NIKHAD TEYYUBZADE
Charles Schwab
San Diego,California
1
Certification
7
years of professional experience
Financial services and brokerage operations professional with experience in trade review, operational risk assessment, regulatory compliance, brokerage support, and institutional client relationship management. Skilled in reviewing trading activity, identifying potential risks, resolving complex operational issues, and supporting accurate and timely transaction processing. Demonstrated ability to apply sound judgment, prioritize competing responsibilities, improve workflows, and collaborate with clients and internal stakeholders. Committed to operational excellence, risk mitigation, regulatory adherence, and delivering reliable service in fast-paced financial environments.
Work History
Manager, Trade Analyst, Risk
1 Year 10 Months- Conducted risk, fraud, and credit reviews of retail and institutional client orders to support compliance with regulatory requirements and internal trading policies.
- Evaluated client orders and trading activity to identify potential risks and help protect clients and the firm from excessive exposure.
- Supported timely, accurate, and efficient order routing to appropriate execution points.
- Applied analytical judgment to review trading activity, assess risk considerations, and support sound operational decisions.
- Balanced processing efficiency with risk controls to help maintain reliable brokerage operations and safeguard client interests.
Manager, Institutional Trade Review
1 Year 5 Months- Performed risk, fraud, and credit reviews of retail and institutional client orders in accordance with applicable regulatory requirements and company trading policies.
- Assessed order activity for potential risk concerns and supported appropriate risk-management practices.
- Helped facilitate timely and accurate order processing while maintaining a focus on operational efficiency and policy adherence.
- Applied critical thinking and independent judgment when reviewing orders and evaluating potential risk exposure.
- Supported the integrity of trading operations by balancing client service needs with established risk controls.
Senior Relationship Manager
4 Months- Supported Registered Investment Advisors (RIAs) through inbound and outbound communications, addressing brokerage operations, service requests, and product-related questions.
- Analyzed complex client situations and applied knowledge of company products, services, and procedures to resolve issues.
- Coordinated access to additional resources when needed to support effective issue resolution.
- Identified operational inefficiencies and helped establish standardized workflows to improve consistency and efficiency.
- Maintained a client-focused approach while balancing service priorities and operational requirements.
Relationship Manager
2 Years 4 Months- Delivered operational guidance and support to financial advisors and clients, addressing service requests and troubleshooting complex issues.
- Educated advisors and clients on brokerage platforms, operational procedures, company services, and established processes.
- Investigated client concerns and worked toward timely, practical resolutions.
- Shared relevant operational knowledge and best practices to support effective use of company platforms and services.
- Built strong professional relationships through clear communication, active listening, and consistent client support.
Financial Representative
11 Months- Educated clients on financial products, investment opportunities, and available services based on individual needs and circumstances.
- Discussed financial solutions and provided recommendations aligned with clients' stated objectives.
- Maintained professional client relationships through responsive communication and dependable service.
- Applied attention to detail and sound judgment when addressing client questions and financial service needs.
Education
Bachelor of Science - Business Administration - Financial Services
Skills
Brokerage operations
Order processing
Risk assessment
Fraud review
Policy compliance
Trade resolution
Process improvement
Operational Problem-Solving
Client support
Transaction accuracy
Problem resolution
Quality control
Workload management
Cross-functional communication
Analytical thinking
Certification
- Series 7 Exam (General Securities Representative Qualification Examination) 2018-08-05
- Series 66 Exam (NASAA Uniform Combined State Law Examination) 2018-07-24
Timeline
Manager, Trade Analyst, Risk
Charles Schwab
09.2023 - 07.2025Read More
Manager, Institutional Trade Review
TD Ameritrade Institutional
04.2022 - 09.2023Read More
Senior Relationship Manager
TD Ameritrade Institutional
12.2021 - 04.2022Read More
Relationship Manager
TD Ameritrade Institutional
08.2019 - 12.2021Read More
Financial Representative
Thrivent Financial
06.2018 - 05.2019Read More
San Diego State University
Bachelor of Science from Business Administration - Financial Services
Read More