John J. Hasiak

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

Chester N.Y. 10918

(H) 845-***-****

(M) 917-***-****

E-Mail: accedc@r.postjobfree.com

Professional Overview

Highly regarded securities operations professional. Demonstrated areas of

expertise have included Equity Securities, Equity Options, Money Market

Instruments, Government Book Entry Securities, Corporate Bonds (euro and

domestic) and Foreign Exchange. Have performed in the institutional

operations and professional trading arena; servicing Hedge Funds,

Investment Advisory accounts, Proprietary Trading accounts, Professional

Retail Traders, Institutional Sales Desks, Sponsored Access trading

relationships and Correspondent Firms. All accomplished in both a middle

office and self clearing managerial capacity. Possess excellent

managerial, client service, analytical, organizational and people skills.

Professional Experience

RMK Consulting Inc. / Bank of New York Mellon, New York, New York

4/13 to 10/13

Senior Business Analyst

Team member at Bank of New York Mellon providing clearing and settlement

knowledge to support the testing and implementation of the new "BDC"

platform. BNYMellon is in the process of sun-setting their legacy GSCX and

CLASS systems.

. Provide subject matter expertise for clearing and settlement related

defects and inquiries.

. Validate business requirement documents ensuring they follow sensible

clearing and settlement protocols.

. Partner with the development and QA teams for the purpose of creating

functional test scripts for use by the UAT business group.

Sungard Brokerage & Securities Services, LLC, Jersey City New Jersey

4/01 to 5/12

Director Clearing, Settlement and Middle Office Operations (4/09 to 5/12)

SBSS is a self-clearing Broker Dealer whose daily trade volume exceeds

several million executions totaling over 300 million shares. Using highly

sophisticated trading and operations systems, the clearance of this volume

is accomplished with a staff of seven people.

. A member of the management team tasked with working on the processes

necessary for client on-boarding related to the SBSS correspondent

clearing business. This entailed the analysis of existing procedures

and work flows. Identifying gaps and providing documentation for the

development of the necessary programming and support to successfully

on-board new correspondents. All changes and developments thoroughly

tested across all touch points prior to implementation.

. Direct management of P&S, Cashiering Operations, Dividend and

Reorganization, Margin, New Accounts, Client Services and

Institutional Middle Office Operations. Actively engaged and hands on

in the daily reconciliation of P&S trade breaks as well as the

reconciliation of open DVP and cashiering discrepancies.

. Worked very closely with senior management on the development of

strategies in bringing new product roll outs to market.

. As a member of the Risk / Limits Committee, responsible for reviewing

new clients for trading limit recommendations to senior management.

Chaired a daily morning risk call whose purpose is to review all

operational, transactional, technical and other potentially harmful

issues related to firm's day to day business.

. Daily Interaction with the SBSS compliance team managing all

operations related issues related to compliance, AML and KYC.

. Managed the development and implementation for IT projects related to

middle and back office enhancements in conjunction with the

development and technical staff. This included writing and mapping of

requirements as well as testing all enhancements prior to their

implementation.

Assent LLC: Director of Institutional Operations (6/04 to 4/09)

Responsible for all facets of Institutional Operations. This position

reported directly to the Managing Director of Operations. Responsibilities

which fall under this position include:

John J. Hasiak

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. Development and implementation of the institutional operations and

systems support structure used throughout the firm. Hands on

involvement working with the IT and development staff to identify the

requirements for starting up the Assent institutional sales desk.

First from a middle office perspective and then adding back office

functionality. Fully testing all developments and enhancements prior

to implementation.

. Creation of all executing institutional accounts (both investment

advisory accounts and prime broker accounts).

. The monitoring of open DVP items (from initial trade booking thru

settlement of the transaction). This includes risk management related

to trade affirmations, open fails and market exposure.

. Daily and continuous communication with customer accounts and sales

personnel regarding a vast array of business related topics.

. Additionally this position is responsible for coordinating with

cashiering operations and the P&S department all activity related to

the clearance and settlement of institutional transactions.

Andover Brokerage LLC: Director of Operations (4/01 to 6/04)

As Director responsible for developing the necessary operations support to

bring Andover's customer professional trading accounts into a self clearing

environment. This included identifying and implementing the necessary IT

and personnel support necessary for successful transformation. In addition

to managing the day to day operations of the firm, the position required

regular interaction with senior management and the IT development staff.

Andover was purchased by Sungard Data Systems in March of 2003.

Refco Securities, LLC, New York, N.Y.

1/01 to 4/01

Consultant. Worked on a number of operations related projects which

entailed the reconciliation of cash and securities. This work was

accomplished across the spectrum of equities and fixed income products,

both domestic and foreign.

Sharpe Capital Inc., New York, N.Y.

8/94 to 10/00

Vice President Operations

Responsible for all middle office support related to the firms

Institutional Sales (Hedge Funds and Investment Advisory accounts),

Proprietary Trading, OTC Market Maker business, Fixed Income Trading and

Retail Sales. Other responsibilities include reviewing the daily P&L

attributed to each profit center, coordinating the firms facilities and

communications and the hiring of all administrative and operational support

staff. Staffing consists of twenty-two exempt and non-exempt employees.

Functions supported across all product lines include:

. Resolving all P&S trade breaks in a timely fashion.

. Ensure all margin requests are acted on within the proper

time frames.

. Timely resolution of all Receive and Deliver problems.

. Trade processing responsibilities for all Institutional

Sales groups.

. Daily balancing of all firm trading positions.

. Coordinating all new account activity including Prime

Broker paperwork.

Spear Leeds & Kellogg / LIT America Inc.

4/89 to 8/94

Vice President Capital Market Operations

Responsible for all facets of Capital Markets operations. Products

supported include, Convertible Arbitrage trading desk, Government Repo

desk, Fixed Income sales desk and Foreign Exchange trading desk. Functions

supported on a daily basis included trading position reconciliation, P&S

trade break resolution, P&L balancing, wiring of funds for the settlement

of all FX transactions and the resolution of all open Receive & Deliver

problems.

Licenses: - Series 7, Series 63, Series 24 and Series 55

Education: - Completed comprehensive management courses, including

Action Planning, Effective Presentation Skills, Essentials

of Effective Management and Interpersonal Management.

- Completed two semesters at Bernard Baruch College.

Concentration in marketing, economics and statistics.

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