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yyyyyy x. yyyyyy                                                    0000 xxxxxx xxxx , xxxx , xxxxx 00000

(xxx-xxx-xxxx  

abc@xyz.com

objective

driven financial services leader eager to contribute dynamic sales, business development, relationship building, communications and customer relations skills in a challenging assignment.

 

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career profile

ø  m.s., finance.

ø  b.s., finance.

ø  series 7, 63, 24, 27 and 52/53 licenses.

ø  long-term, successful career in the financial services sector.

ø  current assignment as managing director.

ø  award winner for outstanding performance.

ø  record of progression to assignments of increasing authority and responsibility.

ø  accomplished leader, supervisor and manager.

ø  background in general management and sales/marketing management.

ø  expertise in all facets of effective marketing plan development and implementation.

ø  demonstrated capacity in client relations and account management.

ø  consistently meet/exceed challenging business objectives.

ø  comprehensive understanding of business and operations management.

ø  proven accomplishments in building market share and recognition.

ø  notable facilitator and communicator with outstanding capacity in presentation to c-level individuals.

ø  well-organized multi-tasker with strong detail orientation.

ø  proficient in advanced business software applications.

 

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professional experience

pershing llc, jersey city, nj                                                                                                    2005 - present

managing director/group leader

       recruited to direct global fixed income institutional services.

       successfully restructured refco (see below) business into pershing.

       developed and captured $8mm in new business.

       oversaw and drove new systems effort for inclusion into gscc and mbscc industry utilities.

       assumed responsibility as group leader for new business development in mexico resulting in pershing becoming leader and first principal clearing firm in mexico.

       above efforts yielded revenue projections exceeding $3mm.

 

 

refco securities, llc, jersey city, nj                                                                                           2003 - 2005

executive vice president & managing director

       orchestrated effective integration of new division.

       planned and executed marketing and administrative strategies for division.

       focused on institutional clientele as basis for new business development.

 

 

- continued -


yyyyyy x. yyyyyy

page two

 

 

 

wexford clearing services, llc/wachovia securities, inc., location                                               1999 - 2003

executive vice president & managing director

       retained to spearhead integration of new division from daiwa into wexford/prudential/wachovia
operating division.

       completed integration with all objectives achieved.

       expanded revenue base 40% to $16.8mm.

       initiated acquisition by refco of correspondent sales division with staff of 27 associates.

       negotiated spin-off of systems software/hardware during wexford acquisition of business from daiwa.

 

 

daiwa securities america, inc., location                                                                                        1991 - 1999

executive vice president & managing director

       brought into organization to manage daiwa global institutional services division.

       orchestrated launch of successful correspondent clearing operations division.

       provided clearing for 27 correspondent firms with gross revenues of $12mm.

       key player in firm becoming largest clearer of brady bonds and sovereign debt globally.

 

 

fidelity investments, location                                                                                                       1989 - 1990

president/ceo, national financial services corporation

       designated to oversee $40mm budget and staff of 432.

       facilitated execution, clearance and settlement activity.

       delivered trade support, for the operating companies group, fidelity brokerage services inc., fidelity capital markets and national financial institutional services, inc.

 

 

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earlier background

prior to 1989, served as managing director & director of operations, l.f. rothschild & company, inc.; vice president & group manager, merrill lynch capital markets; vp operations division/manager, corporate securities processing, goldman sachs & company; and direct clearance correspondent, new york stock exchange.  highlights of these assignments included directing staff of 240 for rothschild, managing a 300-individual $5bb operation for merrill lynch, and turning-around a negative securities operation from a $200mm daily loss to a $60mm positive daily ratio in 12 months.

 

                                                                                                                                                                    

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education

lasalle university

master of science, finance, executive ms program

bachelor of science, finance

 

new york institute of finance

aos equivalent in brokerage accounting


yyyyyy x. yyyyyy                                                    0000 xxxxxx xxxx , xxxx , xxxxx 00000

(xxx-xxx-xxxx  

abc@xyz.com

---

 

 

 

 

cover letter text

 

date

 

 

 

hiring agent name

title

company name

address

city, state   zip code

 

dear                   :

 

i am currently seeking a challenging career opportunity in a financial services management capacity and am submitting my resume for your review.  in advance, i thank you for your time and consideration.

 

as demonstrated in the accompanying resume, my professional qualifications include both m.s. and b.s. in finance, series 7, 63 and other licenses, and long-term successful background as an executive officer with several leading financial institutions.  to complement this i possess demonstrated expertise in business development, organizational restructuring, group leadership, marketing initiatives and account management, sales, promotion, as well as strong analytical, problem-solving and managerial capabilities.  as an employee, you will find me to be an enthusiastic and disciplined team player, committed to supporting you in achieving your objectives through superior performance. 

 

i am confident that i could be a valuable asset to your firm, and look forward to interviewing with you in the near future to further discuss my areas of experience and expertise that would be a contribution to your organization.

 

 

 

 

sincerely,

 

 

 

yyyyyy x. yyyyyy

 

 

 

 

 

attachment

 

 

 

 

 

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