Tara Cavorti
Pelham,NY
Summary
Experienced and reliable individual looking to re-enter the workforce after leaving the industry to raise a family.
Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Associate Director
RBC Capital Markets
01.2007 - 09.2013
- Self motivated manager of a high performance service desk within the capital markets division of a leading global bank
- Successfully developed cross enterprise alliances and exemplified an unwavering adherence in partnering industry rules and regulations with core operations
- Directly reported to the Director of Operations
- Oversaw operations and provided corrective feedback to achieve daily and long-term goals.
- Led exemplary client support for a client base consisting of over $800MM in assets under management
- Reviewed and approved outgoing client fund requests
- Reviewed and approved new account applications
- Collaborated with a team to consolidate back office CRM databases
- Reconciled and supported the firms prime brokerage reporting suite including capital gain/loss reports and tax lot reports
- Acted as liaison with transfer agents, general counsel, and shareholders to obtain legal opinion letters under Rule 144, Regulation S, prospectus stock, etc
- Participated in internal and external regulatory firm audits
- Established internal procedures for escheating abandoned client assets
Vice President of New Accounts
Carlin Financial Group
01.2001 - 01.2007
- Managed the day to day operations of the firms client service and margin teams
- Collaborated with senior management to develop strategic initiatives and long term goals.
- Responsible for opening and servicing prime brokerage and DVP relationships
- Established filing and record keeping procedures
Registrations Specialist
Carlin Financial Group
01.1999 - 01.2001
- Processed all U4 registrations with the PHLX for the firms proprietary traders
- Fingerprinted applicants
- Filed Form U-10 requests with the PHLX
- Opened and serviced all proprietary trading accounts
- Followed all company policies and procedures to deliver quality work.
Skills
- Client Relations
- Customer Service
- Opening New Accounts
- Management
- Client Liaison
- Relationship Building
- Data Management
- Team Leadership
- Business Alliances
- Records Management
Certification
- Series 7
Issued Jan 2005- Expired Sep 2015
- Series 63
Issued Apr 2005- Expired Sep 2015
- Series 24
Issued Feb 2006- Expired 2015
Timeline
Associate Director
RBC Capital Markets
01.2007 - 09.2013
Vice President of New Accounts
Carlin Financial Group
01.2001 - 01.2007
Registrations Specialist
Carlin Financial Group
01.1999 - 01.2001
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