Project Manager Operations

BARRY C. WILLIAMS

*** ******** ****** *********, ** 28655

Tel: 203-***-**** Email: ********@*****.***

CAREER PROFILE

Results driven senior financial services executive with extensive broker dealer operations, client services and

back-office experience. Proven track record streamlining processes and reducing costs. A strategic thinker that

is skilled in opening effective channels of communication, recruiting talent and developing a diverse staff. Over

15 years of experience with clearing traded equities, options, IPOs and mutual funds. A strong knowledge of

new accounts processing, OFAC, KYC, margin procedures, corporate actions, external/internal audits, project

management, prime brokerage services, risk/compliance(s) functions and vast trading platforms.

EXPERIENCE

Forefront Capital Mgmt, LLC New York, NY November 2009 - March 2011

Head of Operations

• Oversaw daily trades reconciliation activities including daily settlements, trade breaks, customer trade

allocations and maintained all new account documents for clients.

• Handled clients margin issues, corporate action notices and any movement of cash/securities in all

accounts (ACATS, deposits, wire requests, etc

• Served as liaison to the firm’s clearing broker, OMS/EMS vendors and floor brokers.

• Coordinated daily commission and P&L reports for management and traders.

Systems used: Knight Direct trading platform, Oasys, Bank of America/Merrill Lynch clearing platform

Concept Capital, Greenwich, CT March 2009 - September 2009

Vice President, Institutional Operations

• Managed customer trades executed on the trading desk.

• Lead firm’s commission system with regard to sales traders and salesman client coverage.

• Served as liaison to the firm’s clearing broker

• Monitored the firms trading accounts (error, OTC, facilitation, etc.)

Systems used: Mixit trading platform, Oasys, Firm58 commission system, Goldman Sachs clearing platform

Stanford Financial Group, New York, NY January 2005 - February 2009

Associate Director, Institutional Operations

• Appointed to the Business Continuity Plan as coordinator of the New York office

• Assisted the office build-out in Boston for institutional trading

• Participated in quarterly meetings with the home office in operational projects with regard to institutional

offices, (Dallas, Boston, San Francisco and New York)

• Performed manager of operations duties

• Project manager for clearing conversion(testing EOD file for OMS, cross referencing customer

accounts)

Operations Manager

• Managed an operations trading assistant

• Oversaw the NYSE floor breaks and monitored OTC clearing

• In charge of retail and institutional customer trades executed on the trading desk

• Served as liaison to the firms clearing correspondence

• Handled trade problems and developed methods and procedures

Systems used: Brass trading platform, Fidessa/Royal Blue trading platform, Global/Domestic Oasys, Bear

Stearns, Pershing clearing platform

Sound View Technology Group, Old Greenwich, CT 1991 - 2004

Principal, Head of Institutional Operations (2000 – 2004)

• Supervised a staff of six in trading operations

• Involved in U.S. Patriot Act Procedures resulting from 9/11

• Worked closely with the IT group to automate clearing process

• Interfaced with outside trading system vendors to streamline daily clearing procedures

• Assisted compliance department in policies of external regulatory agencies (SEC, NASD, NYSE)

Vice President, Institutional Trading Operations (1997 – 2000)

• Managed staff of four trading assistants in operations

• Involved in all clearing aspects of institutional trading

• Managed all inquiries with regard to annual audits (NASD, SEC, NASDAQ, etc.)

• Liaison to prime brokers and clearing agents on large exposure trade items

Operations Manager of Institutional Trading (1993 – 1997)

• Responsible for a department of two trading assistants

• Oversaw the NYSE floor breaks and monitored OTC street breaks

• Processed IPO syndicate allocations for the firm

• In charge of retail and institutional cash/margin account (activity & documentation)

• Responsible for employee accounts (activity/documentation)

• Served as liaison to the firms clearing correspondents on a daily basis

• Managed and monitored listed and OTC trade allocations

Operations Associate, Institutional Trading (1991 – 1992)

• Processed all trades executed from trading desk

• Opened new accounts

• Handled customer trade problems and customer documentation

Systems used: Brass trading platform, Fidessa/Royal Blue trading platform, Global/Domestic Oasys, M&O

commission system, Xtivia commission, Morgan Stanley, Alex Brown and Bear Stearns clearing platforms

EDUCATION

South Carolina State College: 1985 - 1987

MERITS

• Active participant in two charity days for 9/11/01, commissions donated to 12 charitable organizations.

• Participated in the opening of the NASDAQ on 10/18/02

• Oversaw four clearing conversions (Morgan Stanley, Alex Brown, Bear Stearns and Pershing)

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