E. Fraser Benzal
Summary
Enthusiastic financial services professional highly effective at working with clients of all levels and backgrounds. Friendly and personable with adaptable approach. Expert knowledge of regulatory and supervisory requirements and corporate policies and procedures.
Previous certifications include: SEC Series 7 and Series 63 licenses. Willing to re-certify if appropriate.
Overview
12
12
years of professional experience
Work History
Financial Consultant
SMITH BARNEY (now Morgan Stanley)
Boston , MA
1996.04 - 1998.10
- Completed design and production of detailed financial income reports for corporate clients providing necessary details for calculating interest earned on short-term investment products necessary for client financial reporting systems.
- Attended Financial Consultant training in order to assume new duties as junior partner in a Corporate Services team. Upon completion of training, was promoted to "broker" status
- Sold short-term investment products such as Auction Rate Securities, commercial paper and short-term Treasury products. This involved frequent contact with traders on applicable trading desks, and often required quick action
Registered Sales Assistant
SMITH BARNEY (now Morgan Stanley)
Boston, Massachusetts
1994.04 - 1996.04
- Supported a team of financial consultants in all aspects of the business. Contributed to team objectives in fast-paced environment.
- Obtained Series 7 and Series 63 securities licenses
- Performed wide range of administrative tasks to facilitate effective office operations. Coordinated client, office and regulatory paperwork. Created detailed monthly interest/income statements for our corporate investment accounts showing the breakdown on monies earned on short- term investment products such as Auction Rate Securities, Commercial Paper, and short-term Treasury products.
Systems and Procedures Analyst
BANK LEUMI TRUST COMPANY
New York, NY
1991.07 - 1993.06
- Produced detailed manuals which ensured all work was complete and in compliance
- Updated existing procedures on a regular basis as the bank operations group evolved and to account for new regulations (State/Federal) as issued
- Analyzed procedures (new and existing) to evaluate where efficiency could be improved and streamlined
Internal Auditor
BANK LEUMI TRUST COMPANY
New York, NY
1988.11 - 1991.07
- Conducted surprise, in-person inspections of all retail bank branches to ensure compliance with all aspects of legally mandated banking rules
- Performed internal audits of financial and departmental operations, developing risk assessments and conducting process walkthroughs for compliance with documented processes.
- Wrote detailed reports, complete with supporting evidence, to show areas of non-compliance including specific recommendations to rectify deficiencies
Internal Auditor
U.S. TRUST COMPANY
Boston,MA
1987.09 - 1988.11
- Responsible for ensuring bank compliance with all internal regulations. Wrote detailed reports upon completion of on-site inspections and financial audit, including areas of deficiency
- Duties included: performing detailed audits of operations departments and retail branches to establish that standard procedures were followed
- Supported Chief Auditor in cross functional team meetings aimed at addressing new areas of risk and establishing standards for the operating manuals
Sales Assistant
SHEARSON LEHMAN BROTHERS
Newton,MA
1986.06 - 1987.09
- Primary support staff for top producing broker
- Duties included: client support, processing trades, resolving trade and clients issues by liaising with operations staff (local branch and headquarters)
Education
B.S - Business Administration/Finance
Florida Institute of Technology
Melbourne, FL06.1986
High School Diploma -
Dana Hall School
Wellesley, MA05.1981
Skills
- Business Processes and Procedures
- Functional Improvements
- Technical Writing
- Risk Identification
- Client Support
- Relationship building and management
Timeline
Financial Consultant
SMITH BARNEY (now Morgan Stanley)
1996.04 - 1998.10
Registered Sales Assistant
SMITH BARNEY (now Morgan Stanley)
1994.04 - 1996.04
Systems and Procedures Analyst
BANK LEUMI TRUST COMPANY
1991.07 - 1993.06
Internal Auditor
BANK LEUMI TRUST COMPANY
1988.11 - 1991.07
Internal Auditor
U.S. TRUST COMPANY
1987.09 - 1988.11
Sales Assistant
SHEARSON LEHMAN BROTHERS
1986.06 - 1987.09
B.S - Business Administration/Finance
Florida Institute of Technology
High School Diploma -
Dana Hall School
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