Alan Abramzon, MBA
New York,USA
Summary
A detail-oriented Securities and Derivatives Associate Analyst with expertise in managing complex transactions, trade operations, and risk analysis. Skilled in ensuring accuracy, mitigating risks, and supporting strategic decision-making in fast-paced financial environments.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Securities & Derivatives Intermediate Associate Analyst
Citigroup
New York, NY
03.2023 - Current
- Assist in the daily booking of a wide variety of trades to ensure fast processing and immediate delivery to clients
- Train team members on all booking policies and procedures to increase trade processing speed and efficiency
- Collaborate with the sales, trading and sales middle office department to ensure smooth execution and settlement of trades
- Answer all client and sales questions/inquiries regarding any breaks or issues with booked trades and help resolve those breaks
- Use Bloomberg and Excel to gather daily bond prices and other relevant information for consistent daily and monthly specialized trades
- Ensure that all booked trades are economically correct with proper details to allow them to pass risk management checks of the trading team
- Utilize various platforms such as TPS and Markitwire to handle the booking of the trades, searching of current and prior trades and tracking the completion process of a booked trade until it is received by the client
Client Services Assistant
InterAudi Bank
New York, NY
08.2021 - 03.2023
- Act as a liaison between the relationship manager, client and the middle office functions
- Research and respond to inquiries for our high-net-worth clients; escalate issues as appropriate
- Assist with completion of transactions such as wire transfers, reference letters, and check requests
- Communicate with operations and payment departments regarding transaction processing
- Assist with client meetings along with the relationship manager
- Draft written emails, letters or electronic communications to clients on behalf of the relationship manager
- Respond to client inquiries for information about products and services; notify clients about new products or services
- Work on the opening of both personal and corporate accounts and review legal documents for all corporate account openings
- Assist in approval and processing of various payments submitted by clients on the online banking app
- Perform KYC protocols and procedures for both current and new clients
- Answer compliance questions and other related compliance inquiries
- Ensure that all regulatory rules are being followed
Customer Operations and Risk Management Representative
888 Holdings
Secaucus, NJ
02.2021 - 08.2021
- Resolve all Customer queries within a specified time frame while maintaining a high standard of quality and quantity of responses on all Customer Operation related topics
- Handle general account queries, payment info and checks, transactional needs/inquiries and payment issues, Anti-Money laundering and Under-age prevention checks with external agencies
- Process all documents received in accordance with the policies and procedures set out by the business and the appropriate regulatory agencies
- Analyze accounts brought to the relevant Fraud Queues through on-going Fraud Procedures and perform fraud and risk management checks (e.g
- On deposits, cash outs, game play, chargebacks, AML, Underage, etc.)
- Work according to established standards and liaise with Management and Fraud Specialists on all Risk related issues
- Process customer deposits and withdrawals through the Back Office accurately as requested by the members
- Conduct investigations and communicate efficiently with the relevant departments
Sales Associate (Internship)
Aflac
Staten Island, New York
06.2019 - 08.2019
- Provided sales and marketing support for the sales organization and the first line of operations department
- Explained features of policies, and both advantages and disadvantages of the policies
- Evaluated leads obtained through direct referrals, lead databases and cold calling
- Met with prospective customers and business owners
- Shadowed seasoned insurance agents on dozens of sales calls to business owners
JR. Compliance Analyst (Internship)
The Rohatyn Group
Manhattan, New York
06.2018 - 08.2018
- Supported the compliance analyst and compliance director in daily compliance activities related to the Adviser’s Act program
- Worked diligently and with a sense of urgency to package the necessary documents and reply to mandatory SEC audits and exams
- Executed the Non-Disclosure Agreement (NDA) Controls and Compliance by crossreferencing against the restricted list
- Carried out broker checks to ensure adherence to NFA bylaws 301 and 1101
- Obtained and reviewed quarterly statements from employees in order for employees to comply with their reporting requirements
- Coordinated the execution of legal documents such as secretary certificates and exit checklists
- Utilized My Compliance Office to administer the firm’s code of ethics program
Education
MBA - Finance / Strategic Management
St. John’s University
New York, NY05.2021
BS - Finance
St. John’s University
Staten Island, NY05.2020
Skills
- Microsoft Excel
- Microsoft Word
- Microsoft PowerPoint
- Microsoft Outlook
- Communications
- Customer Service
- Client Services
- Google Docs
- GeoComply
- Keesing
- Salesforce
- AS400
- On Base
- Bloomberg Terminal
- Risk Management
- Trade Booking
Activities
- Staten Island University Hospital, Staten Island, NY
- March of Dimes, Staten Island, NY
Certification
- NFA Swaps Proficiency Certification
Timeline
Securities & Derivatives Intermediate Associate Analyst
Citigroup
03.2023 - Current
Client Services Assistant
InterAudi Bank
08.2021 - 03.2023
Customer Operations and Risk Management Representative
888 Holdings
02.2021 - 08.2021
Sales Associate (Internship)
Aflac
06.2019 - 08.2019
JR. Compliance Analyst (Internship)
The Rohatyn Group
06.2018 - 08.2018
- NFA Swaps Proficiency Certification
MBA - Finance / Strategic Management
St. John’s University
BS - Finance
St. John’s University
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