Self-Employed Proprietary Trader Resume

TECHNICAL SKILLS:

Diligence, Surveillance, Fortent, Actimize System experience
Quality Control (QA) Inspections
Knowledge of transaction monitoring processes
Excellent research, investigative and analytical skills
Proficient in MS Office - Outlook, Word, Excel
Over ten years in financial industry (Proprietary Trader)
Knowledge of trading platforms: Generic, Firetip, Lightspeed and Bloomberg
Ability to deliver while working under pressure, tight deadlines and adapt to new changes

WORK EXPERIENCE:

Confidential

Self-Employed Proprietary Trader

Responsibilities:

Use sector analysis, pre-market data and early morning research to outline the direction of the market and its intraday volatility.
Utilize a top down approach of the daily market environment.
Maintain and update a daily list of Confidential companies for intraday trading by scanning trough numerous articles and columns in the early morning research.
Employ analytical skills and market expectation in to a daily routine.

Confidential, New York, NY

AML Investigator (consultant)

Responsibilities:

Conducted Quality Assurance and self-audit related to the testing of the case closure process.
Performed transaction monitoring of alerted customers’ pre-paid/credit card account activity, including review the transactions, obtained information about necessary parties and outlined the results in the Memorandum of Fact.
Conducted additional research using Internet research tools and external data sources and recorded results as necessary to ensure that Level I review conforms to appropriate company standards.
Communicated with the Level I reviewers to provide guidance for improvement of quality of their review.
Ensured that all potential issues or suspicious activity reports are escalated to the appropriate company personnel.
Reported daily production activity to management.

Confidential, Jersey City, NJ

AML Investigator (consultant)

Responsibilities:

Monitored transactions from corresponding banks to ensure compliance with the general AML standards.
Prepared case summaries for review by the bank compliance teams for high-risk accounts and possible write up of Suspicious Activity Reports (SAR).
Analyzed correspondent bank wire and checked transactions generated by system alerts on various new roles generated by the Mantas application.
Researched, documented, and analyzed information on existing clients through public databases as part of the Global Due Diligence Operations team supporting the firm's AML program to make recommendations on the activity generated for review.
Interfaced with compliance to provide guidance, facilitated operations, and met strict daily deadlines in a high-pressure environment.
Prepared reports and queries in Excel to organize pertinent evidence for client review.

Confidential, Jersey City, NJ

AML Investigator

Responsibilities:

Screened and researched data on existing clients on World-Check and government web sites.
Ensured that the required CIP documentation is included with each client profile. This documentation includes audited financial statements, annual reports, and organizational documentation such as LLC agreements, articles of association, operating agreements.
Performed Quality Control (QA) inspections and editing to ensure that work is appropriately completed and filed with regulatory requirements and agency guidelines.
Performed remediation of Political Exposed Persons (PEP) KYC profiles, including criminal activity negative news, illegal affiliations, jurisdictional conflicts of parent entity and all other subsidiaries.
Collaborated with bankers in EMEA and Asian regions to ensure that the KYC profiles conform to most recent standards.
Created Risk Assessment Summaries and client profiles as part of internal due diligence for regulators and senior management.
Performed OFAC related investigations.
Submitted OFAC Block and Rejected Reports in accordance with OFAC requirements.

Confidential, New York, NY

Proprietary trader and developer

Responsibilities:

Researched and development of trading strategies and black boxes.
Maintained and update a daily list of Confidential companies for intraday trading by scanning trough numerous articles and columns in the early morning research.
Utilized technical indicators for quick entry in to the market.

Confidential, New York, NY

Proprietary trader

Responsibilities:

Used sector analysis, pre-market data and early morning research to outline the direction of the market and its intraday volatility.
Planned position entry and exit strategy and manage money more efficiently during intraday volatility.
Retained full power over trading sectors and position size.

Confidential, New York, NY

Proprietary trader

Responsibilities:

Utilized a top down approach of the daily market environment.
Employed analytical skills and market expectation in to a daily routine.
Developed various strategies to minimize risk and maximize profitability in a changing market environment.