James Bobian

* ****** **** *****, *********, NY *0566 PHONE 917-***-**** E-MAIL: ab9dpg@r.postjobfree.com

Profile

Senior Back Office Operations Specialist with extensive experience in Equity and Fixed Income Trade

Support and comprehensive knowledge of the P&S Department.

Excellent communication, organization, research and customer relationship skills.

Demonstrated aptitude for team building and adaptability to a changing environment.

Highly self-motivated, goal oriented and conscientious.

Strong work ethic with the ability to multi-task, prioritize and work in a dynamic, deadline-focused

environment

Proven analytical and problem solving abilities.

Experience

April – Present Morgan Stanley Smith Barney Jersey City, NJ

Purchase & Sales \ Equities & Fixed Income Analyst: Temp

Analyze, identify and document trade discrepancies in break monitor, obligation warehouse and exception

reports.

Communicate trade discrepancies to their respective trading desks.

Communicate with contra brokers to resolve questioned trades.

Utilize various internal applications to adjust trade details; perform street side corrections utilizing DTCC

clearing systems.

Perform process assurance and quality control tasks.

Utilize NSCC important notices to ensure an accurate security master database.

Prepare trade status and volume reports.

Extensive interaction with Settlements team to ensure resolution of unsettled Ex-clearing broker to broker

trades.

Monitor and ensure resolution of all applicable corporate bond suspense account position and balances.

August - October 2011 MF Global USA New York, NY

Purchase & Sales \ Fail Control Associate:

Resolved all trade discrepancies for Fixed Income & Equity activity throughout the full life cycle of the

trade.

Troubleshoot the root of all trade breaks and promptly advised each respective desk/client on the cause of

the break.

Balanced Operational Suspense/Control Accounts.

Created and distributed Fail Reports daily and liaised which each respective desk to minimize aged open

items.

Monitored trade comparison platforms such as ACT, OCS and Obligation Warehouse and took action as

necessary.

Reconciled Prime Broker activity for both Agency and Institutional transactions utilizing DTC’s PBS

system.

May – August 2011 Morgan Stanley Smith Barney Jersey City, NJ

Purchase & Sales \ Fixed Income Analyst: Temp

Analyzed, identified and documented trade discrepancies in break monitor, obligation warehouse and

exception reports.

Communicated trade discrepancies to their respective trading desks.

Communicated with contra brokers to resolve questioned trades.

Utilized various internal applications to adjust trade details; performed street side corrections utilizing

DTCC clearing systems.

Performed process assurance and quality control tasks.

Utilized NSCC important notices to ensure an accurate security master database.

Prepared trade status and volume reports.

Extensive interaction with Settlements team to ensure resolution of unsettled Ex-clearing broker to broker

trades.

Monitored and ensured resolution of all applicable corporate bond suspense account position and

balances.

2001 - 2010 BNY ConvergEx New York, NY

Purchase & Sales Supervisor:

Effectively organized, appointed and supervised 4 members of the P&S department responsible for trade

processing, comparison and reconciliation of the firm’s trading activity while conveying a useful sense of

leadership and assertiveness.

Experienced and skillful in handling all aspects of P&S break resolution from T+1 through T+4.

Exhibited exceptional versatility, organizational and prioritization skills in performing job functions for

multiple trading desks (Block, Electronic, Fixed Income, Program, and Transition Management).

Managed and reconciled Firm’s Suspense Control accounts, Accommodation accounts and Error

accounts.

Provided exceptional support to clients and trading desks regarding settlements, trade processing and

clearing.

Worked with the development team to create solutions for problem resolution, streamlining processes and

improving P&S efficiencies. Key member of the team responsible for the creation, testing and

implementation of the new Online Break System.

1997 - 2001 Lewco Securities Corp. Jersey City, NJ

Purchase & Sales Supervisor:

Identifying and reporting T+1/T+2/OTC/NYSE/AMEX breaks to trading and trade support departments

via Online Break System. Monitor breaks for Regional Stock Exchanges and balancing of accounts.

Monitor ACT, Risk Management, and OCS system.

Settlement date balance and reconciliation. Monitor uncompared suspense accounts for management.

Step-Out, Cash/Next day trade comparison and balance.

Create Daily volume and Breaks report for management.

Trade corrections and customer service. Heavy phone volume.

Work with management on all special projects on all system updates.

Education

Baruch College New York, NY

Concentration in Business Administration

SKILLS

Proficient in Windows XP, MS Word, MS Excel, Outlook, OCS, ADP/Broadridge, NASDAQ ACT, RTTM,

DTCC PC Web, Spool View Reports, Oasys, Obligation Warehouse, Sungard Phase III

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