George Chavez

Experience

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  Lehman Brothers

  Jan 1992 - Aug 1998

  Assisted in developing new business for the Lehman Brothers Regional Institutional Sales Group by marketing products to middle market institutional investors; insurance companies, investment advisors, money managers, corporations and municipalitiesHandled all repo trades for two senior VPs, averaging $500M daily, and managed all activity for six tri-party securities lending accounts totaling $2.5B in combined assetsWorked with senior level salespeople, offering a variety of products including: securities lending/bonds borrowed program, governments, agencies, municipals, corporate bonds, money market instruments, commercial paper, bankers' acceptances, certificates of deposit, and repurchase/reverse agreementsInitiated and executed trades, assisted in proper settlement of all transactions, and coordinated distribution of research for both clients and sales groupConducted all bookkeeping and compliance reporting for the group and acted as liaison for the operations department Show less

  • Senior Sales Associate

    Sept 1992 - Aug 1998

  • Associate Broker

    Jan 1992 - Jan 1994
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  Smith Barney, Citigroup

  Jan 1999 - May 2004

  Stock plan services trading floor manager at a call center. Products and services encompassed administration, management and tracking of stock plans, as well as brokerage services for stock option purchase and restricted stock plans. Supervised 15 in-house registered traders and 8 customer service representatives. Assisted financial consultants across the country in conducting sales. Maintained communication with stock plan administrators at over 50 Silicon Valley companies, often acting as trading liaison for their employees. Monitored recorded conversations for quality control. Assisted compliance officer with customer issues. Created productivity reports daily for corporate headquarters. Scheduled continuing education meetings for all registered employees to meet compliance requirements. Conducted quarterly, semi-annual and annual reviews of licensed agents and customer service representatives. Scheduled work and break hours for call-center staff. Reported directly to the branch manager; in charge of entire service center in branch manager’s absence. Show less Created and managed a trade settlement and clearing area for the operations department, 14 employees strong. In charge of hiring and firing data entry and reporting specialists. Trained all new hires and implemented cross training of employees to insure full coverage of tasks and duties in times of employee sickness or vacations. Prepared trading reports daily for over 50 Silicon Valley stock plan administrators, treasurers and CFOs. Responsible for bringing in all securities T+3. Reported directly to the branch manager. Show less Stock plan services trading floor manager at a call center. Products and services encompassed administration, management and tracking of stock plans, as well as brokerage services for stock option purchase and restricted stock plans.Supervised 15 in-house registered traders and 8 customer service representatives. Assisted financial consultants across the country in conducting salesMaintained communication with stock plan administrators at over 50 Silicon Valley companies, often acting as trading liaison for their employeesMonitored recorded conversations for quality controlAssisted compliance officer with customer issues Created productivity reports daily for corporate headquartersScheduled continuing education meetings for all registered employees to meet compliance requirementsConducted quarterly, semi-annual and annual reviews of licensed agents and customer service representativesScheduled work and break hours for call-center staffReported directly to the branch manager; in charge of entire service center in branch manager's absence Show less

  • Stock Option Trading Floor Manager

    Aug 1999 - May 2004

  • Trade Processing Supervisor

    Aug 1999 - May 2004

  • Stock Option Trading Representative

    Aug 1999 - May 2004

  • Assistant Vice President

    Jan 1999 - Jan 2004
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  MassMutual Financial Group

  Dec 2004 - Jul 2013

  Agency Supervisory Officer

  Agency Supervisory Officer with the MassMutual Financial Group - Northern California Agency. I helped ensure that financial professionals conducted their business in an ethical manner and in compliance with the regulations that applied to our business.I also represented Massachusetts Mutual Life Insurance Company (MassMutual). Founded in 1851, MassMutual is a leading mutual life insurance company that is run for the benefit of its members and participating policyholders. The company has a long history of financial strength and strong performance, and although dividends are not guaranteed, MassMutual has paid dividends to eligible participating policyholders every year since the 1860s. With whole life insurance as its foundation, MassMutual provides products to help meet the financial needs of clients, such as life insurance, disability income insurance, long term care insurance, retirement/401(k) plan services, and annuities. In addition, the company’s strong and growing network of financial professionals helps clients make good financial decisions for the long-term. Show less

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  J.P. Morgan Securities LLC

  Aug 2013 - Mar 2020

  Vice President - Supervisory Manager
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  Bank of America Merrill Lynch

  Aug 2021 - now

  Supervision Manager