Jonathan Beer
Fair Oaks,CA
Summary
Financial Manager with experience in regulatory compliance, personnel/staffing, process improvement, risk assessment/reduction, and systems projects and deployment. I’m seeking an opportunity to positively impact an organization using my accumulated skills and experience
Overview
34
34
years of professional experience
1
1
Certification
Work History
OSJ Branch Manager
BAR Financial, A Region of Cetera Financial Group
07.2018 - 04.2025
- Review submitted business, emails and trades to ensure compliance with firm and regulatory policies.
- Oversaw daily operations for streamlined efficiency, ensuring timely execution of tasks and optimal resource allocation.
- Improved customer satisfaction ratings by enhancing service quality and resolving client issues promptly.
- Strengthened relationships with key Advisors, securing long-term partnerships and driving revenue growth.
- Evaluated employee performance regularly through appraisals and feedback sessions to facilitate continuous development of skills and knowledge base within the team.
Manager, Order Management
E*Trade Securities
01.1998 - 01.2015
- Deployed adjustments to principal review parameters that resulted in 40% reduction in reviewed orders while maintaining risk standards
- Multi department Bi-weekly AML/Fraud review committee participation as trading SME effectively identified and controlled questionable account activity
- Trade monitoring for out of ordinary or fraudulent activity based on KYC reduced trading related multiple account attacks by 38%
- Instituted quarterly disaster recovery testing to ensure back-up team ability to access and interact with critical Order Room systems to maintain continuity of operations in event of emergency
- Evaluated, reviewed and documented evidence of compliance with FINRA, SEC, and internal audit standards
- Maintained high departmental output and below 1% error rate with declining headcount
- Screened and hired new staff, performed semi annual goal setting coaching sessions, annual reviews, instituted individual performance improvement plans as needed
Broker/Investment Advisor
U.S. Bancorp Securities
01.1996 - 01.1998
Fund Information Assistant Manager
Franklin-Templeton Distributors
01.1991 - 01.1996
- Hired, trained and motivated front line staff. Performed annual reviews and monthly recorded call assessment/coaching sessions
- Series 7 Training Team. Provided formal classroom training, test taking tips, and one on one assistance in passing the exam
- Trained staff regarding new products, systems enhancements, and updates to policies and procedures
- Handled escalated calls when needed
Education
Bachelor's Degree - History
San Jose State University
Skills
- Team building and management
- Risk mitigation strategies
- Analytical assessment skills
- Experienced in regulatory compliance with FINRA licenses 7, 24, 55, 63
Certification
FINRA Series 7, 24, 55, 63
Timeline
OSJ Branch Manager
BAR Financial, A Region of Cetera Financial Group
07.2018 - 04.2025
Manager, Order Management
E*Trade Securities
01.1998 - 01.2015
Broker/Investment Advisor
U.S. Bancorp Securities
01.1996 - 01.1998
Fund Information Assistant Manager
Franklin-Templeton Distributors
01.1991 - 01.1996
Bachelor's Degree - History
San Jose State University
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