Manager Operations

GUY T. AMATO

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

Colts Neck, NJ 07722

Phone 917-***-****

SUMMARY:

. Brokerage operations manager with 30 years' experience in all areas of

institutional settlements with proven leadership, motivational and

communication skills.

. Personal qualifications include technical knowledge, development and

management of staff, identifying creative solutions to difficult

problems, and the ability to respond proactively to industry change.

PROFESSIONAL EXPERIENCE:

GTA ASSOCIATES, INC, Staten Island, NY February 2012 to Present

President; Consulting - Financial Services and Solutions

. Self employed consultant providing Financial Services Solutions to

clients.

BROADRIDGE FINANCIAL SOLUTIONS, Jersey City, NJ February 2012 to

July 2012

Consultant - Settlement and Clearance

. Engaged, as a Consultant, with the client to set up a Settlements and

Clearance Department and structure their business from a correspondent

platform and onto a self-clearing platform. Responsibilities included:

. Analyzing and documenting their current state workflows, systems and

processes

. Incorporating their current state workflows, systems and processes

into their future state. This was achieved by mediating between the

clients project team and IT department with the pertinent Broadridge

personnel

. Developing a complete Clearance and Settlement platform by creating

SCAN needs and their associated B1 card status'

. Completely trained the clients staff on user functionality

. Due to the constant overlap of impacts with Settlements and Clearance and

several other areas of operations and trading, there was a need for

constant analysis, communications, development, enhancements and/or

elimination etc. of all current and future states workflows and processes

BNP PARIBAS, New York, NY 2008 to 2011

BANC OF AMERICA SECURITIES, LLC, New York, NY 2004 to

2008

Banc of America Securities was sold to BNP in 2008

Vice President; Senior Operations Manager

. Oversee all aspects of the Settlements and Clearance Department (DTCC,

NSCC & Treasuries), Fail Control, Buy-Ins, CNS, Settlements, Prime

Brokerage Services and overall Cage Balancing on DTC, NSCC and ADP.

. Assigned as 'Authorized Signatory' for Fed wire transfers and other

pertinent documentation.

. Also was the 'point person' for projects, technology enhancements as well

as 15c3 reserve inquiries relating to cashiering. Also was responsible

for preparing all responses to FINRA inquires.

. Managed a staff of 16 responsible for the following:

. Cash Management and Funding projections for both USD and currencies in

40+ global markets

. Funding trade input and settlements directly into Calypso

. Arranged Finance / Enhanced Prime Brokerage Cashiering - Settlements

and Funding

. Fail Control:

. Aged Fails

. Ensure all fails are addressed and resolved in a timely fashion

. Ensure all open items are delivered out daily

. Create a weekly MIS report of aged fail status'

. RVP / DVP Reconciliation

. Responsible for daily resolution to breaks (no name accounts,

share and / or money breaks) in institutional RVP / DVP accounts

. Responsible for daily resolution on Broker to Broker fail breaks

(share and / or money breaks)

. Ensure settlement of "Same Day Trades"

. Buy-Ins

. Responsible for the initiation of outgoing Buy-ins on aged open

items and short-side positions

. Ensure firm coverage on incoming Buy-ins

. Implemented a Buy-in execution allocation process

. Memo Seg Releases:

. One of only three people in the entire firm who had the

authorization and ability to analyze and release memo SEG in each

when applicable

. Settlements (DTCC):

. All aspects of settlements including Prime Broker transactions

. Ensure all eligible trades on file are delivered and monitored for

settlement. With special attention to trades of $10mm in value or

more

. Reconciliations:

. CNS Reconciliations

. Balance DTCC

. Stock Record Breaks

. Firm OB

. Prime Broker business from S-1 forward

. Was the point person for both internal and external auditors and

responsible for 204T monitoring and reporting.

DEUTSCHE BANK SECURITIES, INC., New York, NY 1998 to

2004

Vice President / Cashier

Responsible for a staff of 22 Permanent and 6 Consultants which include the

following:

. Fail Control:

. RVP / DVP Recon

. Face to Prime Broker desk for support and settlement of trades

. Settlements (DTCC):

. All aspects settlements and clearance

. Prime Broker Flips

. Syndicate settlements

. Security Processing (Physical):

. Treasury settlement through BONY

. Legal / restricted transfers

. Instrumental in converting books and records from ADP to an In-House

system. (eSpear)

. International Cash Management

. International Cash Management for Currencies in 45+ global markets

In addition to the above, was also responsible for budgeting, Bonus pay out

and staff OT monitoring, graduate trainee and intern training and all

aspects of staffing within my departments.

JEFFERIES AND COMPANY, Jersey City, NJ

1997 to 1998

Administrator

. Responsibilities included all types of transfers (Legal, 144a, regular).

All aspects of Buy -In dept. Monitoring firm trading positions, strong

contact with corporate executives, traders and trustees for retrieving

pertinent documentation for all legal transfers of "High Net Worth"

securities. Work closely with department manager on all syndicate deals.

Exercising options, facilitation of mutual fund movements for customers

(e.g. position movement, fed - wire payments)

NATWEST SECURITIES CORPORATION, New York, NY 1992 to 1997

Operations Manager (1994 to 1997)

Supervisor (1992 to 1994)

. Fully responsible for a staff of five employees. Oversee all aspects of

RVP/DVP department (DTC & NSCC), Syndicate settlements, I.D. Department,

Fail control, Buy - in, CNS, Cash management, Settlements, and overall

cage balancing on DTC, NSCC and ADP. Authorized signatory for Fed wire

transfers and other pertinent documentation.

. reconcile New York books to London books daily.

. Involved in coordinating T+3 Settlements.

. Involved in ADP audit of Natwest to enhance the systems' operation

capabilities in preparation for our section 20-audit application.

. Fully responsible for a staff of seven employees. Oversee all aspects of

operations for the Domestic and International security lending

department. Have supported a book balance that has tripled in a period of

approximately eight months.

. Involved in high level meetings regarding the firms' business direction

and how it affects the firm as a whole. Constant communication with

overseas to keep reconciliation process flowing smoothly. Daily

communication with sales discussing issues or enhancements.

. Involved in the conversion of Loanet to K-Tek and the implementation of a

program to stream - line manual involvement which will decrease the

amount of errors and the firms exposure in financing them.

. Coordinated disaster recovery decision when system crashed with no loss

in productivity.

. Responsible for startup of International security lending operations in

the firm and on Loanet.

. Initiated security and control on Loanet by giving the security lending

sales team inquiry access only, and removing their input capabilities.

. Daily management report monitoring counterparty credit limits.

COMPUTER SKILLS:

Lotus Notes, DTCC (PTS and PBS), ADP (Broadridge) CAGE III, ADP

(Broadridge) BPS, Loanet, eSpear, Calypso

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