Broker Assistant

- Transaction Coordination & Processing

- Client Relationship Management (CRM)

- Securities & Compliance Regulations

- Market & Financial Data Analysis

- Document Preparation & Verification

- Financial Software Proficiency (e.g., Eze Software, Salesforce, Bloomberg Terminal)

- Risk Management & Regulatory Reporting

- Strong Communication & Interpersonal Skills

- Time Management & Multitasking

- Adaptability in Fast-Paced Environments

Broker Assistant | Alpha Investment Group, New York, NY

June 2022 – Present

- Managed end-to-end processing of securities transactions, reducing error rates by 15% through meticulous verification.

- Maintained detailed client profiles within Salesforce, improving follow-up efficiency and client onboarding turnaround by 20%.

- Coordinated with clearinghouses and custodians to ensure timely settlement on over 200 trades weekly.

- Assisted brokers in preparing compliance documentation for FINRA and SEC audits, achieving zero discrepancies during review periods.

- Supported the deployment of a new CRM system, training team members and enhancing data accuracy.

*Client Support Associate | BrightCapital Brokerage, Jersey City, NJ*

August 2019 – May 2022

- Provided expert support for retail and institutional clients, resolving inquiries related to account status, trade execution, and compliance.

- Drafted and reviewed trade confirmations, account statements, and regulatory filings to ensure accuracy and timeliness.

- Conducted market research and presented summaries to senior brokers, aiding in client portfolio adjustments.

- Implemented new document management protocols, reducing retrieval times and preventing data loss.

*Junior Transaction Coordinator | Spectrum Securities, Newark, NJ*

July 2018 – July 2019

- Supported senior brokers with transactional documentation, including new account setups and fund transfers.

- Managed daily reconciliation reports, facilitating prompt resolution of discrepancies.

- Maintained adherence to AML/KYC protocols, onboarding over 50 new clients with compliant documentation.

**Bachelor of Science in Business Administration**

New York University, New York, NY

*Graduated 2018*

Specialization: Finance & Investments

- Financial Industry Regulatory Authority (FINRA) Series 7 & 63 (2024)

- Certified Financial Services Professional (CFSP) (2023)

- Compliance & Anti-Money Laundering Certification (2022)

Digital Compliance Tracking System

Led the customization and implementation of a digital compliance tracking module within Salesforce, streamlining audit readiness and reducing manual tracking errors by 25%.

Trading Workflow Optimization

Collaborated with IT to automate trade confirmation procedures, resulting in a 30% reduction in processing time and improved broker-client communication.

- CRM Platforms: Salesforce, Redtail

- Trading & Settlement Systems: Eze Software, Bloomberg Terminal

- Regulatory & Compliance Tools: Compliance.ai, Risk.net

- Office Suite: Microsoft Office 365, Google Workspace

- English (Native)

- Spanish (Conversational)