SUMMARY:

Detail - oriented, conscientious Operations Professional with extensive experience in the brokerage industry supporting Fixed Income, Domestic and International Equities, Options, Currency FX’s, and Commodities. Strong project management skills and familiarity with technology automation initiatives. Recognized by management for attentiveness to workflow improvement and the and delivering of procedures. An expert problem solver, persistent, innovative, independent, and driven.

SKILLS:

• Investor Relations
• Debt & Equity Financing
• Technical Analysis and Resolution
• Creation and updates to Templates and Operational procedures

TECHNICAL SKILLS:

Microsoft Products: MS Office (Windows XP, Win 7, MS Office (Excel, Word, Power Point).

Self trained on: Operations Systems, and Applications.

NSCC Webinar: RTTM, RTRS, GSCC, and OCS

Compliance and Foreign Languages: Fluent in Polish and Basic Russian

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Operations Specialist

Responsibilities:

• Responsible for supporting Fixed Income Trading Desk in executing trades, daily reconciliation of trades and positions, reporting trades to FINRA and MSRB.

Confidential, Jersey City, NJ

Senior Advanced Specialist/Associate

Responsibilities:

• Balanced all blotters
• Reported all breaks to respective clients and client representatives
• Processed all clients’ requests, such as trade bookings, trade corrections
• Set up and updated settlement instructions for Government contra brokers
• Confirmed all Ex-Clearing trades
• Performed Root Cause Analysis - Liaise with Information Technology (IT), clients, registered representatives and exchanges to determine cause of breaks and developed solutions to prevent future breaks.
• Streamlined Operational processes, created, and upgraded procedures.
• Reviewed and worked with IT to implement requirements for NSCC, MSRB, and GSCC ‘Important Notice’ updates.
• Provided guidance and for clients to use our GCAS portal
• Provided expertise and support for cross-regional and inter-departmental to new consultants, summer interns, and employees.
• Analyzed and consolidated all the Break Reports, sent out the consolidated report to High Level Management, and hosted a cross-regional issues resolution conference call.
• Performed Risk Analysis and Compliance Evaluations for all processes and requirements changes.

Confidential, New York, NY

Assistant Vice President

Responsibilities:

• Built a strong team orientation within Confidential, integrating cultures from SLK and GS.
• Improved performance process ensuring continuous feedback throughout the year.
• Reviewed daily trade reports, and positions.
• Effectively resolved all trade discrepancies with clearing firm associates or contra side brokers.
• Inputted broker and market maker trade tickets for Options and Commodities
• Balanced Put and Call Option contracts, adjust customer and market maker positions in their accounts.
• Send and receive CMTA transfers from contra firms.
• Adjusted any market maker, customer or firm positions vs.
• Reconciled in house positions on expiration weekend, balanced contracts, and solved problems for expiration month on the same day.

Confidential, New York, NY

Operations Analyst

Responsibilities:

• Data Entry for Equities, Options, and Bonds.
• Verified and resolved Data Entry discrepancies.