• 15 years of experience providing sound leadership and maintaining utmost quality control throughout financial operations.
• Skilled in building, training and managing high performance teams.
• Recognized for ability to champion process improvement initiatives, to result in significant increases in efficiency throughout daily operations.
• Linguistic fluency in Korean.

CLSA Americas, LLC, New York, NY; Middle Office Manager 2015-Present

• Fulfill key leadership position, with associated duties including overseeing daily activities of 4 team members, streamlining process improvement initiatives to increase efficiency and conducting in depth training on company policies.
• Strategically reconcile client trades and monthly statements for each agent.
• Collaborate extensively with global teams to ensure adherence to all company procedures.
• Successfully oversee trading and settlement activities for margin and proprietary accounts.
• Recognized for development and implementation of office procedure manual, outlining daily responsibilities for team members.

Operations Supervisor 2007-2015

• Maintained quality control throughout all day to day operations while successfully managing 2 staff members.
• Leveraged strong industry knowledge to identify client needs and make individualized recommendations to fulfill accordingly.
• Continually maintained adherence to regulations, including Anti-Money Laundering (AML) and Foreign Account Tax Compliance Act (FATCA).
• Conducted in depth data analysis; strategically identified and resolved discrepancies as necessary.
• Reconciled trade breaks, failing trades and cash payments.
• Compiled pertinent information and created in depth commission, execution and FX reports.
• Performed thorough system testing to ensure seamless accessibility for clients.

KBC Financial Products, New York, NY; European Equities Sales Associate 2005-2007

• Served as a liaison between clients, company management, form analysts and investors; relayed important information to appropriate parties.
• Demonstrated a strong attention to detail while monitoring client commissions, placing equity orders and managing processing of client trades / settlements.
• Thoroughly reviewed client accounts to ensure adherence to regulatory requirements.

DBS Vickers Securities (USA) Inc, New York, NY; Executive, Sales and Trading Support 2002-2005

• Utilized industry knowledge to make solid recommendations to staff members and investors on best practices within the Asian Equity Market.
• Conducted thorough market trend research; relayed pertinent information to appropriate parties.
• Demonstrated strong organizational skills while coordinating meetings / conferences and maintaining all company records.

BA in Social Sciences and Interdisciplinary Studies, State University of New York at Buffalo, Amherst, NY

Series 7 and Series 63 Broker s License

Staff Sponsor, buildOn, The Chairman's Trust, Bronx, NY; 2013-2016