Position:
Compliance Consultant at Law Office, Executive Consultant at Executives in Action, Consultant, Board Member, Educator, Trainer at Various Organizations
Work:
Law Office
since Nov 2011
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Compliance Consultant
Executives in Action
- Dallas/Fort Worth Area since Sep 2009
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Executive Consultant
Various Organizations
- Dallas/Fort Worth Area since Sep 2009
-
Consultant, Board Member, Educator, Trainer
NFJ Investment Group
- Dallas/Fort Worth Area Jan 2006 - Jan 2009
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Equity Trading Manager
Bridge Trading, a Reuters Company
Mar 2004 - Apr 2005
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Senior Equity Sales Trader
Capital Institutional Services
Jan 1988 - Jan 2004
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Vice President, Equity Trading
Education:
Southern Methodist University
Skills:
Investment Management, Global Asset Management, Equity Trading, Equity Valuation, Equity Capital Markets, Mutual Funds, International Trading, ETFs, Pricing Analysis, Pricing Research, Business Relationship Management, Investor Relations, Third Party Vendor Management, FINRA Licenses, Soft Dollars, Performance Measurement, Performance Appraisal, Trade Compliance, Project Coordination, Business Process Improvement, Strategic Communications, Financial Literacy Training, Community Outreach, Corporate Social Responsibility, Corporate Governance, Non-profit Boards, Fundraising, Non-profit Volunteer, Fundraisers, Donor Development, Donor Recognition, Donor Solicitation, Non-profit Consulting, Non-profit Leadership, Non-profit Board Development, Community Service, Microsoft Office, Microsoft Excel, Microsoft Word, Advent Moxy, Bloomberg, ThomsonOne, Execution Management Systems, Trade Cost Analysis, Program Trading, Algorithms, Strategic Thinking, Sales, Learning and Development, Operations
Interests:
Securities Compliance
Financial Due Diligence
SEC, FINRA and Exchange Regulations
Regulatory Issues
Financial Literacy Education
Investor Relations
Relationship Management
Client Advocacy
Mentoring, Coaching, Educating and Teaching
Training
Financial Empowerment
Investments
Trading
Organizational Development
Strategic Planning
Process Improvement