Managing Director / Branch Office Manager
Seasoned, astute, and results-oriented professional, offering extensive experience in banking, broker-dealer and finance operations;
complemented with strong business acumen and leadership expertise
Highly regarded for extensive financial knowledge and management skills, coupled with comprehensive, hands-on experience in
performing and supervising financial activities for clients. Armed with entrepreneurial spirit; along with the capability to fulfill
various duties in a fast-paced and demanding work environment. Known for excellent interpersonal skills along with the ability to
manage broker-dealer to achieve aggressive business goals and drive the advancement of concepts into achievable business strategies.
Effective at facilitating training and development to employees to increase their knowledge and skill level. Articulate communicator
with multilingual fluency in English, Portuguese, and Spanish with basic knowledge of French.
- Core Competencies
- Customer Service
- Asset Management
- Project Management
- Regulatory Compliance
- Revenue Optimization
- Account Administration
- Conflict management
- New Business Development
- International Financial Processes
- Strategic Planning and Implementation
- Leadership and Cross-functional Collaboration
- Team Building and Collaboration
Coursework toward Master of Business Administration in Entrepreneurship
Florida International University, Miami, FL
Bachelor of Business Administration, Double Major in International Business and Management
Florida International University, Miami, FL
Licenses and Certifications
Financial Industry Regulatory Authority (FINRA)
Series 7: General Securities Representative Exam (GSRE)
Series 4: Registered Options Principal Qualification Examination (OP)
Series 24: General Securities Principal Qualification Examination (GSP)
Series 66: Uniform Combined State Law Examination
Series 63: Uniform Securities Agent State Law Examination
Series 65: Uniform Investment Adviser Law Examination (For Renewal)
Life, Health, and Variable Annuity (For Renewal)
International Financial Advisor License
Confidential, Miami, FL
Serve as general securities principal, in charge of overseeing daily branch operations, including growth strategy development and
regulatory compliance. Work closely with the chief compliance officer (COO) to maintain best practices and meet regulatory
requirements. Prepare and execute future business plans on how to provide first-rate services to customers, maintain employee’s
welfare, and deliver positive returns to stakeholders. Act as the representative of the Office of Supervisory Jurisdiction (OSJ)
during social and professional events. Facilitate in-depth training of OSJ employees, as well as other affiliates on broker–dealer
processes. Manage the hiring, training, and retaining qualified employees. Establish and cultivate business relationships with
outside service providers. Observe strict compliance with mandated regulations for the Miami OSJ. Work closely with the chief
executive officer to meet the company’s interest.
Designed and passed a business plan to open a broker-dealer in a multinational banking institution which has presence all over the
world but no previous broker-dealer experience.
Brought significant growth to OSJ’s assets under management (AUM) from zero to more than $1.2B in December 2016.
Drove key efforts, which resulted in business profitability from the first year by 15% to 22% in revenues year-over-year since
Client Relationship Area Manager 2008–2011
Provided expert oversight to client services, which included private, premium, and special banking, official institutions, and
product development areas with approximately 80 employees. Extensively travelled to Brazil and other Latin American countries to meet
with prospective and existing clients, as well as train local personnel. Rendered detailed instructions to the team on investment
strategy and client retention. Served as an integral member of all committees within Banco do Brasil North America, including Asset
Management and Liability, Credit, and Management. Maintained proactive involvement to the decision-making process on the bank’s
administrative matters, including legal and labor issues. Took charge of maintaining a network of contacts comprised of regulators,
while planning and coordinating audits. Carried out key tasks, including training employees, preparing procedures, establishing
systems, and preparing required details for new business opening. Expertly handled employee and customer conflicts.
Led the assigned group that successfully managed approximately 8500 clients and closed large assets valued at $2B.
Made substantial contribution in increasing private banking revenues by 10 times in a year through various investment products and
comprehensive employee training.
Created and implemented a business plan to open a broker-dealer for a retail business, which was presented to internal and local
regulators and approved by the head office in 2010.
Prepared and submitted the business plan to approve the broker-dealer and obtain the approval from both Head Office and local
Developed and executed agreement with most of the service providers, vetted new products, approved each account, and built a five
Merrill Lynch, Miami, FL
Brokerage | International Financial Advisor 2005–2007
Citicorp Investment Services, Miami, FL
Brokerage / Financial Advisor 2002–2005
Banco do Brasil, Miami, FL
Private Banking 2000–2002
The Keyes Company, Miami, FL
Real Estate Agent 1997–2000