Specialist Support

JOHN SHUROTT

*** ***** **** ********* ********@***.***

Home: 610-***-****

Roseto, Pennsylvania 18013

Mobile: 347-***-****

QUALIFICATION SUMMARY

Investment Banking Professional, with extensive experience in

Reconciliation, Back Office Trade Settlement, IT Production Support and

Development. Accredited with the design, development and implementation of

automated processes that have proven to increase productivity while

mitigating risk and reducing departmental costs.

COMPUTER SKILLS

Advanced Microsoft Excel/VBA - Microsoft Access - Lotus Notes - Smartstream

TLM - Sungard IntelliMatch/Recollector/Admin (Checkfree Recon Plus) -

Datawatch Monarch Pro - Broadridge (ADP) BPS, Cage III and ICI (Impact) -

CNS - DTCC - Microsoft Powerpoint -

SQL - UNIX - Control M - Quality Center, Lotus Notes, ITIL Foundation

Certification

PROFESSIONAL EXPERIENCE

HSBC SECURITIES INC. Assistant Vice President 12-

2000 to Present

Sr. Production Support Analyst - Regulatory IT, Jersey City, NJ

01-2013 to Present

Duties are to provide 2nd level support for Dodd Frank Act (DFA) reporting

applications. Ensure that the Service Level Agreements (SLA)'s are being

met and route exceptions to the source systems on trades that have not been

acknowledged (NACK) by the Global Trade Repository (GTR) at the Depository

Trust & Clearing Corp (DTCC).

Accomplishments:

V In the short time on the team, tools were developed using Excel,

UNIX & SQL to simplify the manual process of routing exceptions,

identifying errors, analyzing large amounts of data and

producing statistical analysis reports.

V Developed an automated report for the Regulatory Reporting Unit

of open exceptions that is enriched by data from a Quality

Center (QC) extract and the Share Point Knowledge Base.

Sr. Production Support Analyst - Utilities IT, Jersey City, NJ

12-2011 to 01-2013

Responsible for providing 2nd level and in many cases 3rd level support for

SmartStream's TLM 2.6 Premium, 2.7, 2.5 and 2.4 Reconciliation platforms,

Sungard's IntelliMatch Reconciliation platform, Broadridge Postedge

Reports, Sungard Intellistor Reports, Cancel & Amend Tracking System,

Surecomp Perfect Match confirmation system.

Duties are to ensure that the supported applications are working properly

by performing health checks, restoring system outages, continuity planning,

disaster recovery server swaps and implementing system upgrades and hotfix

patches. Having Business Line experience, a higher level of Support was

achieved.

Accomplishments:

V Applied automated health checks and alerts to identify service

disruptions before the business is impacted.

V Trained the support staff on the end user functionality of the

supported applications. A higher level of support and stronger

communication with the business lines have resulted from this.

V On several occasions, creative work-around solutions have been offered

to lessen business impact on system outages. This reduced business

risk and avoided a red RAG Status for the day.

JOHN SHUROTT PAGE 2

Sr. Reconciliation Specialist - Cross Products Services, New York, NY

12-2000 to 12-2011

Responsibilities were to create, oversee and perform reconciliation's of

cash transactions and Custodial security positions on TLM Premium or using

automated Excel workbooks. The reconciliation's are across a variety of

financial products, settlement and bookkeeping systems.

Accomplishments:

V Development of user-friendly programs using Excel VBA macros, Access

databases and Monarch Pro to perform reconciliation's, produce

reports, and automate manual processes.

V Served as the designer, developer and support person for

reconciliation's on IntelliMatch while simultaneously performing daily

reconciliation functions.

V Partnered with the IT department on the development and

deployment of reconciliation's on to Smartstream's TLM Premium

2.6 from IntelliMatch 8.1. This includes preparing ETL

specification, identifying Auto-matching criteria, account

static data grouping.

V In-depth understanding of reconciliation and trade settlement

practices has strengthened interdepartmental communications,

which in turn has enhanced exception management.

V Incorporating keen analytical skills to identify risk and

process inefficiencies with the creativity to develop and

implement automated control solutions.

NATIONAL INVESTORS SERVICES INC., New York, NY 08-1999

to 12-2000 Reconciliation Specialist - Operations Control Department

Duties include daily reconciliation of stock record breaks created in CNS,

Merrill Lynch Global Custody Account and The Bank of New York Government

Securities account. Conducting quarterly box counts, audit of the mutual

fund reconciliation process and the lost securities account. Spreadsheets

are created to report findings to senior management. Utilize Microsoft

Excel, ADP-Cage III, BPS and PTS systems.

BEAR STEARNS & CO., Brooklyn, NY 02-1997

to 08-1999

Senior Securities Settlement Specialist

Responsible for coordinating the workflow of the DTC Receive Department,

Settlement of government trades and Repo's through DTC and arranging

payment by Fed Fund Wires. Investigation of reclaims, Drops, monitoring

the suspense account and fail control. Balanced the Receive Department and

assisted in balancing the overall DTC Department. Utilized ADP-Cage III,

BPS and PTS Systems.

ERNST & CO., New York, NY 03-1996

to 01-1997

Securities Settlement Specialist

Responsible for receiving and delivering of securities verses payment

through Same Day Funds, NSCC and Over the Window. Managing International

depository accounts at Merrill Lynch and Bleichroeder. Bank loan releases

and pledges. Balanced receive and deliver transactions internally and at

DTC and NSCC. Complete understanding of Securities settlements procedures.

Utilized ADP-Cage III, BPS and PTS Systems.

JOHN SHUROTT PAGE 3

GRUNTAL & CO., New York, NY 07-1995

to 03-1996 Securities Settlement Specialist

Responsibilities included daily balancing of ACAT's and CNS miscellaneous

activity report. Receiving and delivering of physical securities over the

window vs. Fed Funds, Clearing House Funds DTC, NSCC and the Midwest

Clearing Corp. Adjusted all stock record and accounting breaks. Balancing

of DTC & NSCC transactions. Utilized ADP-Cage III, BPS and PTS Systems.

ERNST & CO., New York, NY 06-1993 to

07-1995

Securities Settlement Specialist

Same details as above

SELF-EMPLOYED 02-1992 to

06-1993

THE BANK OF NEW YORK, New York, NY 03-1986 to

01-1992

Securities Settlement Specialist

Responsibilities included receive and deliver of securities vs. fed funds,

Physical Medium Term Notes, C/D's, B/A's and C/P's, Fixed Income securities

book entry and mortgage-backed securities. Balancing and troubleshooting

all Securities processing problems.

UNITED STATES TRUST COMPANY, New York, NY 01-1985 to 03-1986

Securities Settlement Specialist

DOMINICK AND DOMINICK INC., New York, NY 03-1983 to

01-1985

Securities Settlement Specialist

DERA MANUFACTURING CORP., Brooklyn, NY 06-1979 to 03-1983

Inventory Control

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