Overview
Work History
Education
Skills
Summary
Websites
Certification
References
Timeline
Generic

ZVI STEINBERG

New York,NY

Overview

10
10
years of professional experience
1
1
Certification

Work History

Back Office Operations

Dominari Securities
New York, NY
03.2024 - 07.2025
  • Collaborated with CCO and COO on compliance and operations system management.
  • Supervised Capital Markets and Fixed Income trading activities to ensure regulatory compliance.
  • Conducted thorough KYC and AML reviews for onboarding new clients.
  • Oversaw approval of all money movement transactions.
  • Led daily CAT reporting via FINRA Gateway, ensuring timely updates and resolution of discrepancies.
  • Enhanced firm-wide compliance and regulatory policies through regular collaboration with CCO and COO.
  • Trained and managed Operations and CSA team members, facilitating skill development.
  • Designed and launched an internship program for Securities division, fostering talent acquisition.

Operations Specialist

Dominari Securities
New York, NY
03.2024 - 07.2025
  • Executed comprehensive operations across CRM software, margin platforms, and account management processes.
  • Trade execution; including securities, fixed income, and alternative investments.
  • Oversaw alternative investment operations, including subscription document processing and capital calls.
  • Managed P&L, quarterly budgets, and billing processes to ensure financial accuracy.
  • Sourced third-party vendor products and solutions to enhance service delivery.
  • Maintained strong relationships with high-net-worth clients and broker-dealer partners worldwide.
  • Organized teams for project-based and long-term operational initiatives.
  • Utilized Microsoft Excel, SharePoint, and the full Microsoft Office Suite for reporting and analysis.
  • Administered clearing firm platforms such as Wealthscape, RBC, Wedbush, and BNY/Pershing (NetX360).

Senior Investor Rep

New York Life Insurance Company - New York Life Securities
New York, NY
02.2022 - 03.2024
  • Processed and implemented diverse customer and account services for small to high net worth clients.
  • Communicated detailed account specifications, balances, margin, performance, and pricing information.
  • Developed Salesforce systems for account services and Wealthscape clearing firm platform.
  • Led technology implementation initiatives to enhance operational efficiency.
  • Drafted letters of indemnity and complex trade corrections, ensuring accurate client communications.
  • Mentored new team members, improving overall team morale and efficiency.
  • Executed daily trades in equity, mutual funds, fixed income, UITs, alternative investments, and options.
  • Calculated specific valuations and proportionate amounts of held assets during trade execution.

Investment Counselor

Fisher Investments
Camas, Washington
01.2021 - 01.2022
  • Oversaw a portfolio of 100 new and existing high-net-worth clients, driving engagement.
  • Strengthened client relationships to generate additional assets and referrals.
  • Crafted and presented comprehensive market analyses, performance updates, and educational content for clients.

Financial Advisor

Edward Jones Investments
Westbury, NY
11.2015 - 12.2020
  • Developed personalized investment plans for clients, focusing on equity, funds, and fixed income.
  • Grew office assets from $0 to $25M AUM through strategic sales and marketing efforts.
  • Conducted extensive networking and outreach, knocking on 1,000 doors weekly for client acquisition.

Education

Bachelor’s Degree -

Yeshiva University
New York, NY
01.2014

Skills

  • Operations and Compliance
  • KYC and AML
  • Trade execution
  • CAT Reporting and Finra Gateway
  • Client relationship management
  • Project management

Summary

  • Capital Markets, Fixed Income, Private Equity, and Investment Banking Compliance and Operations

Certification

  • Finra Series 24, 7, 66

References

References available upon request.

Timeline

Back Office Operations

Dominari Securities
03.2024 - 07.2025

Operations Specialist

Dominari Securities
03.2024 - 07.2025

Senior Investor Rep

New York Life Insurance Company - New York Life Securities
02.2022 - 03.2024

Investment Counselor

Fisher Investments
01.2021 - 01.2022

Financial Advisor

Edward Jones Investments
11.2015 - 12.2020

Bachelor’s Degree -

Yeshiva University

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