David Alan Stepeck

*** ****** ***** ****

Oxford, Connecticut 06478

203-***-****

ab9ofy@r.postjobfree.com

Summary Eighteen years experience in Investment Banking working in and

managing Commission Management/Soft Dollars, Trade Support, OTC

Derivatives, Cash Management, Reconciliation, Client

Relationship Manager (CRM), Client Onboarding, Accounts Payable,

Insurance, 401k's, Prime Brokerage, Settlements, Confirmations

and Trade Capture teams.

Registered Representative: Series 7, 55 and 63

085 School Business Manager Certification with state of

Connecticut

Experience UBS Investment Bank

Stamford, Connecticut and New York, New York

October 1998 - September 2011 (paid until June 2012)

Front Office/Trading Floor Operations: Associate Director

. Research, create and submit detailed 'requests for proposals'

(RFP's) to potential clients regarding transition and correspondent

brokerage products in order to attract $18mm in new business to

UBS.

. Manage and retain strong client relationships with approximately

two hundred and forty (240) clients, which generate more than 6

million USD in commission and purchasing credits.

. Create and approve budgets for client commission expectations and

deficit balances, desk headcount, project work and IT web

enhancements.

. Approve and manage vendor research services, payments, accounts

payable, statements and reconciliations for clients.

. Support strong trading relationships with over 5,000 asset

managers, hedge funds and institutional clients worldwide while

acting as a liaison between trading desks, clients and back office.

. Responsible for in house web tool creation, enhancements and

testing while incorporating commission aggregation software

platforms Cogent, Instinet, Liquidnet, ITG and Investars.

. Confirm and reconcile front office equity and interest rate OTC

options and swap trades on a daily basis.

. Draft, review and deliver all OTC confirmations and ISDA agreements

while managing the control and regulatory compliance functions to

mitigate risk.

. Confirm and facilitate all premium payments with clients and

counterparties.

. Confirm and facilitate all physical settlements with clients and

counterparties, and their corresponding agents.

. Support and cooperate with local sales and trading desks to insure

timely execution of all trades, settlements and executed

confirmations.

. Examine all open trades on a daily basis to determine in and out of

the money positions, while expiring/exercising all positions at the

close of the market(s).

. Improve existing procedures and processes while making enhancements

to existing programs and databases. Use Kaizan visual management

tools for continuous improvement.

Paloma Partners Management Company/ London Global

Securities

Greenwich, Connecticut and London, England

November 1995 - October 1998

Senior Purchase and Sales Director

. Trade and coordinate all foreign exchange trades from the

monitoring of forward positions, by verbal and document

confirmation, to the instruction of currency movements on fixing

date.

. Instruct through agent banks and fed wire, receive and delivery

movements of fixed income securities and mortgage-backed

certificates, including repurchase agreements.

. Process daily trade activity which includes trade input into

database, communication with trading groups and the reporting of

trades to prime brokers.

. Act as a liaison between prime and executing brokers to insure

timely trade settlement; this includes retrieval of all trade

confirmations.

. Reconcile/amend equity, bond, futures and cash positions daily.

Aetna Life and Casualty Company

Hartford, Connecticut

August 1994 - November 1995

Quantitative Equity Analyst

. Responsibilities included the development and maintenance of

databases and programs relating to multi-factor stock selection

models, asset allocation trading disciplines, and automated trading

practices. Performed time series research on historical databases

and analyzed for trends and opportunities in the market. Assist and

support managers in portfolio optimizations using quantitative

investment disciplines while at the same time being a resource of

historic and current financial data to the trading desk and

management.

Education Clarion University of Pennsylvania

Bachelor of Science Degree in Business May 1994

Major: Finance, with concentration in

investments and capital markets

Minor: Economics

Computer Experience

. Proficient in the use of Bloomberg and Reuters financial databases,

DTC, web

applications, MS Word, MS Windows, and Excel on

both IBM and Macintosh platforms.

Registered Representative

. Series 7, 55 and Series 63 (New York and Connecticut)

. 085 School Business Manager/CFO Certification

References: Available upon request

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