Kevin Cassidy
Manager Trade Risk & Resolution
Westfield,IN
Summary
Insightful Manager with experience directing and improving operations through effective employee motivational strategies and strong policy enforcement. Proficient in best practices, market trends and regulatory requirements of industry operations. Talented leader with analytical approach to business planning and day-to-day problem-solving.
Overview
28
28
years of professional experience
10
10
Certifications
Work History
Manager Trade Risk and Resolution
Charles Schwab & Co
01.2016 - 10.2026
- Accomplished multiple tasks within established timeframes.
- Cross-trained existing employees to maximize team agility and performance.
- Monitored trade and margin risk for both the firm and clientele across equity, option, and futures marketplaces
- Worked with market making partners to ensure quality execution of trades.
- Developed firm policy for estate cases involving positions in the futures marketplace.
- Prepared for and assisted with research and preparation for FINRA and internal audits.
- Acted as a Senior Registered Option Principal delegate and a Futures Principal delegate.
Office Manager
Cassidy Eye Care
02.2010 - 10.2015
- Oversaw office inventory activities by ordering and requisitions and stocking and shipment receiving.
- Provided backup to front desk to step in to assist with various tasks whenever employee was absent or at lunch.
- Developed internal requirements and standards to minimize regulatory risks and liability across programs.
- Hired, managed, developed and trained staff, established and monitored goals, conducted performance reviews and administered salaries for staff.
- Completed bi-weekly payroll for employees.
- Conducted ongoing reviews of program financial systems to assess cost control measures.
- Oversaw appointment scheduling and itinerary coordination for both clients and personnel.
Small Business Retirement Specialist
Charles Schwab & Co
11.1998 - 10.2004
- Updated clients on changes in tax laws and other regulations affecting investments.
- Helped clients make informed decisions about financial future.
- Advised clients on investments, retirement and estate planning.
- Developed strong knowledge and understanding of multiple retirement plan options for small business owners and assisted in determining appropriate plan for their business needs.
Education
Associate of Science - Computer Information Systems
Indiana Wesleyan University
Marion, IN05-2016
Skills
- Strategic negotiation skills
- Risk management
- Client relations management
- Prioritized task scheduling
- Comprehensive documentation skills
- Collaborative strategic planning
- Analytical decision-making
- Financial records oversight
- Regulatory compliance design
- Risk analysis expertise
- Mentoring experience
Certification
- FINRA Licensed - 3, 4, 7, SIE, 9, 10, 34, 57TO, 63 & 66
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
swipe to browse
Timeline
Manager Trade Risk and Resolution
Charles Schwab & Co
01.2016 - 10.2026
Office Manager
Cassidy Eye Care
02.2010 - 10.2015
Small Business Retirement Specialist
Charles Schwab & Co
11.1998 - 10.2004
Associate of Science - Computer Information Systems
Indiana Wesleyan University