Randy G

Compliance Supervisor




Boca Raton, FL

Education Level:


Will Relocate:



Pacific Pearl Group - West Palm Beach FL Chief Compliance Officer - 2012,2013 Self Employed - Trader November 2011 - August 2012 Traded equities and execute various options strategies utilizing research and stock market trends to self sustain my income Kane Reid Securities dba TradeKing, Fort Lauderdale, Florida February 2007- January 2011 Supervisor of Compliance and Customer Identification Responsible for the supervision and adherence to all FINRA regulations Handled FINRA and SEC biannual reviews Directly responded to customer complaints Stock, Options, Margin, Customer Service and Risk Management Specialist Reviewed the identity of new and existing account holders - CIP (Customer Identification Program) Handled client phone calls concerning complaints, account transactions, customer service inquiries, and order placement Created and implemented the Customer Identification Program database which was implemented by such clearing firms as Penson Financial and Legent This CIP tool is currently being marketed to brokerage firms by MacDonald Information Services as the benchmark utility for customer identification Developed an AML detection system to monitor, identify, and report any suspicious money movement Account Transfer and E-Commerce Specialist Self Employed - Trader November 2003 - December 2006 Utilized experience in market trending and research to self sustain income by trading equities and executing various options strategies Incorporated knowledge of options to hedge investments from substantial losses During this time period I attended college and achieved my associates degree Philips and Cohen Associates, Plantation, FL ​​​January - October 2003 Debt Recovery Specialist​ Contacted businesses that defaulted on contractual obligations and negotiated payment terms Researched and updated contact information for responsible parties and maintained detailed records of all interactions with clients Consistently in top five percent of recovery specialists in dollar amount and calls per hour TD Waterhouse Investment Services, Jersey City, New Jersey​ February 1999 - September 2002 Stock Broker, Trading Specialist, Account Manager Equity, option, margin and mutual fund order expert Risk Management experience in evaluating firm and client risk Vast knowledge of retirement and tax related inquiries Advanced Technical Support (Trouble-shooting electronic brokerage technical issues) Fielded new account calls and identified potential prospects Carried out supervisory responsibilities by checking order tickets, associate paperwork, e-mail correspondence, and approving check requests Fulfilled back office responsibilities such as gathering and itemizing departmental statistic reports and forwarding time sensitive customer service files to the appropriate managers for expedited resolution Supervisory level customer service e-mail correspondence "New Associate Trainer" - trained new and existing associates in advanced margin, order entry, Risk Management, and proper handling of all correspondence Cross-trained as a Customer Relations Officer/sales representative at the branch level. Highly skilled in ADP order entry, Vantive, Brightware, Microsoft applications, OFX Comtapi, Fiserve/CTT. Education and Licenses - AA associates degree in finance from Palm Beach Community College Series 7 Series 24 Series 53 Series 63