yyyyyy x. yyyyyy

(xxx-xxx-xxxx • abc@xyz.com

 

 

profile of qualifications

 

profit-focused compliance and operations professional with expertise in futures, options, and regulatory industries and specializing in delivering world-class customer service, driving bottom-line results, and managing all-inclusive finance / accounting / administrative functions.  top performer proficient in securities and sox compliance systems.  integral leader knowledgeable of chicago stock exchange, sec, nyse, and nasd regulations.  excellent communicator who can plan, prioritize, and complete tasks within high-pressure, deadline-driven environments.  ambitious self-starter who contributes superior attention-to-detail and sharp analytical abilities.  series 3 registered.

 

professional synopsis

 

 

key accomplishments

ø condensed 3 teams in 3 countries to a 1-team follow the sun face for all clients and rewrote procedures to ensure group compliance.

ø directed a top-performing documentation team and managed financial / operations risk analysis for bear stearns merger.

ø managed on-schedule team migration from new york to chicago and remained 20% under budget throughout transition.

 

         apply dynamic leadership talents toward directing the group s compliance and client on-boarding teams to include managing client trading limits in line with risk metrics and overseeing all rate documentation / dispute resolution for north / south america.

         effectively train and advise customer service, sales, marketing, and operations groups to maintain strict regulatory compliance.

         optimize operations processes by organizing and filing detailed reports directly to cftc, nfa, finra, and exchanges per regulator requests to include proactively monitoring regulatory / legislative / international changes impacting fcms.

         interface among executive-level decision-makers, compliance management, and back office groups to build valuable client relationships, along with initiating new accounts to generate substantial business opportunities for continued marketplace dominance.

 

 

key accomplishments

ø reduced operations expenses by promoting client-based net cash wire processes versus multiple cash wires.

ø decreased costs during settlement system conversions by reducing necessary weekend labor hours by 70%.

ø reduced average age of cash breaks by 55%+ and reduced overtime 65% while handling 6% higher volume levels.

ø decreased employee turnover from 50% to 10% by creating a synergistic team environment to include developing multiple cross-functional training plans that generated up to 75% of mbs tba teams learning wide-ranging securities settlement skills.

 

         strategically steered compliance, settlement, and accounting functions to include maintaining, reviewing, and evaluating key processes / procedures for assured compliance while streamlining departmental efforts to guarantee low-level financial and operations risk.

         contributed intelligent business acumen toward building compliance-based staff training programs; developing databases for information dissemination; designing internal testing programs; and sustaining consistently seamless multi-location operations.

 

 

key accomplishments

ø resourcefully provided feedback via investigative reports, evidence presentations, and recommendations for regulatory discipline.

 

         ensured traders / brokers complied with chicago board of trade rules / regulations and performed account statement analysis as required.

         observed floor for commodity trading violations to include conducting key interviews, collecting research, and evaluating evidence.

 

 

key accomplishments

ø resolved diverse trade disputes and corrected trading errors in real-time environments through targeted investigative research.

 

         monitored compliance with multiple regulatory agencies and performed testing to guarantee proper functioning of trading systems.

         supported trading specialists with orders execution, along with accurately calculating monthly p&l of individual traders for daily reporting to the chicago stock exchange.

 

additional job history

 

its lead representative (temporary position), the chicago stock exchange, chicago, il                                                                 2003

 

education and technical summary

 

bachelor of arts in finance, economics, and business management (3.5 gpa triple major)                                     lewis university

 

microsoft office suite • microsoft powerpoint • adp impact • ilx • bridge • trading / settlement systems • internet applications

yyyyyy x. yyyyyy

(xxx-xxx-xxxx • abc@xyz.com

 

 

 

 

 

 

date

 

 

hiring agent name

title

company name

address

city/state/zip code

 

dear__________________:

 

i am currently seeking a challenging [ insert job title ] role, and am submitting my resume for your review.

 

i am excited to build a rewarding career with your organization, and am confident that my professional skills can achieve your key objectives.  i offer 6+ years of solid experience in compliance and operations; futures and options documentation; and securities settlements, and am well-versed in all facets of policy / procedure development, quality team building / training, research / investigations, and client / business relations.

 

to complement my background, please note that i hold a b.a. in finance, economics, and business management (3.5 gpa triple major) from lewis university.  i am also series 3 registered and have extensive knowledge of chicago stock exchange, sec, nyse, and nasd regulations, and am experienced with securities and sox compliance systems.

 

currently, as a futures & options documentation manager for j.p. morgan futures, inc., i apply my dynamic leadership talents toward directing the group s compliance and client on-boarding teams to include managing client trading limits in line with risk metrics and overseeing all rate documentation / dispute resolution for north / south america.  within this role, i organize and file reports directly to cftc, nfa, finra, and exchanges per regulator requests.  i also effectively train multifunctional groups to maintain strict regulatory compliance, and succeeded in managing an on-schedule team migration from new york to chicago while remaining 20% under budget throughout the transition.  as this is just a sampling of my background, please kindly refer to my enclosed resume for additional experience and business accomplishments.

 

you will find me to be a results-focused leader who can contribute superior attention-to-detail and sharp analytical abilities.  in addition, i can plan, delegate, and complete individual and team assignments within high-pressure, deadline-driven environments while streamlining business processes to increase productivity and improve client service levels.  for the sum of these aforementioned reasons, i believe i will prove to be an incredible asset to your company.

 

i look forward to hearing from you in order to discuss an available opportunity for which i am qualified.  i may be reached as indicated, and thank you in advance for your time and consideration.

 

sincerely,

 

 

 

robert m. reed