JOSEPH M. PEPE

*** ********* ****** • Staten Island, New York 10306

HOME: (718) 351 - 8294 • MOBILE: (908) 642 - 2865 • acqh23@r.postjobfree.com

OBJECTIVE

To obtain a challenging, growth-oriented position within a financial setting utilizing relevant education and training as well as experience gained within diversified settings.

QUALIFICATIONS

Well versed in all aspects of new account administration, fee analysis, cash/securities processing and client relations.

Excellent analytical, computational, troubleshooting and problem resolution abilities.

Offer effective organizational, interpersonal and oral/written communication skills.

Establish and maintain productive relations with superiors, co-workers and clients.

Computer Skills: Proficient in Microsoft Word, Excel, PowerPoint, Access, Outlook, Dalcomp, Start, Cass II, Metavante, Trustdesk, CPS, AIS as well as a variety of Internet applications.

EDUCATION

FORDHAM UNIVERSITY, Bronx, New York

Bachelor of Arts Degree – Mathematics & Economics, 2006 Cumulative GPA: 3.4 Major GPA: 3.3

Deans List, 2002 to 2003; General Assembly - Commuting Students Association

EXPERIENCE

MORGAN STANLEY SMITH BARNEY – New York, New York

Financial Analyst, July 2007 to February 2015

Promoted from Analyst to Associate in January 2012

Selected Achievements:

Collaborate with upper management to develop, implement and update departmental procedures/policies.

Actively worked with outside vendor to improve efficiency and automated processes.

Established various points of contact with outside departments thereby improving communication and efficiency.

Played an active role in fee audits, ensuring a smooth-running operation. Handled audit remediation.

Fee Billing Responsibilities (March 2010 – February 2015):

Process fee transactions and ensure accuracy of fees for all accounts. Calculate and charge pro-rated fees for new accounts. Calculate compensation for financial advisors and coordinate with the investment team to determine fees based upon investment program.

Monitor fees related to market value and update accordingly.

Update fee schedules and in compliance with investment program changes. Research and resolve discrepancies pertaining to fees and assist brokers in handling client complaints.

Charge fees for real estate, life insurance and trust settlements as well as annual tax preparation.

Perform fee analysis, calculate adjustments and update fee schedules and broker commissions on trust accounts on an ad hoc basis.

Reconciled trust revenue and FA compensation to the general ledger provided by FA compensation on a monthly basis.

Invoiced accounts on a quarterly, annual, or ad hoc basis. Established a receivable for generated invoices and cleared the receivable when the payment was collected. Reconciled fee receivable account on a monthly basis.

Calculated accruals for accounts invested with the Morgan Stanley Investment program.

New Account Administrator Responsibilities (July 2007 – February 2010) :

Open new accounts utilizing both trust and brokerage computer systems. Maintain account plating at the request of investment and trust officers. Set up interested parties as statement recipients.

Facilitate the transfer of assets including stocks, bonds, mutual funds, annuities, managed futures, options and cash from outside banks and branches. Provide delivery instructions, legal documentation and related paperwork as requested by the trust company on behalf of the client.

Ensure that assets are transferred to the account on a weekly basis and provide status updates to Trust Specialists.

Reconcile accounts by asset to confirm proper funding of accounts.

Additional Responsibilities:

Transfer assets at the request of the trust investments unit and financial advisors. Process income transactions.

Ensure timely and accurate processing of trades on a daily basis.

Work with the reconciliation unit to ensure that both the trust and brokerage systems are consistent for statement accuracy. Run statements as requested by the trust officers..

Supervise and oversee new trainees ensuring adherence to policies and procedures.

JP MORGAN CHASE – New York, New York

Trading Assistant/Data Entry Clerk: January 2007 to June 2007

Input new account data and updated daily utilizing customized database. Modified account data as determined by traders.

Entered daily and weekly municipal bond rates; sent rates to clients as requested.

Logged in data for commercial paper trades. Utilized various computer programs to determine interest, commission and total par values. Responded to client telephone inquiries and directed calls appropriately.

Maintained a clear and concise file management system.

Performed audit preparation as needed, ensuring accuracy.

REFERENCES FURNISHED UPON REQUEST

Contact this candidate