Seth Rosen CV
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Location: Little Silver, NJ, USA
School: Tufts University
Field of Study: Economics

Seth Rosen CV

SETH ROSEN
515 Seven Bridges Road, Little Silver, New Jersey 07739
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PROFESSIONAL EXPERIENCE

Apple Inc. – Freehold, New Jersey 07726 2017 – 2018
Sales Specialist
» Sales of all Apple advanced technology products, from iPhones to iMac Professional.
» Worked in very high pressure, high volume sales area.
» Consistently ranked as ‘Meets or exceeds expectations’ in high volume sales area.
» Also responsible for ensuring daily inventory counts were accurate.
» Recognized for providing particularly innovative solutions to sales team.

New Amsterdam Partners, LLC- New York, New York 10016 2012 – 2016
Compliance Officer
» Create, supervise, and ensure adherence to Written Supervisory Procedures and Firm policies.
» Responsible for firm’s legal and compliance matters, including HR functions.
» Serve on Operations committee, with special emphasis on firm training issues.
» Supervise regulatory filings, and interactions with state and federal regulators.
» Oversee and co-ordinate annual in-house training process.

Quad Capital LLC- New York, New York 10005 2008 – 2012
Chief Compliance Officer
» Create, supervise, and ensure adherence to Written Supervisory Procedures and Firm policies.
» Responsible for firm’s legal, HR, and compliance matters, including creating the BD itself.
» Serve on parent firm’s Risk and Compliance committees, with special emphasis on cost controls.
» Supervise regulatory filings, including FOCUS, EFP, and Form BD.
» Oversee and co-ordinate annual CEO certification process.
» Act as primary contact and liaison with FINRA and PHLX.
» Act as Chief Administrative Officer for firm and parent company, to include HR.

KV Execution Services LLC- New York, New York 10005 2000 – 2008
Chief Executive Officer; Chief Compliance Officer
» Create, supervise, and ensure adherence to Written Supervisory Procedures and Firm policies.
» Responsible for firm’s overall direction, growth, daily operations, HR, and profitability.
» Supervise regulatory filings, including FOCUS, EFP, and Form BD.
» Oversee and co-ordinate annual CEO certification process.
» Act as primary contact and liaison with NYSE, FINRA, AMEX, and CBOE.
» Act as Chief Administrative Officer for parent Bear Wagner Specialists.
» Create and supervise AML procedures, Continuing Education program, HR, and parent conformity.

Century Discount Investments – Red Bank, New Jersey 07701 1998 – 2000
Chief Executive Officer; Chief Compliance Officer
» Created company from inception, and built it into a fully functional online broker.
» Created and supervised all compliance policies, including WSPs and FOCUS reporting.
» Authored initial Form BD and filed it with the NASD.
» Responsible for all executive functions, HR, broker training, and continuing education.
» Created advertising campaign that grew accounts exponentially in first year.
» Helped the parent (full service BD Montauk Financial) leverage operational strengths with CDI.
» Established supervisory procedures for parent Trading Room personnel.


National Discount Brokers - New York, New York 10005 1993 – 1998
Chief Operating Officer; Chief Compliance Officer
» Hired as original CCO of this start up pioneer discount broker, oversaw explosive growth.
» Grew business from 24 employees and no accounts to 350 employees and 125,000 accounts.
» Created the Written Supervisory Procedures and on-line operating procedures from scratch.
» Personally handled all arbitrations, regulatory contacts, and NASD Examinations.
» Promoted Head of Trading in 1996, supervised staff of 135 employees.
» Served on Compliance, HR, Finance and Risk committees for parent, The Sherwood Group.

Bear Hunter Specialists LLC- New York, New York 10005 1989 – 1993
Chief Operating Officer; Chief Compliance Officer
» Supervised all facets of compliance for specialists activities on NYSE Floor.
» Created, revised and supervised WSPs, and oversaw FOCUS reporting.
» Acted as liaison with both NYSE and SEC for all regulatory contacts.
» Acted as Listed Company Liaison, assisting with corporate communications.
» Managed Bear Stearns’ AMEX specialist operations as part of overall business.
» Helped create Buffalo Partners LLC, upstairs Hedge Fund, until interrupted by Gulf War I.

The Sherwood Group - New York, New York 10004 1985 – 1989
Chief Compliance Officer
» Oversaw all Compliance for this market maker in 4,000 OTC securities.
» Brokered the sale of 42 office retail branch network, and oversaw transfers.
» Handled all arbitrations and customer complaints personally.
» Acted as liaison to NASD, SEC, and other regulators.
» Served on Finance and Compliance Committees.

OTHER EXPERIENCE

Red Bank Regional High School Board of Education – Served from 2011 to 2015.
Little Silver Schools Board of Education – Served from 2004 to 2010.
United States Marine Corps – Enlisted as Private, honorably discharged as Captain. Served from 1976 to 1991.

I graduated from Tufts University, Medford MA in 1984 with a BA in Economics (cum laude).

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