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Compliance & Operations Professional with over 10 years experience leading teams to strong compliance, cost effective operational controls and world-class service. Expert knowledge of FINRA and SEC regulations.  Developed and implement procedures supporting compliance and brokerage/insurance operations functionality. Successful leadership in both project management and change agent roles.

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Jeff Press, C.R.C.P.

670 Barnes Avenue, Baldwin, NY 11510

Phone 516 236 9277 Email jeffreypress@yahoo.com

Compliance & Operations Professional with over 10 years experience leading teams to strong compliance, cost effective operational controls and world-class service. Expert knowledge of FINRA and SEC regulations.  Developed and implement procedures supporting compliance and brokerage/insurance operations functionality. Successful leadership in both project management and change agent roles.

Key Achievements

·  Key role in systems testing of compliance rules engine, trade reconciliation and client data management systems via test case creation and reconciliation in a data critical environment.

·  Enhanced trade suitability through staff coaching of KYC and AML procedures employed on a fast paced, high pressure trading desk through industry best practices developed during C.R.C.P credentialing process.

·  Created and implemented Customer Centricity Skills program for AXA inclusive of call review program and 12 week seminar to over 100 staff members. Continued role as customer centricity champion and consistently lead additional training and projects.

·  Revised Written Supervisory Procedures in cashiering, trading and corporate actions operations departments to achieve greater consistency and faster turnaround times.

·  Created and executed effective compliance controls and strong sales training programs to grow E*Trade’s ISG retail business line from 6 reps in 1 location to 32 reps in 18 locations in 18 months.

·  Key role in re-engineering of compliance & Operations procedures of RIA and traditional brokerage business at Royal Alliance Associates.

Registrations

FINRA Registrations Series 7, 4, 8 (9 & 10 combined), 24, 53, 63

FINRA Certified Compliance and Regulatory Professional Designation

Life and Health Insurance Licenses

Notary Public

Professional Experience

Sapphire Technologies 10/2009 – 4/2010

         Consultant, Platform Migration Citi & Pershing

·                          Detailed mapping of compliance and supervision reports between firms inclusive of Pershing Rules Engine, Actimize Case Manager / model creation and legacy mainframe functionality.

·                          Project Management Office role in major conversion of multiple back end systems to industry standard platform at a holistic compliance system level (non-IT).

·                          Identified and partnered with key personnel across businesses, scheduling and leading critical path compliance surveillance development meetings.

·                          Created Business Requirement Document for Compliance, Supervision and Legal work streams.

Financial Industry Technical Services, Inc. 2/2009 – 5/2009

         Consultant, High Profile Broker / Dealer SEC investigation & Receivership

·                     Thorough analysis of Receivership requirements and state of business operations.

·                     Performed Triage of critical “lights on” functionality versus available staff and resources.

·                     Drafted Written Supervisory Procedures for broker dealer while in receivership status.

·                          Implemented WSP and Operational Procedures of Trading, Cage, Legal, Re-Org, Mail Room.

·                          Project management role in the deconstruction of firm and implemented “Exit Strategy” for accounts in a high profile media circus.

AXA Advisors, New York, NY 10/2005 – 12/2008

Compliance / Risk Management

·  Created surveillance metrics reports to quantify compliance risk at a firm-wide scale reducing regulatory risk and increasing returns from sales activities. Helped in streamline Suitability Review System for greater efficiency in application/trade review.

·  Played a major role in coordinating AXA Group risk initiative to quantify and strategize risk across multiple business lines.

·  Developed and implemented action plans to abate regulatory, operational and litigation risk to the firm while streamlining for greater efficiency.

·  Increased utility of electronic communications surveillance 57% via implementation of keyword lists and smart review methodology. Managed communications surveillance and retention strategies for field agencies and Registered Investment Advisor firms.

·  Critical role in trading rules implementation, test creation and UAT testing to ensure FINRA compliance in both “lights on”, trade operations migration to LPL project, providing detailed written reports to management.

·  Improved risk profile of firm via project management role for FINRA 3010 & 3012 certification. 94% of identified issues were corrected and no repeat issues within the year. 6% are “on schedule”. 

·  Achieved 100% Compliance in FINRA Firm Element and other training requirements for specialized markets staff/field agents within deadline resulting in zero downtime of agents. Through proactive communications achieved 99% completion rates for general sales staff of Firm Element.

Manager, Trading Operations

·  Leadership provided dramatic turnaround in productivity, trade error rate and service levels for Trading Desk through staff education, staff development efforts and procedure streamlining as a result of business/staffing analysis and utilizing a Six Sigma approach.

·  Implemented Compliance audit testing to meet OATS, FINRA and WSP trade processing and settlement requirements.

·  Maintained Order Management System to meet Best Execution, Reg SHO and OATS reporting requirements in a fast paced trade desk running heavy Fixed Income (MBS/CMO/CP/TB/Agency/Corp), equity and options business.

·  Key responsibility for trade match and settlement in complex FI, equity and options products.

·  Increased utilization rates of staff of nine traders via strategic and tactical management.

·  Reduced trade order entry time utilizing a Six Sigma approach for a 15% efficiency increase.

·  Strengthened coordination and support of Cashiering, Transfers, Margin, Customer Service, Commissions, Wrap departments resulting in 40% faster turnaround times for work items.

·  Project member of cashiering and transfers re-engineering project to streamline DTC, ACAT and RCP/DVP and Fed wire clearance processes for technical and business enhancements.

·  Enhanced compliance controls by revising existing written supervisory procedures manual with updated controls and creating new controls to reflect current business and regulatory environment.

·  Developed a mentor relationship with Compliance and Reporting departments resulting in proactive improvements of procedures and strong internal audit reviews of the trading operations area.

·  Structured goal setting and review cycle adopted by the broker dealer for enhanced performance management. Performed Ad Hoc personnel tasks such as additions, moves and deletions to staff, Performance Management components and time tracking/reporting to HR department.

E*TRADE Financial, New York, NY 1/2004 – 10/2005

Director, Branch Compliance & Operations, Investment Specialist Group

·  Audited newly formed retail brokerage business in accordance with current FINRA and SEC regulations, presented findings and successfully implemented remediation plan for identified issues.

·  Managed daily compliance oversight and operations functions for 18 branches, with direct oversight of 22 employees and over 30 brokers to ensure compliance and sales goals were exceeded. This included KYC, trade execution (Reg 2110), surveillance and commission review.

·  Drafted all compliance written supervisory procedures inclusive of complex fixed income (CMO, MBS, Treasury / Agency/ Commercial Paper) equity, mutual fund and insurance products, resulting in “Strong Controls” audit grade.

·  Effective partnering with key business units to promote growth. Educated both up and downstream to business needs, methods and results for success.  Unit revenue grew over 250% in the first year.

·  Created and delivered comprehensive education programs detailing effective compliance policy implementation and proactive risk management strategies.

·  Lead project for Registered Investment Advisor product development and launch.

·  Reviewed, investigated and replied to customer complaints regarding best execution and sales practices resulting in reduced litigation and lower settlement costs.

·  Approved advertising material for business line in accordance with current FINRA and SEC regulations while reducing turn around time from submission to implementation.

·  Conducted branch examinations of 18 ISG branches to ensure compliance with FINRA regulations and ISG procedures. As a result of my action plans, there were zero repeat deficiencies.

·  Interpreted compliance and operating metrics in detail and presented findings to senior management Monthly, resulting in strong oversight.

·  Utilized a performance management philosophy to implement staff additions, role changes and deletions to maintain a lean and high performance staff. Personalized goal setting and career management cycles with all staff provided strong staff development.

MetLife, Roslyn, NY 2/2003 – 1/2004

Compliance & Operations Manager

·  Increased performance of 16 office personnel through performance management, goal setting and quarterly one on one interviews. As a result, application underwriting time was reduced 13%.

·  Reviewed trade blotter and insurance policy application activity for 80 financial representatives, monitoring suitability, reducing “no go” applications by 23%.

·  Reviewed branch level advertising material, seminar matter and in house campaigns.

·  Focused training of agents as a result of conducting detailed branch exams for eight branches.

·  Lead change agent to transition branch to OSJ status by revising written supervisory procedures.

·  Reduced operating expenses through aggressive management of vendor relationships (consumables, telecom, IT, advertising, and real estate expenses) and consolidation of office machines to more efficient multifunction systems as part of self initiated branch overhaul project.

Royal Alliance Associates, Inc. New York, NY 8/2000 – 6/2002

Regional Compliance Manager

·  Performed compliance functions for 63 retail OSJ branch offices including new account review, trade blotter review and advertising material review in an RIA and traditional brokerage environment. Reduced review time by 20% and increased the internal audit rating a full grade.

·  Created and revised WSP and operational procedures in home office for strong gap analysis and operational efficiency using a Six Sigma methodology in a mission critical project management role.

·  Prepared surveillance and risk management reports for Division Presidents that detailed resolution to identified issues and tracking of satisfaction of open items.

·  Examined over 40 branches in the Mid-West preparing detailed reports and recommending action plans to remedy detected deficiencies.

Software:

Word, Access, PowerPoint, Excel, Sungard, ProSurv, LPL BranchNet, Pershing Netx360, Actimize, ADP, Beta, Bonddesk/BondCentral, Broadridge, Bloomberg, Morningstar Advisor, and Thompson Financial.

Education:

·  FINRA Certified Regulatory and Compliance Professional Certificate (2008), University of Pennsylvania Wharton School of Business

   The C.R.C.P. is a three year Certificate program by the Wharton School of Business in conjunction with FINRA. There are less than 500 graduates and each are certified by FINRA as experts in compliance and securities law.

·  BS Finance, S.U.N.Y. Old Westbury, Brookville, NY (in progress)

·  AA Liberal Arts (1997), Nassau Community College, Uniondale, NY