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BRIAN JENKINS 201-407-3416 E-mail: [email protected] SUMMARY OF QUALIFICATIONS Experienced securities brokerage operations/compliance professional with 15 years of quantifiable achievements Demonstrated exceptional relationship-building skills coupled with sound technical execution and leadership ability that has consistently created a culture of organizational excellence. EXPERIENCE: April 2010-Present-Morgan Stanley -New York, NY Vice President-Complex Service Manager Accountable for maintaining a control environment through adherence to all the applicable business ethics, best practices and policies of Morgan Stanley and other governmental regulatory bodies. On a management team responsible for $100 million plus in commission revenue with over 150 Sales persons and 60 plus support staff. Directly responsible and seated in a branch with $42 million in commission revenue with 50+ sales persons and 17 support staff as direct reports. Previously part of the management team responsible to supervise one of the firm’s largest international client bases, with a concentration in Latin America which also had similar size and revenue. Manage the Client Service Associates, branch operations staff and coordinate the recruitment of same. Hiring of all permanent, temporary and part-time support employees as well as their training and orientation. Assists in the review and on boarding of new sales persons. Coordinate operational and client service support for newly recruited Financial Advisors Act as liaison between various departments within the firm as necessary with the day-to-day resolution of client operational inquiries and complaints. Conduct performance reviews, evaluate annual salary increases and identify developmental needs for all non-sales Staff. Conduct periodic meetings to communicate policies and procedures; share best practices and promote teamwork within the complex. Identify and coordinate customer service and professional development training opportunities, which are consistent with the Firm’s mission. Oversee management of payroll system, employee timesheets for hourly staff. Ensures that client service activities and approvals are handled appropriately Ensures branch business execution is in compliance with government and firm policies and procedures. Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment. Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated. ACHIEVEMENTS Successful introduction and implementation of measures to prevent fraud/abuse of the elderly, and wire transfer fraud. Passed three internal Audits with the highest ranking. The most recent the complex received a “Commendable” 1 of only 8 out of 86 to receive this mark. Title promotion from Assistant Vice President to Vice President 1

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BRIAN JENKINS201-407-3416 • E-mail: [email protected]

SUMMARY OF QUALIFICATIONSExperienced securities brokerage operations/compliance professional with 15 years of quantifiable achievements Demonstrated exceptional relationship-building skills coupled with sound technical execution and leadership ability that has consistently created a culture of organizational excellence.

EXPERIENCE:April 2010-Present-Morgan Stanley -New York, NYVice President-Complex Service ManagerAccountable for maintaining a control environment through adherence to all the applicable business ethics, best practices and policies of Morgan Stanley and other governmental regulatory bodies. On a management team responsible for $100 million plus in commission revenue with over 150 Sales persons and 60 plus support staff. Directly responsible and seated in a branch with $42 million in commission revenue with 50+ sales persons and 17 support staff as direct reports. Previously part of the management team responsible to supervise one of the firm’s largest international client bases, with a concentration in Latin America which also had similar size and revenue.

Manage the Client Service Associates, branch operations staff and coordinate the recruitment of same. Hiring of all permanent, temporary and part-time support employees as well as their training and orientation. Assists in the review and on boarding of new sales persons. Coordinate operational and client service support for newly recruited Financial Advisors Act as liaison between various departments within the firm as necessary with the day-to-day resolution of client

operational inquiries and complaints. Conduct performance reviews, evaluate annual salary increases and identify developmental needs for all non-sales

Staff. Conduct periodic meetings to communicate policies and procedures; share best practices and promote teamwork

within the complex. Identify and coordinate customer service and professional development training opportunities, which are consistent

with the Firm’s mission. Oversee management of payroll system, employee timesheets for hourly staff. Ensures that client service activities and approvals are handled appropriately Ensures branch business execution is in compliance with government and firm policies and procedures. Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant

environment. Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately

responded to and remediated.

ACHIEVEMENTS Successful introduction and implementation of measures to prevent fraud/abuse of the elderly, and wire transfer

fraud. Passed three internal Audits with the highest ranking. The most recent the complex received a “Commendable” 1 of

only 8 out of 86 to receive this mark. Title promotion from Assistant Vice President to Vice President

June 2008-November 2009-Citibank Private Bank Securities Trading Desk-New York, NYVice President, Operations ManagerDuties performed on the securities brokerage execution desk specifically dedicated to clients of the Citibank Private Bank for Domestic and Latin American clients. As the only National Futures Association Series 3 registered supervisor solely supervised every aspect of the desks futures/commodities trading business, from account opening and documentation to trading, suitability and credit items this business generated approximately $2 million gross commission dollars per year.

Responsible for day to day branch operations such as trade execution blotter review, settlement, trade errors and corrections items, account credit and margin exposure review, asset transfers, account openings.

Monitored compliance functions such as anti money laundering, patriot act and know your customer items, client complaints and responses to firm and regulatory body inquires.

Supervised daily execution of sizeable equity and index options trades, Multi-million dollar fixed income and equities trades of both domestic and international securities.

Experience Continued

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ACHIEVEMENTS: Successfully passed 2 internal audits. Responsible for streamlining the new account opening process from 5+ days to 48 hours. Successfully crossed trained operations staff of 5 to operate with 2 staffers if necessary.

May 1991-June 2008-Smith Barney, New York, New YorkAssistant Vice President, Senior Assistant Operations Manager- Assistant Operations Manager

Managed day-to-day execution of branch operations in conjunction with the Operations Manager. Supervised and trained an operations staff of nine. Implemented supervised and monitored branch compliance with securities regulatory agencies and firm rules and

regulations. Trained Sales Assistants and Financial Consultants in various new firm technologies, and compliance procedures.

ACHIEVEMENTS:Promoted from Assistant Operations Manager to Senior Assistant Operations Manager with Officer Title.

January 1996-May 1999Smith Barney, New York, New YorkSales Assistant

Performed client service functions, such as providing quotes, account information, research information, trade execution, asset transfers as well as all administrative functions related to securities sales.

Sales Assistant to 6 Sales Persons/Financial Consultants Position progressed to working exclusively with two Financial Consultants specializing in individual client equity and

municipal bond portfolios with a team commission producing over $600,000. Transitioned to a team of 2 Financial Consultants who specialized in wealth management and managed accounts with

a team commission producing over $2,500,000.

LICENSES:FINRA Series 7,8,63,66National Futures Association Series 3 EDUCATION:University of Delaware 1981-1983

AFFILIATIONS:Assistant Coach-Varsity Lacrosse -East Side High School, Newark, NJ

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