Customer Service Vice President

douglas levine

*** ***** ******, #** 718-***-****

Brooklyn, NY 11201 **************@*****.***

professional SUMMARY

Wall Street Operations Professional with significant back office experience

in securities processing at leading financial institutions. Strengths in

building internal and external client relationships, identifying and

resolving issues and problems, improving processes and managing staff to

top performance.

PROFESSIONAL EXPERIENCE

goldman sachs & co., New York, NY 2001 - 2011

Goldman Sachs acquired Spear, Leeds & Kellogg in 2001.

Team Leader / Supervisor, International Securities Operations

Led team in facilitating ADR/ORD conversions and realignments, processing

entries into clients' accounts, instructing and overseeing the movements of

ADR's and the corresponding settlements of the foreign securities. Prior to

the ADR group, managed up to 12 employees directly and also trained

peripheral groups that assumed responsibilities for tasks such as trade

input, fx processing, settlements, funding and reconciliations.

. Managed the cross border/realignment process for inventory management

purposes.

. Processed international trades to client accounts. Coordinated

instructions to overseas agent banks and Euroclear and resolved any fail

issues.

. Managed foreign securities database, ensuring accurate data and adjusting

positions when necessary.

. Automated process for posting and reconciling monthly foreign

interest to firm and client accounts.

. Automated process for daily bank reconciliations, securities and cash.

. Worked closely with business units and other Operations areas such as

Settlements, Reorg/ Dividends, Fail Control, Margin and Stock Loan to

facilitate timely and accurate processing of daily operations.

. Strong team player and goal oriented.

. Advised clients regarding risk and cost factors, ensuring prompt and

accurate settlements and mitigating potential buy-in risk and financial

penalties.

spear leeds & kellogg, New York, NY 1993 - 2001

Vice President of Operations

Assumed primary responsibility for overseeing all day-to-day back office

operations for this established clearing firm dedicated to settling trades

for international customers via Euroclear and a global Custodian.

. Trained, supervised and evaluated 5 clerks in all international

operations including trade input, trade clean up, in-house processing and

foreign currency transfers.

. Worked closely with Wilco programmers, customizing fail and interest

reports to streamline back office operations.

. Consistently recognized by upper management and customers for providing

efficient and personalized customer service and rapidly solving trade

clearing problems resulting in rapid promotion to Vice President title

from Senior Clerk and Assistant Vice President.

. Controlled funding and costs, cash transfers and fx's and monitored trade

processing, fail control and ADR conversions.

. Set up accounts, added trades and counterparties, ran customer reports

and balanced firm positions utilizing Wilco multi-currency trade system.

. Functioned as a liaison between all back office areas including stock

loan, money desk, DTC reorganization and dividends, P&S, ID governments,

buy-ins etc., utilizing highly effective interpersonal skills to

facilitate clear lines of communication and ensure ambitious customer

service goals are realized.

prudential securities, New York, NY 1990 - 1993

Senior Clerk - International Clearance

Responsible for confirming and settling UK and Canadian transactions,

instructing agent banks to receive and deliver currencies and securities

and processing entries to in-house accounts.

drexel burnham lambert, inc., New York, NY 1986 - 1990

Supervisor - International DVP Reconciliation Group

Directed a staff of 7 in all day-to-day research and foreign settlement

functions involving money differences, dividends, negotiability, depository

differences, etc.

shearson lehman brothers, inc., New York, NY 1980 - 1985

Supervisor - DK Section

Oversaw 10 clerks in the security clearance area of the DK Section,

expediting redelivery of turned-down securities. Developed and implemented

efficient cash flow procedures and interacted with branches, corresponding

banks and brokers.

EDUCATION

Certificate in Computer Programming - COBOL, New York University, New York,

NY

Fundamentals of the Brokerage Industry, Financial Institute, New York, NY

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