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<pre>Array ( [var] => cut_url ) </pre> Resume for John C. for Manager / Supervisor / Team Leader / Insurance in Portland, Oregon. Search More Resumes for Manager / Supervisor / Team Leader on #OHCWCVESX

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Resume for John C. for Manager / Supervisor / Team Leader / Insurance in Portland, Oregon

Occupation: Manager / Supervisor / Team Leader Industry: Insurance
Country: United States City: Portland
State: Oregon ZIP: 97201

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John C. C.

Goodpasture Island Road

     Eugene, OR   



WORK EXPERIENCE Morgan Stanley Smith Barney, New York, NY      / / Vice President and Manager – Exchange Transfer Review Unit
  • Establish negotiation terms for operational error management with Branch Manager to address order
  • entry discrepancies
  • Participate in legal and compliance maintenance related to branch liability, letter of indemnification and cost analysis
  • Implement rebranding project during completion of joint venture Legal Day between CitiSmith
  •    Barney to Morgan Stanley Smith Barney
  • Continue all CitiSmith Barney Vice Present and Manager Exchange Transfer Review Unit duties
  • CitiSmith Barney Global Wealth Management, New York, NY    Vice President and Manager – Exchange Transfer Review Unit
  • Administered independent review and evaluation of insurance and annuity
  •    exchange/transfer transaction submissions

  • Designed and implemented system enhancements of the Exchange/Transfer Review System
  • Managed and trained team of business analysts in exchanges and qualified replacements
  • Ensured CitiSmith Barney compliance with Financial Industry Regulatory Authority Rule
  • Utilized risk analysis and client suitability with proprietary applications, insurance illustrations and
  • product due diligence updates

  • Presented investment products operation procedures and upgrades at Regional CitiSmith Barney
  • Business Development conferences

  • Assisted in development of Citi Investment Services integration to CitiSmith Barney
  • operation platform

    WorldCo Financial Services LLC, New York, NY     / / Equity Trader        
  • Monitored daily portfolio consisting of institutional trade activities, earnings reports, broker recommendations and financial statements
  • Used fundamental and technical equity/option analysis for trading and research
  • Increased capital exposure leverage with use of convergence trading, hedging and multiple regression equation models
  • Siebert Financial Corporation, New York, NY     / / Registered Representative              
  • Executed trades for institutional clientele in US financial markets
  • Reconciled margin trading accounts with Risk Management Team  
  • Provided trade discrepancies and stock inventory for error accounts    
  • EDUCATION St. John’s University, Tobin College of Business, Queens, NY   / / 

    Master of Business Administration Finance . GPA Summa Cum Laude

    The Ohio State University, College of Engineering, Columbus, OH    / /

    Bachelor of Science Engineering Physics


    General Securities Principal Examination   Series

    General Securities Representative Examination  Series

    Limited Representative Equity Trader Exam   Series

    Uniform Securities Agent State Law Examination  Series

    New York State Life, Health & Variable Annuities


    Fluent in conversational Mandarin

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