Customer Service Management

Jason P.

Financial Services Professional, MBA Graduate 2012

Summary

Systems & Software: Bloomberg, BondDesk, BondPoint, NetExchange Pro, Thomson One, Microsoft Office,

Lotus Notes, SAP Business Objects

Experience

Fixed Income Investigations at Financial Industry Regulatory Authority

June 2012 - Present (1 year 1 month)

- Investigate US fixed income market activity for market manipulation, fair pricing, and best execution

violations through analysis of reported trade activity, firm supplied documentation, oral and written

communication with the subject firm, and outside research. Develop a written case recommendation and

present findings to management.

- Developed numerous Excel macros to streamline data-intensive segment of investigative process.

- Recognized as Bloomberg terminal subject-matter-expert from frequently provided assistance to teammates

and management of Bloomberg functionality. Presented with STAR-Award for outstanding project

contribution.

- Product types: OTC and exchange traded corporate, municipal, and agency bonds, securitized products, and

other exotic fixed income securities.

Global MBA - 2012 Graduate at George Washington University

August 2010 - May 2012 (1 year 10 months)

- Team Leader: International Consulting Project: Vietnam

Topic: Real Estate & Capital Markets in Developing Countries

(Spring 2011)

- Study Abroad: China

Topics: Economic and Financial Issues in Global Financial Markets, Globalization & China's Business

Environment

Paper Submission: "The Chinese Renminbi - What will it take to become a Global Reserve Currency?"

(Winter 2012)

1 recommendation available upon request

Private Equity - Fall Associate (Internship) at Capitol Partners, LLC

September 2011 - December 2011 (4 months)

- Constructed a competitive analysis and industry characteristics report, focusing on 21 key markets, to assist

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firm in understanding the hospice market in Georgia, presented findings to senior management December

2011.

Intern, Fixed Income Product Management at Charles Schwab

June 2011 - August 2011 (3 months)

- Developed a competitive analysis and product proposal for a suite of enhanced fixed income portfolio tools;

presented analysis and recommendation to Fixed Income Business Governance Committee, who utilized this

document in the

2012 capital investment and strategy decision-making process.

- Analyzed sales and trading data, conducted management interviews, and reviewed key regulatory directives

to help develop a risk profile for 9 specialty fixed income products. Analysis presented to the Schwab

Institutional

Product Review Board.

Fixed Income Trader at Vanguard

March 2009 - July 2010 (1 year 5 months)

- Facilitated primary and secondary market corporate, municipal, agency, and treasury bond trades for

approximately 25–40 retail brokerage clients per day; average total daily trade value up to $5,000,000.

- Recognized by firm and numerous clients for superior customer service, efficiency, and risk mitigation

including zero monetary trade errors.

- Nominated for one of the first positions on the Fixed Income Trading Procedure Rewrite Committee due to

outstanding editorial skills; completed team revision of over 40 department trading procedures.

- Developed and presented training materials to 45 new and experienced Fixed Income Traders and

Brokerage Associates; including State of Israel Bonds, Trading Treasury Securities on Bloomberg, and other

fixed income topics.

Brokerage Associate at Vanguard

January 2008 - March 2009 (1 year 3 months)

- Answered approximately 40–75 incoming brokerage related calls and web chats daily from current and

prospective retail brokerage clients including aiding in the direct or indirect placement of 25–50 equity orders

per day; average total daily trade value up to $1,000,000.

- Recommended for support role within Brokerage Call Center Operations due to superior efficiency and time

management skills, led the Operations Center evenings from Winter 2008 through Spring 2009.

- Nominated and accepted position on the Fixed Income Support Group due to exceptional knowledge of

fixed income securities at the Brokerage Associate level; assisted Fixed Income Traders in placing certificate

of deposit trades during economic turbulence of 2008.

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Office Manager at Northern Arizona University

January 2007 - May 2007 (5 months)

- Led front-desk operations for the 575-bed, designated "premier" residence hall on the Northern Arizona

University campus.

- Reduced payroll expenses by 50% through the implementation of staffing efficiencies alleviating the need

for a decrease in number of employees or reductions in pay.

- Hired, trained, supervised a student staff of 25.

Skills & Expertise

Microsoft Office

Lotus Notes

Bloomberg

Thomson One

Windows

Mac

Fixed Income

Budgeting

Administration

PeopleSoft

Adobe Acrobat

Scheduling

Equities

Research Project Management

Multimedia Project Management

Financial Markets

Capital Markets

Bonds

Securities

Bloomberg Terminal

Series 7

Teamwork

Series 63

Investments

Asset Allocation

Trading

Time Management

Client Service

Microsoft Excel

Microsoft Word

PowerPoint

Project Management

Competitive Analysis

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Certifications

Series 7

FINRA March 2008 to June 2012

Series 63

FINRA March 2008 to June 2012

Bloomberg Certified - Equities & Fixed Income

June 2009

Education

The George Washington University - School of Business

MBA, International Finance, 2010 - 2012

Grade: GPA: 3.5/4.0

Activities and Societies: Elected President: GWSB Graduate Finance Society, Co-founder & President:

Gastronome - a food and wine club, Elected GWU Student Association Senator, representing over 950 graduate

business students, Active Member: International Business Society, Admissions Ambassador

2 recommendations available upon request

Högskolan i Jönköping

International Business, 2007 - 2007

Northern Arizona University

BSBA, Finance, 2003 - 2007

Grade: GPA: 3.4/4.0

Activities and Societies: Delta Sigma Pi: VP of Professional Activities 2007, VP of Scholarship & Awards

2006, Chancellor 2005, Active Member: Northern Lights - Campus Ambassadors 2003-2005

Northern Arizona University

BS, Electronic Media & Film, 2003 - 2007

Interests

Travel, Mountain Biking, Golf

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Jason P.

Financial Services Professional, MBA Graduate 2012

3 people have recommended Jason

"I worked with Jason for 2 years while students in the George Washington University School of Business.

During that time Jason consistently displayed great attention to detail, excellent communication skills, and

adept project management. He and I worked together on numerous projects, including conducting financial

analysis for Morgan Stanley during the International Residency component and a final presentation for

Strategic Management. His professional demeanor and kind personality make him a great addition to any

team."

Hugh L., Global MBA Candidate, George Washington University, School of Business, worked directly

with Jason at George Washington University, School of Business

"Jason and I participated in the "Economic and Financial Issues in Global Financial Markets, Globalization &

China's Business Environment" program at the George Washington University during the Winter of 2011 in

China. We also attended together a Conflict Management Negotiation class during the Spring semester 2012.

In both situations, Jason demonstrated to be a driven and focused professional with a strong work ethic and

superior analytical skills. He showed cross-cultural sensitivity and acumen. He was also curious and eager to

learn new things. I highly recommend Jason and believe he will be a significant asset to any organization."

Davide S., Student, The George Washington University - School of Business, studied with Jason at The

George Washington University - School of Business

"It has been a pleasure to work with Jason on a number of projects in the MBA program at GW. Not only is

he a very focused person, who ensures that the task at hand is done with impeccable quality, he is also a great

team player. I can confidently recommend him for any organization."

Atul D., Student, The George Washington University - School of Business, studied with Jason at The

George Washington University - School of Business

Contact Jason on LinkedIn

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