Prime Broker Resume

Posted in Broker Resume Examples

Leonard Brown

3228 Pinnickinnick Street

West Osbornsville, NJ 8723



Job Objective Searching for the opportunity to work as a Prime Broker with growing company in which my abilities will be an asset to company.


  • Strong a experience in financial services, and clearing firm
  • Deep knowledge of clearing, prime brokerage and hedge funds
  • Exceptional knowledge of FHA, VA, FNMA and FHLMC guidelines and standards
  • Proficient in MS Office suite, basic SQL, S Plus, Matlab and Perl
  • In-depth knowledge of broker dealer regulation and legal issues relating to prime brokerage and securities lending.
  • Extensive analytical and technical skills
  • Strong presentation and communications skill

Professional Experience:

Prime Broker, August 2005 – Present, West Osbornsville, NJ

  • Provided regulatory guidance and advised Prime Services business and support areas.
  • Conducted research of rules, regulations relating to Prime services asset classes and business.
  • Managed and resolved issues that impact Prime Services.
  • Developed and implemented policies and procedures for all aspects of Prime Services.
  • Liaised with Regulatory Affairs or directly with Regulators.
  • Supported trade operations and resolved disputes.

Prime Broker, May 2000 – July 2005

Sharp Decisions, Inc., West Osbornsville, NJ

  • Managed sophisticated client issues with the ability to solve problems and enhance client trading, operations and accounting relationships.
  • Handled client requests and cross sold firm products.
  • Managed trade verification, confirmation settlement, accounting and reconciliation of equity, option, fixed income, swaps and restricted stock transactions.
  • Maintained records of new and existing clients.
  • Supported trade operations.
  • Resolved disputes.


Bachelor’s Degree in Business Administration, Oglethorpe University, Atlanta, GA

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  • March 1, 2020Create Date
  • March 1, 2020Last Updated

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