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RssCompliance Eqity Professional

A job that will let me determine the effectiveness of the jobs performed or develop the program that is needed to have an excellent compliance program. Open to a new field since l believe my project management skills in conjunction with my intelligence, hardwork and honesty will allow me to quickly learn and contribute--open to entry level that has the possibility of moving up the ladder.


Newark, NJ

About Me


Accounting & Finance




At the NYSE l was proud that l was always in a supervisory position and that my work was reviewed by the NYSE chairman and Subcommitte. My work helped reduced SEC fines and demonstrated a sincere effort to the the Company comply with all market trading rules. Learned quickly the brokerage equity business and implemented on my own key regulations throughout the company(i.e. Regulation SHO and NMS). l was in key senior compliance positions at Jefferies & Company and Cantor Fitzgerald where l had 50% responisibities in developing and implementing surveillance programs and 50% responsibilities in dealing with management, traders, account executives, systems and operational personnel and dealing with SROs.

Ideal Companies:

Any size company that will allow me to show my abilities and the fact that l am smart and fast learner.

Education level:


Will Relocate:



Newark, NJ

Work Experiences

3/2008 - 6/2008

Cantor Fitzgerald


  • Managed surveillance program and support AEs, traders and implement rules in trade systems.

6/2002 - 2/2008

Jefferies & Company, Inc.

Director / VP

  • Manged surveillance programs and support AEs and traders, etcc

6/2000 - 9/2001

Schwab Capital Markets

Director / VP

  • Review Quality of Trade Executions

6/1971 - 6/2000


Director / VP

  • Supervise investigations, surveillance and auditing.



Bachelor Degree

Baruch College

  • Business Management