Management Sales

C HR ISTOP H E R J. H UG H ES

914-***-**** – Cell E-mail:

T hu ********@***.***

Linked In: h ttp://www.linkedin.com/pub/christopher-hughes/13/b10/22b

F inancial Operations and T rading Support Specialist

■ A DP/Broadridge BPS Expert with E xcellent Problem-Solving & Analytical Skills

■ Temperament & Abili ty to work in H igh-Pressure Environment

■ A bility to exercise independent judgment while displaying a high degree of initiative and

accuracy

■ Member, ADP Industry-Wide P&S Focus Group

■ Recipient of 2011 Ovation Award for Recognition of Service at RBS

■ F INRA Series 7, Series 63 L icensed

■ A reas of Expertise:

SOX Compliance/Audit Root Cause Analysis Risk Management

Er ror Reduction Reconciliation Process

I mprovement

PROFESSIONAL EXPER IENCE

ROYAL BANK OF SCOT LAN D, GB M, Stamford, CT

2009 – 2012

Cash Equities T rade Support

• Founding member of Fi rm’s Purchase and Sales department; established protocols and

p rocedures in accordance with industry best practices and regulatory requirements.

• Lead contact for FINRA and Sarbanes-Oxley compliance audits.

• Investigated and resolved t rading discrepancies; single point of contact for 15 Traders on

t rade reconciliation issues.

• Analyzed t rade booking methods and feasibili ty of implementing ADP’s Workflow System

i nto daily process, including cost and efficiency improvements

• Special Project assignments to Stock Loan and Settlements to analyze workflow and

i ncrease efficiencies

• Trained staff on department process to ensure smooth t ransition with efficiency and

p roductivity

• Develop and maintain strong relationships with various departments and counterparties

U BS, L LC, Stamford, CT

Senior Operations Associate

2005 - 2008

.

• Analyzed and re-designed t rade reports to allow for greater t ransparency

• Reviewed t rade booking methods to determine best practices; resolved t rade breaks in

t imely manner

• Analyzed and rectified potential errors in real-t ime, reducing fi rm r isk.

• Developed robust management reports on t rade break root cause.

• Successfully t ransitioned department job functions to India ahead of t ransition schedule

• Trained offshore staff on department process and procedures to ensure a smooth

t ransition without loss of efficiency & productivity.

• Partnered with IT development to rectify system limi tations.

CHR ISTOP HER J. H UG H ES

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PROFESSIONAL EXPER I ENCE (CONT I N U E D)

SANFORD C. BERNSTE I N & CO., W hite Plains, NY

1994 – 2004

A Division of Alliance Capital Management L td.

Senior Brokerage Operations Associate

• Analyze reports to determine best-method t rade resolution.

• E xamine department procedures to identify operational r isk.

• Conduct audits on QT clerk function on the NYSE.

Scholl & Levin Corp., New York, NY – Specialist NYSE

1992 - 1994

Senior Floor Cler k/QT Cler k,

Reliable support to Specialist Broker in execution of t rades for NationsBank, Paramount

Communications, and various utility companies. Research and resolution of post-t rade errors.

A nalyze t rading procedures to ensure compliance with NYSE market surveillance rules.

Education:

S UNY Empi re State College

General Business courses

• Approximately 60 credits taken.

Dutchess Community College 2008 -

2009

Programming for Business Certificate,

• Proficient in COBOL, Visual Basic, SQL.

• Experience working with C, Shell Scripting, Mainframe Cobol and Databases.

• Dean’s L ist, G.P.A. 3.5

References available upon request

Contact this candidate