ZVI STEINBERG
New York
Summary
FINRA Licensed HNW Equities, Fixed Income, Private Equity, & Investment Banking Operations/Compliance Principal.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Director of Operations
uSmart Capital LLC
New York
07.2025 - Current
- Company Overview: Founding operations department of a new broker-dealer/investment bank; specializing in international and domestic HNW clients.
- Daily collaboration with the COO, CCO, CFO, and CEO to shape the firm structure.
- Designing comprehensive operational procedures, ensuring efficient trading and client experience.
- Conducting all broker-dealer and investment banking operations/back office, including trading, paper processing, client onboarding and relations, money movement, and WSP adherence.
- Building employee onboarding procedures and recruiting and training direct report operations team members.
- Performing compliance and regulatory activities including trade reviews, AML/KYC, and regulatory reporting via Finra Gateway (CAT/CAIS).
- Sourcing and managing vendors.
- Founding operations department of a new broker-dealer/investment bank; specializing in international and domestic HNW clients.
Director: Back Office Operations
Dominari Securities
New York
03.2024 - 07.2025
- Collaborated daily with CCO and COO on compliance and operations system and procedure implementation and 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.
Senior Investor Rep
New York Life Insurance Company - New York Life Securities
New York
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
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
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, NY08.2014
Certification
Finra Series 24, 7, 65, 63, 99, & SIE. CRD: 6586504
Timeline
Director of Operations
uSmart Capital LLC
07.2025 - Current
Director: Back Office Operations
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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