Management Sales

CHRISTOPHER J. HUGHES

914-***-**** – Cell E-mail: ab81s0@r.postjobfree.com

LinkedIn: http://www.linkedin.com/pub/christopher-hughes/13/b10/22b

Financial Operations and Trading Support Specialist

■ ADP/Broadridge BPS Expert with Excellent Problem-Solving & Analytical Skills

■ Temperament & Ability to work in High-Pressure Environment

■ Ability 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

■ FINRA Series 7, Series 63 Licensed

■ Areas of Expertise:

SOX Compliance/Audit Root Cause Analysis Risk Management

Error Reduction Reconciliation Process Improvement

PROFESSIONAL EXPERIENCE

ROYAL BANK OF SCOTLAND, GBM, Stamford, CT 2009 – 2012

Cash Equities Trade Support

* Founding member of Firm’s Purchase and Sales department; established protocols and procedures in accordance with industry best practices and regulatory requirements.

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

* Investigated and resolved trading discrepancies; single point of contact for 15 Traders on trade reconciliation issues.

* Analyzed trade booking methods and feasibility of implementing ADP’s Workflow System into daily process, including cost and efficiency improvements

* Special Project assignments to Stock Loan and Settlements to analyze workflow and increase efficiencies

* Trained staff on department process to ensure smooth transition with efficiency and productivity

* Develop and maintain strong relationships with various departments and counterparties

UBS, LLC, Stamford, CT

Senior Operations Associate 2005 - 2008

.

* Analyzed and re-designed trade reports to allow for greater transparency

* Reviewed trade booking methods to determine best practices; resolved trade breaks in timely manner

* Analyzed and rectified potential errors in real-time, reducing firm risk.

* Developed robust management reports on trade break root cause.

* Successfully transitioned department job functions to India ahead of transition schedule

* Trained offshore staff on department process and procedures to ensure a smooth transition without loss of efficiency & productivity.

* Partnered with IT development to rectify system limitations.

CHRISTOPHER J. HUGHES PAGE 2

PROFESSIONAL EXPERIENCE (CONTINUED)

SANFORD C. BERNSTEIN & CO., White Plains, NY 1994 – 2004

A Division of Alliance Capital Management Ltd.

Senior Brokerage Operations Associate

* Analyze reports to determine best-method trade resolution.

* Examine department procedures to identify operational risk.

* Conduct audits on QT clerk function on the NYSE.

Scholl & Levin Corp., New York, NY – Specialist NYSE 1992 - 1994

Senior Floor Clerk/QT Clerk,

Reliable support to Specialist Broker in execution of trades for NationsBank, Paramount Communications, and various utility companies. Research and resolution of post-trade errors. Analyze trading procedures to ensure compliance with NYSE market surveillance rules.

Education:

SUNY Empire 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 List, G.P.A. 3.5

References available upon request

Contact this candidate