CHRISTOPHER CAREY

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

Staten Island, NY 10312

718-***-****

Exceptionally well-qualified financial management professional with over 25

years experience in a variety of disciplines including Broker/Dealer and

Institutional Business looking for a challenging position which utilizes talents and

capabilities with growth opportunities.

Professional Experience

FIDELITY INVESTMENTS – National Financial Services, New York, NY

December 2010 –October 2013

Institutional Client Trade Support Specialist

• Resolved all bond and equity trade issues, uncompared trades, reconciliation,

confirmation, and

all settlement issues.

Monitored trade confirms on all Institutional customer street side trades.

Assisted all client service managers with Fidelity trading support issues such

as kick-outs, trade DK’s (rejections) and allocation accounts.

Educated Institutional clients on regulation inquires, exchange clearance and

clearing relationships.

Handled all DVP Prime Broker, street side fails on a daily basis.

COWEN AND CO, New York, New York

1996 to 2010

New Accounts/Cashiering Manager/Vice President (January 2007 –

October 2010)

Evaluated and approved all new account openings for the firm. (Signed off

confirming all required documents where received and in good order).

Managed the process of account information being properly scanned, and

account information being input into all required systems.

Handled all requests from the Middle Office on Sub Account openings and

ensured all requests were processed in a timely manner.

Foreign Account Tax Compliance Act ( FATCA ).

Evaluated and approved all Cash Management wire instructions and

confirmed all payments were processed timely and accurately.

Responsible for the reconciliation of all cash wire payments.

Develop and manage productivity and quality standards to optimize

efficiency.

Ensure department adheres to all audit policies and procedures.

Evaluate processes and automate when possible.

Responsible for hiring, training and supporting all service representatives.

Participated in the enhancement of the Internal Account Management

system.

Handled all internal audit inquiries.

Middle Office/Supervisor (May 2001 – January 2007)

Supervised the process of all manually input ACT trades (OTC and

Convertibles), processed corrections and reported of all transactions on

the NASDAQ workstation.

Reconciled and balanced proprietary and facilitation trading accounts.

Trained and assisted employees on all account reconciliation functions for the

domestic and listed desks.

Assisted traders in manually booking trades in order for confirmations to be

sent out to clients.

Dealt with Institutional customers on all RVP/DVP/Cash settlements.

Opened, maintained and closed customer accounts for the firm.

Focused on all areas of Middle Office functions including Domestic Oasys

and Global Oasys.

Worked with the Purchase and Sales department on all open issues including

OTC, Listed, Step-out and Step-in breaks on a daily basis.

Assist the ACT desk with same day clearing for broker-to-broker trades.

Expedited and maintained accurate reporting of trades to the NASDAQ tape

in order to reduce the amount of late trades.

Managed the processing of the monthly error report.

Handled all internal audit inquiries.

Trade Support Senior Specialist (January 1996 – May 2001)

Manually input all ACT trades (OTC and Convertibles), processed corrections

and reported all transactions on NASDAQ workstation.

Evaluated all trades done versus other firms to pinpoint, investigate and solve

any trade comparison problems that arise during the days trading

sessions.

Expedited and maintained accurate reporting of trades to the NASDAQ tape

in order to reduce the amount of late trades.

Worked with the Purchase and Sales department on all open issues including

OTC, Listed, Step-out and Step-in breaks on a daily basis.

PRUDENTIAL SECURITIES, INC., New York, New York

1992 to 1996

Trade Support Specialist (June 1992 – January 1996)

Supported firm traders by manually inputting all trades, processed corrections

and reported all transactions on NASDAQ workstations.

Manually reconciled trades via in house Trading and Act Clearing System for

OTC domestic and international equities.

Assisted trading and firm branches for all trade problems daily.

Option Representative (May 1990 – June 1992)

Processed all telephone option orders on various exchanges (American, NY,

Chicago, Philadelphia and Pacific Coast).

Manually matched orders in SOM (Security Order Match) system.

Dealt with over 200 firm branches for multiple types of corrections.

SHEARSON LEHMAN HUTTON, New York, New York

1987 to 1990

Municipal Bond Ticket/Distributor/Trading/Input Operator (October 1987 –

December 1990)

Distributed and picked up tickets from trading floor.

Coded tickets with in-house security numbers, dealer numbers, W.I.

information and other pertinent dates.

SKILLS

Windows, MS Office (Word, Excel), Internet, Domestic and Global Oasis,

Fidessa, Omgeo, Fbsi, Soes, Snet, Aces, Instinet, Beta and ADP. Knowledge of

DTCC and FED (JPM Chase) systems.

Contact this candidate