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).
SETH ROSEN
515 Seven Bridges Road, Little Silver, New Jersey 07739
------------
------------
??????????????????
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).