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yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000

phone: (xxx-xxx-xxxx

~ career target ~


dedicated and sharp senior executive eager to contribute extensive talents in trading, operations management, and compliance toward supporting a dynamic firm in optimizing bottom-line performance.


~ value offered ~


         significant experience as a market maker in all us, international, bulletin board, and pink sheet equities, and specialization in bankruptcy stocks, warrants, bonds, and executing block trades in numerous asset classes.

         adept at leveraging quantitative strategies to optimize results, maintaining strong relationships with key clientele, and conducting high frequency trading.

         focused problem solver with track record of executing innovative and strategic solutions to meet business goals and needs; excel in planning, directing and supervising mutual fund investment activities.

         reputation for longevity, integrity, professionalism, solid judgment, and decision-making expertise.


~ professional experience ~


knight capital group, inc., jersey city, new jersey, 1999 to 2008


         functioned as head trader and manager of firm administering 2,500+ equities valued at $25m.

         supervised, motivated, mentored and directed team of six traders in expeditiously pricing and executing retail and institutional orders.

         handpicked to serve alongside ceo and managing directors on company s advisory committee, to discuss and implement strategies for optimizing trading efficiency, company exposure and profitability.

         seamlessly partnered with compliance office and sars to identify and investigate suspicious trading activity, money laundering issues, and trades outside of market price.

         credited with saving broker-dealer clients approximately $30m since 2005 by facilitating prosecution of 15 individuals suspected of securities fraud.

         championed production of $7m in gross profits in 2005 and $9m in 2007.

         captured highest gross profits throughout firm in 2006 with $15m.


bull & bear group, inc., new york, new york, 1997 to 1999

compliance manager

  • proficiently spearheaded compliance efforts with an emphasis in employee registrations and blue sky laws for pool of mutual funds.
  • played an active role in filing 10-ks and 10-qs, and held accountability for resolving customer complaints, regulatory fines, and violations of firm s ethics code.
  • applied dynamic leadership talents toward motivating, managing and supervising 15 customer service professionals.

         meticulously reviewed and supervised 10,000+ customer accounts pertaining to mutual fund investments.


~ education & licensure ~


b.a. degree in economics, tufts university, medford, massachusetts, graduated 1997

nasd license c series 7, 55, 24, and 63

yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000

phone: (xxx-xxx-xxxx












hiring agent name


company name


city/state/zip code




i am currently seeking a challenging career opportunity in a <insert job title/position> capacity and am submitting my resume for your review.  in advance, thank you for your time and consideration.


as indicated in the accompanying resume, i bring to you a solid background in the trading and investment arena, outstanding expertise in directing top-performing personnel, and an exemplary blend of talents in maximizing profitability and overseeing accounts belonging to high-net-worth clientele. to complement these qualifications, i offer an unwavering commitment to ensuring regulatory compliance which is paramount as a <insert job title/position>.


as a proactive contributor to your organization, you will find me to be a highly motivated professional and stellar leader committed to supporting you in achieving your objectives through superior self-initiative and unparalleled prioritization skills. i am confident that i could be a valuable asset to <insert name of firm>, and will call you later in the week to see if we can schedule a time to meet.






yyyyyy x. yyyyyy

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