Jorge De Lima

Weston,FL

Summary

Exceptional track record of knowledge of the securities industry, compliance, investment analysis, solutions, and services. Strong organizational skills with impeccable work ethic and proven sense of responsibility.

Overview

years of professional experience

Work History

Deputy CCO, Head of Market Surveillance

Safra National Bank Of New York / Safra Securities

12.2019 - Current

Collaborated with CCO in the implementation and management of FINRA's Regulation Best Interest in all areas of compliance, including Market Surveillance and policies and procedures;
Conducts daily and monthly reviews to comply with U.S. rules and regulations (e.g., Market Access Rule, Reg SHO, Reg NMS, FINRA Rule 5270, FINRA Trade Reporting Rules, TRACE, MSRB, OTC, Blue Sheets, and OATS)
Regularly review and analyze the Firm's trade blotters and order management systems to ensure compliance with regulations.
Ensures adherence and retention to applicable FINRA books and records requirements.

Arbitrator - Independent Contractor

FINRA

11.2023 - Current

Serving on FINRA’s arbitration roster.

Registered Client Associate

Merrill Lynch Wealth Management

02.2018 - 12.2019

Managed new account onboarding process and processed all client requests including trades, asset allocation changes, funds transfers, and account transfers;

Licensed Relationship Banker

J.P. Morgan Chase

01.2016 - 02.2018

Opened and serviced numerous account types including retail, business, trusts, and brokerage

Education

Associate of Business Administration - undefined

Miami Dade College

Miami, FL

12.2014

Skills

Licenses: Series 7, Series 24, Series 4, Series 63, Series 65, Series 6;
High exposure to various types of securities (domestic/international);
Language: English, Portuguese, and Spanish;

Excellent knowledge of industry regulations and AML rules/requirements;
Ability to work well under pressure and with wide range of personalities;
Strong verbal and written communication skills

Timeline