more efficient surveillances and produce better quality referrals for the Investigations/Enforcement departments
- Monitored and ensured strict compliance with internal and external entities by maintaining statistical spreadsheets on a daily basis reflecting work completed
- Updated procedures for surveillances annually to stay abreast with the latest practice of completing / conducting surveillances
- Played an integral part coordinating with various regulatory departments to conceptualize effective, quality surveillance report toward smooth transition of information and results
- Accomplished successful industry compliance, litigation, and/or settlement negotiations with member organizations for violations of SEC and/or Exchange rules
Examiner II Oct 2000–Jul 2007
Performed routine and cause examinations of Designate Examining Authority (DEA) firms. Inspected organizations’ financial and non-financial compliance records through the effective utilization of strong problem solving skills. Coordinated conferences with member organizations upon completion of examinations to communicate / interpret findings and reports. Observed and tracked daily financial condition of member organizations for early detection of potential future violations and prompt action to existing violations. Facilitated training to new examiners to develop competencies. Instrumental in granting approval for new member applicants to conduct business at the Exchange.
Notable Accomplishments:
- Personally selected by the management to train newly hired examiners and conduct process of granting approval for new member applicants to initiate/conduct business at the Exchange
- Successfully referred examinations of major rule violation to Investigations/Enforcement that resulted in total fines exceeding $50,000
Prior Work Experience
GUEST SERVICES REPRESENTATIVE 1998–1999
RENAISSANCE HARBORPLACE HOTEL ~ BALTIMORE, M
SALES ASSOCIATE 1997–1998
STRAWBRIDGES ~ PLYMOUTH MEETING MALL, PA
TELLER 1995–1996
POLICE & FIRE FEDERAL CREDIT UNION ~ PHILADELPHIA, PA
TELEMARKETING REPRESENTATIVE INCLUSIVE YEAR/S
TELE-RESPONSE CENTER ~ PHILADELPHIA, PA
Education
BACHELOR OF SCIENCE IN FINANCE
- Morgan State University, Baltimore, MD: 1996-2000
Professional Affiliation
Member, Urban Philadelphia Professional Network (UPPN)
Activity
Trustee, Campbell AME Church
Technical Skills
Microsoft Office Suite: Access, Excel, Word, Outlook and PowerPoint
Thomson One and Bloomberg terminal
Contact this candidate