Don Lee

Background

About Don Lee

Securities Industry Experience Past Licenses: Series 7, 63, 24, 3, CAMS Experience: Compliance - Firm level, branch level and non-branch level compliance. Implementation of compliance program in all three levels. Supervision of business practices and sales practices on all levels. Compliance of international and domestic retail and institutional accounts. Anti Money Laundering Compliance. Maintaining relationship with regulators responding to regulatory requests and managing audit process. Identification of risk through compliance. Operations - Management of Trading Desks, Margin, Purchase and Sales, New Accounts, Settlements and other operational areas of the firm. Also responsible for assessing risks associated with new and existing businesses. Recruiting of new independents. Expansion of the firm's products, services and technology. Business Development - Developing organic growth of the organization by developing Branch Offices through our existing correspondents. Recruiting new correspondents for our Branch and Non-branch models. Expansion of our product base including building new platforms for our Fixed Income desk. Due dilligence process on new clearing, limited partnership and new businss relationships. Management - Management of all Home Office personnel, technology personnel and brokers ensuring proper work flow and efficiency. IT Experience: Business Process Automation with Clearing Firm data, trade data and customer data through our proprietary application. Construction management of IT solutions for backoffice intranet systems and front end broker/ retail systems. New Product: Reviewing current business and competitors to ensure that our technology products are up to date. Analyze current platform process and work with programmers to create enhanced order entry and management platforms Specialties: FINRA Securities License: 7, 63, 24, 3, 99 Securities Compliance, Securities Operations, Business Development, Management, IT.