OPERATIONS FINANCE DIRECTOR Summary Skilled financial professional twenty years financial services industry fifteen years practical management experience.Highly detail-oriented organized. Areas expertise include conflict management, customer service, marketing client interface. Advanced training risk assessments, management controls audit planning. ​ ​ Highlights Customer service Schedule management Project management Strategic financial planning expert Mergers acquisitions knowledge Negotiations, risk mitigation Exceptional customer service skills Microsoft Office proficiency Proficient Concur, Workday, Kronos Excel spreadsheets/SQL SOX, DOJ, Audit experience Cost reduction containment Staff leadership development Superior organization skills Accomplishments Reduced capital spending 35 per year leader cross-functional trading floor teams San Francisco New York. Head Business Continuity NYSE-SF NYSE-NY. Recognized achieving flawless audit scores NYSE Regulation, Securities Exchange Commission FINRA. Authored published trading floor rule filings NYSE- SF NYSE-Amex- 2008-2013. Launched Amex Trading Floor-NY 2008-2009, hired trading floor staff. Authored trading floor employee procedures, manuals, company policies NYSE-SF NYSE-Amex. In charge streamlining staffing levels three mergers 2005-2010. Started NYSE Annual Community Volunteer Program 2010. Experience Operations Finance Director Jan 2016 Current Company Name － City State Planned executed operational audits various business areas using risk-based audit methodology. Created executive analysis reports highlighting business issues, potential risks profit opportunities. Developed implemented efficient accounting, financial operational systems. Generated new accounts implementing effective networking content marketing strategies. Reviewed new customer orders requests manually entered data Systematically prepared documents assembled financial statements independent auditors nto centralized database. Managing Director Head Of Trading Floor Operations Feb 2009 Oct 2015 Company Name － City Supervised managed daily operational trading floor activities, trading floor staff trading floor broker operations San Francisco trading floor Worked FINRA Floor staff enforce trading floor rules Responsible enforcement trading floor rules regulation open out-cry trading. Developed strategy internal external regulatory examinations, collaborated internal external audit market compliance. Created organizational flow charts career path reports evaluate employee compensation information. Designed employee performance evaluation process merit program. Wrote employee company policies procedures trading floor. Increased employee base meet changing staffing needs. Implemented innovative employee incentive training program. Handled exchange customer error account San Francisco SR. Director Options Trading Services Operations Oct 2007 Feb 2009 Company Name － City State Stationed New York launch merger NYSE American Stock Exchange. Implemented authored company policies procedures trading floor. Recruited interviewed 70 applicants per one year period. Reviewed federal state laws confirm enforce company compliance. Wrote employee performance evaluation reviews recommended merit increases. Implemented employee bonus program. Maintained departments procedures written documentation NYSE SF NYSE Amex NY. Director -Manager -Options Trading Services May 1992 Oct 2007 Company Name － City Managed trading floor staff trading floor procedures. Oversaw facilities maintenance entire options department. Developed managed quarterly operating budgets entire San Francisco Trading Floor Options department. Analyzed employment-related data prepared required reports. Collected analyzed data evaluate operational issues make process improvement recommendations.Communicated duties, compensation, benefits working conditions potential candidates. Defined strategy business plans entire SF-options trading floor. Rolled new front end proprietary software trading firms. Traded customer orders fast paced open-out-cry environment. Oversaw scheduling day-to-day activities assigned trading pit. Education Associate Arts History Diablo Valley College － City State USA Pursued BA Finance Economics Spanish Los Medanos Collage － City State USA Languages Spanish- Fluent reading/writing/professional level Certifications Certified Trading Floor Broker Certificate NYSE-REG MBCI Member Business Continuity Institute) 2009-2015 Computer Information Systems Certificate-Project Management-DVC Spanish Foreign Language Certificate-LMC Published Regulatory Bulletins NYSE-Arca Equities- 2010-2013 SEC (Rules 6.00-6.47(e) Skills Benefits, budgets, business planning, monthly, quarterly billing, flow charts, conflict resolution, database, documentation, hiring, HR generalist, inventory control, legal research, Microsoft Office, SQL, operations management.