Adam Brickner is seeking a position as a Compliance Officer in financial services. He has over 25 years of experience in capital markets and 9 years in compliance. His experience includes reviewing trading activity to identify regulatory risks, implementing compliance programs, and liaising with regulators at various financial firms. He has in-depth knowledge of key regulations including Reg NMS, Reg SHO, and AML/Patriot Act.

1. ADAM BRICKNER
27 Barker Ave. Apt. 503 White Plains, NY 10601, Home 914-368-8045 Cellular 201-906-1019 abrick@optonline.com
http://www.linkedin.com/in/AdamBrickner
OBJECTIVE
To obtain a challenging and rewarding career as a Compliance Officer in the financial services industry,
utilizing over 25 years of demonstrated success and accomplishments. I am an experienced and effectual
leader with a focus on compliance exception reporting, composing and implementing procedures, in-
depth internal examinations and staff supervision.
HIGHLIGHTS OF QUALIFICATIONS
 Broad knowledge of trading regulations, including Federal, International, State, and SRO laws.
 In-Depth knowledge of Reg NMS.
 In-Depth knowledge of Reg SHO.
 In-Depth knowledge of AML/USA Patriot Act.
 Implementation and review of OATS.
 Implementation and review of ACT.
 Over 25 years of capital market expertise.
 Over 9 years of compliance expertise.
PROFESSIONAL EXPERIENCE
Brean Murray, Carret & Co., Vice President of Compliance, New York, NY March 2011 to Present
Review and monitor employee and customer trading activity on a daily basis; to identify and mitigate
regulatory risks, such as preventing insider trading, front-running, Reg SHO violations, Reg NMS
violations, sell short violations, market timing and other violations of trading policies. Implement and
execute compliance program for FINRA - SIPC registered leading broker dealer and market maker in
accordance with FINRA, SEC and State regulations. Liaise with regulators in all matters related to the
equity trading division.
• Conduct periodic audits of the firm's practices to ensure that the organization's activities satisfy all
pertinent legal and regulatory requirements.
• Conduct all equity related FINRA Reviews including the annual TMMS Exam.
• Liaise with all vendors of the equity trading department to assure proper implementation of
compliance regulations.
• Responsible for any compliance questions or requests for interpretations from traders/sales traders
including trading regulation, policy procedural issues and general regulatory matters.
• Stay abreast of changing regulatory environment to ensure current and accurate compliance
procedures.
• Conduct ACT reviews on a daily basis.
• Conduct OATS reviews on a daily basis.
• Hold relevant compliance meetings to discuss and mandate regulatory requirements.
Maxim Group LLC, Equity Trading Compliance Specialist, New York, NY, October 2009 to March 2011
• Conduct all equity related FINRA Reviews including the annual TMMS Exam.
• Conduct daily reviews of trading activity.
• Review all correspondence and e-mail for compliance with applicable regulations.
• Stay abreast of changing regulatory environment to ensure current and accurate compliance
procedures.

2. • Conduct ACT reviews on a daily basis.
• Conduct OATS reviews on a daily basis.
• Hold relevant compliance meetings to discuss and mandate regulatory requirements.
PROFESSIONAL EXPERIENCE
HUDSON SECURITIES, Deputy Compliance Officer, Jersey City, New Jersey, 2003 to October 2009
• Implement and execute compliance program for FINRA - SIPC registered leading broker dealer and
market maker in accordance with FINRA, SEC and State regulations.
• Conduct periodic audits of the firm's practices to ensure that the organization's activities satisfy all
pertinent legal and regulatory requirements.
• Conduct ACT reviews on a daily basis.
• Conduct OATS reviews on a daily basis.
PUGLISI & COMPANY, Senior NASDAQ Position Trader, New York, New York, 2002 to 2003
• Served as integral part of the senior trading team.
• Formulated and adjusted performance goals and objectives to adapt to a dynamic industry.
• Maintained orderly NASDAQ and Bulletin Board markets.
BROKERAGE AMERICA, Senior NASDAQ Position Trader, New York, New York, 2002 to 2002
• Served as integral part of the senior trading team.
• Elevated knowledge and performance of sales force by communicating accurate product information
and up-to-the-minute market news useful in trading.
MERRILL LYNCH PIERCE FENNER & SMITH/HERZOG, HEINE, GEDULD, Vice President/Senior Equity Trader,
New York, New York, 1995 to 2002
• Provided liquidity for institutional and retail customers.
• Priced large blocks of stock.
• Produced over $5M annually in trading profits for 5 consecutive years.
EDUCATION
Bachelor of Science, Finance, 1986
C. W. Post University, Greenvale, Long Island, GPA: 3.4
PROFESSIONAL AFFILIATIONS
• Member, Security Traders Association of NY
• Member, CompliancEX
• Member, Electronic Trading Group
• Member, Capital Markets Group
LICENSES
• Series 7 - General Securities Representative
• Series 63 - Uniform Security Agent State Law
• Series 55 - Equity Trader Examination
• Series 24 - General Securities Principal