SUMMARY:

• Over 20 years Investment/Financial Operations Experience: Fixed Income, Mutual Funds, Equity & Bonds
• Competent in trading process for Mortgage, Government, Municipal, & Corporate Bonds, Preferred Shares, Units, Managed Accounts & Auctioned Block Trades, Step Outs, Option Trading, Listed Equity and Over The Counter Trading. And Regulatory Reporting.
• Proficient in Microsoft Word, Excel, & PowerPoint; Windows XP & Internet
• Proficient in Bloomberg, Reuters, Time & Sales

PROFESSIONAL EXPERIENCE:

Confidential, Baltimore, MD

FX Structured Drafting Operations Director

Responsibilities:

• Supervised functions performed by the team locally as well as oversight over outsourced processes.
• Monitored and oversight of daily workflows to ensure confirmations are prioritized accordingly.
• Prepared timely and accurate trade confirmations for the supported asset classes.
• Drafting outstanding confirmations for structured and bespoke FX Options and Forward Trades across various lifecycle events.
• Responsible for overseeing on - going operational risk management associated to the documentation of FX options and Forward Trade transactions.
• Management of incoming and outgoing queries with the team’s internal client base.
• Provide additional support through drafting of Master Confirmation Agreements and Novation Agreements.
• Work across various regions and departments to ensure timely resolution of drafting related queries.
• Monitored FX forward transactions submitted to DTCC to prevent inaccurate reporting, which could have potential regulatory impact.
• Manual trade reporting and updates to TRACE and MSRB / RTRS
• Investigated Oats rejects and mismatches
• Monitored consolidated foreign exchange contracts and positions sent to the Federal Reserve Bank
• Filed the Treasury International Capital (TIC) statistical reports
• Reviewed the firms’ best execution data statistics for Equity and Option trading daily.

Support Specialist

Confidential

Responsibilities:

• Responsible for the efficient and timely processing of Managed Money Fixed Income trades, while providing support providing cross-platform Fixed Income Trade Support for the Managed Money Trading Desk.
• Responsible for daily operational activities that ensure the trading desks are running at optimal capacity.
• Monitored various tools, workflows and email notifications to ensure trade breaks are researched and resolved to facilitate timely and accurate trade comparison for clearing and settlement.
• Full oversight and resolution of trade breaks.
• Worked with FED settlements to ensure all government trades match correctly.
• Responsible for trading account review, reconciliations and ensuring all P&L issues are resolved.
• Coordinated internally and externally to ensure that orders and trades are appropriately processed and all issues are identified and resolved.
• Processed trade amendments / corrections and ensuring amendments are accepted by the traders to ensure timely trade reporting, comparison and settlement.
• Correcting product set up in various trade capture/entry systems to ensure accurate product set up for trading.
• Worked with the Regulatory Reporting team throughout the day to ensure all potential trade mismatches are cleared within the expected timeframe as mandated by FINRA.

Senior Service Representative

Confidential

Responsibilities:

• Confidential acquired contract from Citi, continued all responsibilities as indicated below.
• Served as a Liaison between Financial Advisors, trading desks and vendors on all major Exchange Floors.
• Performed Trade Corrections & Setup Requests for all Security Products.
• Updated Trade Breaks between Exchanges and the Firm. Monitored Trades via various Trading Platforms.
• Investigated All Rejected Trades. Investigated and responded to branch status requests and price challenges and trade discrepancies.
• Updated Dividends and Splits/Reversals for all Option & Listed Equities.
• Updated Systems for New Securities, Symbol Changes and Corporate actions.
• Monitored order entry network, troubleshoot order entry problems, address order rejects.
• Investigated and make corrections as needed to trade breaks and open order discrepancy reports.
• Answering calls from exchanges and execution points and troubleshooting order related issues.

Confidential, Owings Mills, MD

Order Room Service Representative

Responsibilities:

• Liaison between Financial Advisors, trading desks and vendors on all major Exchange Floors.
• Updated Trade Breaks between Exchanges and the Firm.
• Monitored Trades via various Trading Platforms.
• Investigated All Rejected Trades. Investigated and responded to branch status requests and price challenges and trade discrepancies.
• Updated Systems for New Securities, Symbol Changes and Corporate actions.
• Investigated and make corrections as needed to trade breaks and open order discrepancy reports.

Fixed Income Service Representative

Confidential

Responsibilities:

• Processed trades for settlements and monitored unsettled trades and resolved issues for the money managers.
• Updated trades as necessary manually booked or processed through web-based systems.
• Balanced of cash and positions.
• Monitored system rejects for web-based systems.
• Interacted with other departments to facilitate problem resolution.
• Provided trade support for Fixed Income Capital Markets during the transition and acquisition.

Confidential, Baltimore, MD

Fixed Income Trade support Service Representative

Responsibilities:

• Processed trading tickets utilizing ADP & Bloomberg.
• Resolution of trades, contract breaks & problems between broker dealers, trading desks, & other operations departments.
• Requested & verified security setups.
• Performed cancels & corrections to trades and accounts on trade date and as of
• Balance Traders Inventories and P&L accounts on a daily basis

Confidential, Owings Mills, MD

Central Operations Support

Responsibilities:

• Monitored accuracy and diligence of work completed. Client account maintenance.
• Set-up new accounts for shareholders
• Processed checks for investment on NCR machines.
• Call shareholders and banking institutions for verification.
• Applied checks to company 401K accounts.