Stephen R. Brown, CAMS 732  *  530  *  4038 / 
48 Browns Lane, Fair Haven, New Jersey 07704

FINANCIAL CRIME SECURITY/ COMPLIANCE OFFICER

Strong analytical and quantitative skills with substantive understanding of
investment products. Expertise in decision making, problem solving, oral and
written communication, with demonstrated abilities in time management and
establishing priorities.

Continuously broadening financial industry acumen through enrollment in an MBA
program in Economic Crime at Utica College.

Expanding financial analysis and modeling skills through current pursuit of
Master  's in Banking and Financial Services Management at Boston University.

Certifications Held  *  Certified Anti-Money Laundering Specialist (CAMS)

Licenses Held  *  FINRA Series 7 and Series 63

Technology  *  MS Word, Excel, and PowerPoint. Collaborated on integration of
new technology to transition trading desk to Electronic Trading System.

PROFESSIONAL EXPERIENCE

Senior Vice President 1995 to 2008
Tullett Prebon Brokerage, New York, New York

Accelerated revenue and cultivated lasting client partnerships brokering 30-year
mortgage-backed securities (FNMA, FHLMC, and GNMA mortgage bonds) for this
interdealer brokerage firm. Managed key institutional accounts.

 *  Increased total account volume of mortgage securities from $25B to over
$150B in eight years.

 *  Continuously kept and maintained accurate record of transactions to assure
efficient and consistent reporting and verification.

 *  Consistently investigated and implemented new solutions to effectively
improve efficiency in meeting client trading account directives.

 *  Contributed to marketing efforts and development of a relatively new
department, relying on extensive brokering knowledge and keen ability to gain
trust and build client confidence in the company.

 *  Grew existing business and client loyalty by coordinating social events and
networking functions that reflected customers  ' personal interests. Cultivated
profitable new business relationships by tapping into loyal network of key
industry decision-makers.

Stephen R. Brown 732  *  530  *  4038 / / Page 2

 *  Managed and trained junior brokers to transition into the interdealer broker
marketplace and add depth to department. Mentored them to best performance under
tumultuous market conditions.

 *  Understood and properly exercised NASD standards and practices. Maintained
licensing requirements through continuing education of principles of compliance.

Bond Broker 1990 to 1995
Garban Ltd., New York, New York

 *  Nearly doubled revenue in 2 years, producing total revenue in excess of
$400K by fifth year.
 *  Developed significantly improved relationships with previously established
client base.

Institutional Mortgage Broker 1987 to 1990
D.C. Reilly Associates, Middletown, New Jersey

 *  Drove the placement/purchase of over $60M in conventional and government
whole loans in one year.
 *  First broker in history of firm to place a mortgage portfolio with a major
Wall Street firm.

Investment Officer 1983 to 1987
First Fidelity Bank, N.A., Newark, New Jersey

Controlled $20M municipal bond inventory for sales staff by purchasing bonds
through, competitive underwritings and successful bidding through brokers and
directly from other security dealers.

EDUCATION

MBA, Economic Crime and Fraud Investigation (2009- Present)
Utica College, Utica, NY

Master of Science, Banking & Financial Services Management (2007- Present)
Boston University, Boston, MA

Bachelor of Arts, Economics
Wake Forest University, Winston-Salem, NC