Dennis Gee
Compliance and Operations Manager at Silicon Valley Capital Management- Claim this Profile
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Experience
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Silicon Valley Capital Management
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Investment Management
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1 - 100 Employee
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Compliance and Operations Manager
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Feb 2012 - Present
Overseeing compliance and trading operations of a midsize registered investment advisory servicing high net-worth individuals, trusts and small businesses. Responsible for administering compliance policies and procedures, monitor and test for compliance, and provide business advice on matters relating to regulatory compliance. Ensure business code of ethics and maintain compliance reporting functions. Oversee all aspects of RIA's operations including, daily reconciliation of portfolio accounting systems with custodians, processing new accounts, and facilitating account maintenance requests. Show less
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Albert Heeg Investment Management
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United States
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Financial Services
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1 - 100 Employee
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Investment Analysis and Operation Manager
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Aug 2005 - Aug 2009
Headed the investment operations of a boutique investment advisory firm specializing in managing insurance assets and corporate retirement portfolios. Oversaw the allocation of $500M in treasury, agency, municipal and corporate fixed income securities. Analyzed assets using Ibbotson EnCorr statistical modeling software. Developed Investment Policy Statements, including establishing investment goals, risk parameters and performance benchmarks. Conducted investment manager searches for clients, researched hundreds of portfolio managers, analyzed historical performance and investment philosophy suitability. Measured portfolio performance and produced quarterly client reports using Informa Investment Solution software. Compiled all potential client Request for Proposal (RFP) reports documenting firm investment philosophy, strategy and historical performance. Acted as primary contact for invested clients, portfolio managers, custodians and third party vendors. Served as firm compliance officer and ensured investment operations met all SEC regulatory requirements. Show less
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Integrated Capital Markets
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United States
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Business Consulting and Services
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Operations Manager and Controller
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Feb 2001 - Mar 2005
Conducted the daily operations of a securities Broker-Dealer firm, including all administrative and human resource functions, coordination of third party vendors and maintenance of facilities. Responsible for the management and organization of company procedures and resources. Maintained all financial accounting records. Responsible for meeting all SEC/PCX compliance and regulatory issues, including the SEC FOCUS report requirement and annual audit. Delivered financial results to firm investors, generated quarterly capital investment reports, calculated and processed year-end investor payouts. Oversaw compliance, risk management and all post execution, clearing functions and trade reconciliation for three-dozen traders. Contributed to the growth and development of a start-up, single office broker-dealer into a successful firm with locations; Facilitated an average monthly trade volume of over 25 million shares, generating a first fiscal year net profit of nearly $1 million dollars. Show less
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Morgan Stanley Dean Witter
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United States
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Investment Banking
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1 - 100 Employee
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Manager of Registered Investment Representative VIP Services
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Feb 1999 - Feb 2001
Supervised 20 financial advisors servicing high net worth clients. Assisted in the hiring and training of new brokers. Educated financial advisors to identify client needs, supply answers to financial questions and suggest appropriate investment products. Monitored and coached brokers to provide the highest level of courteous, professional and knowledgeable service. Resolved escalated client concerns and followed-up on client requests. Supervised 20 financial advisors servicing high net worth clients. Assisted in the hiring and training of new brokers. Educated financial advisors to identify client needs, supply answers to financial questions and suggest appropriate investment products. Monitored and coached brokers to provide the highest level of courteous, professional and knowledgeable service. Resolved escalated client concerns and followed-up on client requests.
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Limited Partner, Trader
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Dec 1997 - Feb 1999
Traded listed and OTC stocks and options for private equity portfolio. Leveraged firm's capital to execute hundreds of securities trades daily. Executed orders on the NYSE Super DOT system and on ECN's including Archipelago and Instinet. Monitored equity index and futures options to anticipated market swings. Formulated trading strategies and shared market insights with traders. Traded listed and OTC stocks and options for private equity portfolio. Leveraged firm's capital to execute hundreds of securities trades daily. Executed orders on the NYSE Super DOT system and on ECN's including Archipelago and Instinet. Monitored equity index and futures options to anticipated market swings. Formulated trading strategies and shared market insights with traders.
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Fidelity Investments
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United States
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Financial Services
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700 & Above Employee
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Assistant Specialist
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Mar 1991 - May 1997
Traded over 100 stocks and bonds on the floor of the Pacific Stock Exchange (PCX). Acted as buyer and seller of stock to provide liquidity in the marketplace and to ensure fair and orderly trading markets. Oversaw risk positions in excess of $25 million dollars to yield profitable transactions. Responsible for all post execution and clearing functions. Handled confirmation, reconciliation, and breaks for thousands of daily trades. Traded over 100 stocks and bonds on the floor of the Pacific Stock Exchange (PCX). Acted as buyer and seller of stock to provide liquidity in the marketplace and to ensure fair and orderly trading markets. Oversaw risk positions in excess of $25 million dollars to yield profitable transactions. Responsible for all post execution and clearing functions. Handled confirmation, reconciliation, and breaks for thousands of daily trades.
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Education
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University of California, Davis
Bachelor of Arts, Economics