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MATTHEW KAVANAUGH

3 Longbow Dr. 732-829-0016 (cell)


Manalapan, New Jersey 07726 732-972-1656 mk85a
c16@westpost.net

SUMMARY
Highly qualified series 14 compliance official with extensive experience in equi
ties trading for large institutional broker-dealer in compliance with NASD, NYSE
, FINRA and SEC regulations. Knowledgeable of AML rules. Solid experience with r
egulatory requirements and issues for equities' sales and trading activities. Ut
ilizes a pro-active approach to preventing and solving problems.
LICENSES AREAS OF EXPERTISE
Series 24 General Securities Principal
Series 14 Compliance Official -Responding to regulatory
Series 7 Registered Representative inquiries.
Series 63 Registered Representative-all states -Communication
Series 15 Securities Floor Trader -Conflict resolution
-Leadership, Coaching an
d
promoting teamwork.
-Interaction with al levels of
firm.
PROFESSIONAL OBJECTIVE
Compliance/Manager position for large or small firm in equities trading.

PRIMERICA 2009-Present
BEAR STEARNS INC. 1983-2008
INSTITUTIONAL DIRECT (IDI) 2005-2007
Compliance/Manager/Supervisory
BROKER-DEALER COMPLIANCE
* Ensured compliance with NYSE, NASD and SEC rules by meticulously monitoring tr
ades in real time using AUTEX, BBSS, AOM trading systems, as well as Broker Chro
n and MOL reporting tools to ensure compliance with rules and regulations such
as 10B-18, 92, Reg Sho and Reg NMS, guaranteeing regulatory compliance, accurac
y and zero tolerance of illegal trades .
* Researched and resolved all trading discrepancies and compiled supporting docu
mentation to prove validity in accordance with FINRA regulations.
* Reviewed, organized and compiled all documentation for audits. Dealt directly
with examiners and internal audit. Executed procedures to rectify deficiencies.
* Updated WSP manuals annually or as needed.
* Monitored and approved employee trading.
* Composed and conducted continuing education classes for department personnel.
* Established and maintained relationships with market surveillance for clarific
ation of existing rules and to keep updated with any changes.
* Responsible for daily trade surveillance, books and records reviews, employee
trading
And e- mail monitoring
* Address day to day trading, sales and compliance questions on new and existing
regulations and respond to regulatory inquiries.
MATTHEW KAVANAUGH
SUPERVISORY AND MANAGERIAL
* Supervised a staff of more than 60 employees.
* Hiring Manager.
* Trained and evaluated personnel for high levels of productivity.
* Played an integral role in cross-training employees from other departments.
* Adeptly oversaw activities of brokers.
* Conducted all staffing and assignments on a daily basis to ensure adequate cov
erage and functionality for order flow.
* Developed and implemented new procedures to improve productivity and workflow
in terms of accuracy, efficiency and maintaining all standards of compliance.
* Coached/transformed under-performing staff members into efficient and cooperat
ive team members.
* Utilized quick decision-making and problem solving in a fast-paced environment
.
TRADING
* Member NYSE
CUSTOMER RELATIONS
* Cultivated excellent relationships with customers, including resolution of all
problems and issues.
SPECIAL PROJECTS-TRADING TECHNOLOGY/OPERATIONS
* Played key role in research, development and testing of new technology (tradin
g system) on the NYSE floor including voice technology and hand-held technology.
* Collaborated with the NYSE to develop broker to booth connectivity.
* Department Project Manager.
* Designed prototype for one of the first super booths on the floor.

Prior Positions at Bear Stearns Inc.


* Broker 1993-1996
* Supervisor of Trader's Assistants 1988-1993
* Traders Assistant 1983-1988

ADDITIONAL EXPERIENCE
Oppenheimer, KBS Securities, Boseco, NYSE
EDUCATION
Queens College
CONTINUING EDUCATION
Dale Carnegie Course