CHRISTOPHER J. HUGHES
914-***-**** – Cell E-mail: ***********@***.***
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
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* 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