Richard J Auteri

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

East Brunswick NJ 08816

acpad8@r.postjobfree.com

732-***-****

SUMMARY:

Vice President of middle and back office operations. Extensive securities product knowledge for Equities,

Fixed Income, Options, Futures, Derivatives. Expert in Process Improvement, Strategic Planning, and Risk

Management. Experienced in all phases of Regulatory reporting and auditing to all major exchanges. Expert

in reference data for securities and clients. Subject matter expert (SME) for all of business enhancements,

including trading, middle and back office applications. This includes all phases of testing through

implementation. Highly skilled communicating to all levels of management. Seasoned Manager to work alone

or within a larger group.

PROFESSIONAL EXPERIENCE:

Volunteer 10/13-Present

• East Brunswick Senior Center assist in various duties.

• Coach East Brunswick little league baseball.

Morgan Stanley Smith Barney 9/2012-9/2013

Senior Specialized Consultant

Recruited to work as part of team integrating Morgan Stanley with Citigroup’s Smith Barney for the

ESOP group.

• Managed business requirements as we migrated from the old Citi platform to MSCO new

platform

• Superior communication skills interacting with senior management among our internal and

external clients

• Designed and implemented automation of participants’ share balances and related payments

issues

• Lead effort to specify functional requirements for the Stock Plan Group

• Main point of contact for MSCO’s Technology Group on all testing and enhancements: Created

business requirements, prepared test cases, conducted UAT

• Responsible for hands on requirements gathering, in addition to analysis on the group’s break

resolution progress

• Managed weekly meetings to monitor group’s progress

Melillo Associate’s 9/2011- 8/2012

Independent Consultant

• Business requirements gathering, analysis design/process workflow, write functional specification, Quality

Assurance, user training and implementation for trading desk, middle and back office applications

• Analysis of existing processes, documenting them and recommending solutions

• Created and reviewed all user requirements, design specifications and release notes for end-to-end delivery

of business functionality

• Defined and analyzed reporting requirements for front, middle and back office users

BARCLAYS CAPITAL, New York, NY 8/2010-8/2011

Vice President- Regulatory Reporting

• Managed all aspects of the trade reporting group. This included production, governance and the UAT teams

• Planned and managed analyses regarding, risk of the firm's internal infrastructure as well as applicable rules

for daily trading.

• Superior communication to senior management as we dealt with cleaning up Regulatory issues within the

firm.

• Managed tasks, timelines, deliverables as we focused on the validation and reconciliation of the firm's trade

reporting data

• Initiated and maintained a close working relationship with external clients to ensure that all changes and

issues were fully documented and implemented.

• Developed group’s current control processes by identifying additional requirements for the Transaction

Reporting HUB

• Developed a cohesive team that allowed for each member to grow by taking on greater challenges as projects

progressed

JP MORGAN SECURITIES INC., New York, N.Y. 1/1994 - 5/2010

Vice President – Brokerage Operations (3/96-5/10)

Trading Floor Support for Equities and Fixed Income

• Managed all business infrastructures including operational re-engineering, enhancement/improvements for

trading and clearing applications, industry initiatives, strategy, and trade processing flows

• Managed JP Morgan through three mergers (Chase, Banc One and Bear Stearns) by consolidating test

scripts with trading desk, technology, middle and back office operations

• Spearheaded the development and implementation of the “touch pad” trading system which automated and

improved the clearing side of the business resulting in keypunch errors being reduced by 85%

• Business requirements gathering, analysis design/process workflow, write functional specification, Quality

Assurance, user training and implementation for trading desk, middle and back office applications

• Analysis of existing processes, documenting them and recommending solutions

• Created and reviewed all user requirements, design specifications and release notes for end-to-end delivery

of business functionality

• Defined and analyzed reporting requirements for front, middle and back office users

• Proposed process solutions by providing recommendations for the best use of technology

• Documented, tested and analyzed data for new trading systems including Fidessa, Onsite and Brass

• Developed and implemented procedures and controls for front office, mid office and all other operational

areas

• Assisted operations in determining new business requirements such as creating a new program trading desk

• Liaised with IT overseeing test scripts and ensured that test results corresponded to the business expectations

• Managed Reference Data for all trade processing in the Equity product area

• Performed quality assurance testing by supervising the output of new data from updated test scripts for

trading, middle and back offices applications

• Instrumental in proposing and implementing ideas to reduce costs and increase operational efficiency

through systems automations and/or enhancements, such as recommending a “bundling application” for

executions which saved JP Morgan approximately 3 million/yr

• Produced and monitored data for risk management and financial control

• Liaison with traders and other operations departments to resolve clearance and settlement problems

• Solid understanding of industry flows and functions

• Involved with the Securities Industry Association (SIA) Committee for all street wide initiatives

• Budget planning and expense management for the business side of middle and back office

• Relationship Manager with Compliance, Internal Audit and outside vendors

• Expert user for SunGuard ( Phase 3 ) and ADP application

Manager - Purchase and Sales (1/94-3/96)

Managed all daily operations

Fidelity Investment 12/85-1/94

Supervisor of back office operations

COMPUTER SKILLS:

Microsoft Word & Excel

Fidessa

Onsite

Brass

SunGard (Phase 3,GMI)

ADP

EDUCATION:

St. Francis College

Business Administration

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