Alan Silver
Florham Park,NJ
Summary
Primary role as Administrator and Compliance Team Member.
Diplomatic and professional when communicating.
Efficient time management and the ability to multitask.
File and document management skills.
Particular strength and commitment to project development and task follow up while utilizing a detail orientated approach.
Clear communicator and self-motivated worker with decisive nature necessary to manage independent work.
Interested in taking on new and different roles within the financial services field to leverage my strong organizational, financial and analytical skills in order to create value.
Overview
24
24
years of professional experience
1
1
Certification
Work History
Administration/Compliance Associate
The Jeffrey Matthews Financial Group LLC
Florham Park, NJ
04.2015 - Current
- Oversee initial quality control of Retail and Interdealer Fixed Income trading activity, including examining trades for mark-up and pricing issues.
- Work directly with Compliance Principal to monitor regulatory agency platforms for compliance, error management, and regular review of monthly trade reports.
- Process and upload Fixed Income trades to firm Clearing Agent.
- Daily trading account maintenance and reconciliation.
- Liaise daily with support staff, trading desks, and Financial Associates. Update spreadsheets and databases to track, analyze and report on performance.
- Coach new employees on administrative procedures, company policies and performance standards.
- Confer with manager on departmental policies and projects.
- Interact with vendors and professional services personnel to direct activities and communicate instructions.
Financial Professional
Prudential Insurance Co
Warren, NJ
03.2011 - 04.2015
- Worked with clients to develop financial planning strategies and solutions through evaluation of finances.
Administration/Compliance
The Jeffrey Matthews Financial Group LLC
Florham Park, NJ
05.2002 - 01.2011
- Dedicated trade support for all facets of Fixed Income Trading Desk.
- Trade processing followed by compliance trade tracking.
- Supervision of daily TRACE and MSRB Fixed Income trade oversight.
- Retail and Customer Service
Education
Political Science
The George Washington University
Washington, DCSkills
- Office administration
- Administrative support
- Internal communications
- Documentation and reporting
- Recordkeeping
- Account Reconciliation
Certification
- FINRA CRD 718069 (https://brokercheck.finra.org/individual/summary/718069)
The Jeffrey Matthews Financial Group, LLC CRD 41282)
Clearing through RBC Capital Markets (RBCCM) (RBCD 0352)
39 Years/ 0 Disclosures
Timeline
Administration/Compliance Associate
The Jeffrey Matthews Financial Group LLC
04.2015 - Current
Financial Professional
Prudential Insurance Co
03.2011 - 04.2015
Administration/Compliance
The Jeffrey Matthews Financial Group LLC
05.2002 - 01.2011
Political Science
The George Washington University