RAFAEL J. DEJESUS

*** **** **., **********, ** **093

201-***-****

acqews@r.postjobfree.com

PROFESSIONAL SUMMARY OF QUALIFICATIONS:

SEASONED OPERATIONS PROFESSIONAL SPECIALIST

Dividends Domestic & International Corporate Actions-Domestic & International Escheatment, Federal / State Stock / Legal Transfer Reconciliation – Stock Record and Cash. Specializing in Reconciliation, research and structured daily responsibilities and requirements.

TECHNICAL SKILLS / SYSTEMS:

ADP,DTC. MS Word, Excel, Lotus123, Federal Book Entry, Euroclear, Swift, Cedel, Euro Dollars, Global Plus, Beta, SEI as well as other operating systems.

EXPERIENCE

Management -

First Union Bank – 2002 -2003 - Lost Certificate Team Leader – Cashiering Dept.

Managed a team of five administrators whose function was the recovery of lost certificates. Provided management with weekly status reports. System used by First Union Bank was ADP.

TJ Raney/Little Rock – 1983-1985 - Stock Record Specialist/Project Manager

Responsible for balancing the daily stock record and making the necessary adjustments to the firm’s accounts and to the customer accounts. Was promoted to project manager overseeing 12 consultants whose duties were processing P&S transactions, reconciling and processing dividends as well as stock record breaks. Produced weekly status reports for management.

Oppenheimer & Co. – 1981-1982 - Stock Record Manager

Managed a dept. of 8 stock record clerks whose responsibility was to correct the daily stock record transaction differences on the ADP system. And oversee physical box counts.

Dean Witter Reynolds – 1979 – 1981 - Stock Record Team Leader/Project Manager

Managed a team of consultants whose task was to research stock record and dividend differences on the ADP system. Provided management with weekly progress reports.

Auchincloss, Parker and Redpath/Thomson&McKinnon – COD Supervisor – Statement Corrections Supervisor

After two years as a margin clerk, was selected to develop and manage the COD (Settlements) area of the Margin dept. The basic duties of that area were to deliver or receive securities vs payment, to contact the branch offices in the case of dk’s to receive the correct information needed for delivery or receipt of securities. Also, to file for extensions with the N.Y.S.E. when needed.

The function of the Statement Corrections Dept. was to respond to customer and branch office inquiries regarding differences in their monthly statements dividends, stock position, bond interest etc. These inquiries were researched and corrections were made by the dept. when necessary or in the case when corrections could not be made by the Statement Corrections dept., the relevant dept. was advised and follow up was done to assure that the correction was made. As a member of that dept. my function was to research and make corrections or advise the dept. responsible for the error and follow up to assure that the correction was made. As supervisor, I was responsible for assuring that inquiries were followed up and corrections were made, when needed, on a timely basis. Also, to provide management with reports reflecting the number of inquiries received, the number needing correction and the source of the error.

Thomson McKinnon, also, established a conversion team, of which I was a member. This team was responsible for the oversight of the various mergers of which the company was a party. That responsibility included the smooth transition of the company’s records to our system. This included correcting differences due to the conversion stock, cash, customer inquiries etc.

Corporate Actions -

JP Morgan Chase – Houston, Texas – 2000 – 2001 - Financial Services Operations Specialist

Processed corporate actions, mandatory and optional, on the Global Plus system.

Equiserve – 1996 – 1998 – Financial Services Operations Specialist

Responsible for reconciling the company’s security positions to those of the companies for whom they were registrar, including DTC. Reviewed those findings with both the company auditors and the outside auditors.

Settlements –

Deutsche Bank –1995 - Financial Services Operations Specialist

Responsible for the settlement functions of Italy and Spain via Euroclear and in local currency. System used by company was ADP.

Citibank - Settlements Specialist – 1991 - 1992

Responsible for the settlement functions of Mexico, Venezuela, Chilé and Colombia. Processed FX transactions on the Pegasus System in order to settle trades for the Global Dept.

Dividends and Reconciliation –

Citigroup – 11/12 – 3/14 - Global Trade Processing Dept. - Financial Services Operations Specialist

Was engaged in a project to reconcile ETF transactions in customer and firm accounts from 2007 to 2009. The objective was to determine that the processing was done correctly and there were no funds owed to other institutions or to Citigroup. If it was determined that funds were owed to Citigroup, claims would be sent to those institutions. Or funds would to be sent to those institutions, if it were to be determined funds were owed

Citigroup – 09/07 – 08/12- Owens Mills, MD. - Global Dividend Dept. - Financial Services Operations Specialist Processed International dividend payments for each pay date on the Parris System. Researched and corrected differences resulting from overpayment or underpayment entries. Balanced the stock record, record date positions, processed claims for the under payments and claims due to overpayments, made the necessary journal entry corrections to customer accounts and firm wide accounts. Processed stock loan workups which involved crediting or debiting the stock loan account with funds as a result of contractual stock loan rates negotiated vs. other brokers. Responsible for researching, correcting and making claims on aged International dividend and fixed income interest payment differences from 2006 to the current date. Effective and efficient recovery of outstanding claims from banks and brokerage firms in South America and Central America. Efficiently recovered and allocated funds due from stock record position for receivables from Nicaragua, of nearly $5,000,000.00 reporting year of 2005 to 2010.

Bank of New York - 6/06 - 9/07 - Global Income Dept. - Financial Services Operations Specialist Balanced the record date stock record position on the firm’s PSS system. Processed dividend and P&I payments to customer accounts. Researched and corrected differences due to underpayments and overpayments. Processed claims on the underpayments and overpayments

Morgan Stanley 8/05 – 5/06 - Dividend Department - Financial Services Operations Specialist Responsible for collection and allocation of dividend charges from a $500,000.00 suspense account due to DSS charges. Balanced the stock record position, using the ADP system, for each of the securities making up the suspense difference. Researched the DSS charges which were processed against Morgan Stanley but not substantiated by documentation. Submitted DSS claims to brokers with all the supporting documentation. Submitted a daily progress report to management.

Wachovia Securities- Richmond, Va. - 8/04 - 5/05 - Global Dividend Department / Train the Trainer Project

Processed international dividend payments to the customer accounts on pay date using the BETA system. Balanced the

stock record, record date position for those securities having differences. Responsible for researching, correcting and

claiming differences resulting from that processing. Balanced the daily reconciliation of the Money Management Fed Wire

account. Was enrolled in the Wachovia Train the Trainer Program to learn and teach the Beta and Smartstation systems to

the branch offices. Trained branch personnel on those two systems. Reconciled FCC’s mutual fund position differences and

made the adjusting entries. Researched and corrected Pips rejects. Entered trades into the firm’s system.

Bankers Trust – 1994-1995 - Global Reconciliation Specialist

Responsible for the securities reconciliation of the daily Cedel proofs. And the Globe net system vs. the overseas

accounting system (both stock and money).

Bank of America/Nations Bank – Dallas, TX. – 1993-1994 - Stock Record Specialist

Responsible for reconciling stock, cash and suspense accounts and making corrections to the stock record.

ING – 1992 - Stock Record Specialist

Responsible for the daily reconciliation of the stock record vs DTC, Euroclear and

all failing positions.

First Fidelity Bank – 1987-1990 - Bond Interest Specialist

Responsible for reconciling the aged bond interest differences for the municipal bonds for which the bank was DDA. And making the necessary adjustments to the banks accounts.

Morgan Stanley – 1986-1987 - P&I Specialist

Responsible for processing GNMA and FNMA P&I to customer accounts. Responsible for reconciling the firm’s aged P&I differences and making the necessary adjusting entries.

Bank of America – San Francisco, Ca. – 1985 -Stock Record Specialist

Responsible for reconciling stock, cash and suspense accounts and making corrections to the stock record.

Merrill Lynch – 1982-1983 - Financial Services Operations Specialist

Responsible for setting up and implementing new control procedures in the Legal Transfer Dept. Researched legal transfer differences, Municipal Bond Receive and Deliver, GNMA, P&I, D.D.A. and stock record differences. Transferred to escheatment of funds and stock to states and reclaiming funds and stocks from states when customers reclaimed said funds.

Paine Webber Inc. – 1980-1981 - Stock Record Specialist – Responsible for resolving and adjusting the daily breaks on the daily stock record.

Other Experience –.

UBS / Paine Webber - 4/04-8/04 - Compliance Department – Financial Services Operations Specialist

Reviewed customer accounts to determine if any were in violation of SEC, NYSE and NASD regulations. Produced reports

that listed each account with the possible violations. Contacted the branch managers in order that they could correct the

violations. Provided management with progress reports.

Wachovia Securities, New York, NY - 12/03-3/04 - Mutual Funds Breakpoint Analyst- Consultant

Performed analysis of breakpoint calculations and documented assessment for the SEC and NASD. Captured trade data and

valuation information for standardized analysis. Reviewed the perspectives for aggregation and accumulation purposes.

Determined if customer accounts were due refunds as a result of being overcharged. Liaison with fund companies on

breakpoint legality issues.

Citibank – 2000 - Y2K Certification Specialist – tested and scripted for the Escrow Division of Citibank to carry -out user acceptance testing.

Merrill Lynch – 1996 -Derivatives Settlement Specialist –Responsible for researching and correcting differences in the derivative accounts of their Global Operation’s area.

Bank of America – 1995 - Financial Services Operations Specialist - Reviewed the various GNMA deals to insure that each was in compliance with the governing documents

Citibank – 1993 - Money Market Specialist – Responsible for posting and reconciling daily trades to customer accounts.

EDUCATION

St. John’s University

New York Institute of Finance – Margins and Cashiering.

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REFERENCES – Upon Request -

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