Management Process Improvement

Gregory R. Gross

** ***** *****, ****** ******, NY 10314

Home 718-***-**** Cell 917-***-**** E-mail:*********@*****.***

Financial services professional with extensive experience in

securities processing and clearance. Operations specialist with proven

track-record of delivering outstanding results. Strong team building,

problem solving and analytical skills. Focused on organizational

process improvements to minimize risk, maximize efficiency and deepen

client relationships. Ability to work with deadlines and under

pressure. Expert in multi-tasking and handling simultaneous projects.

Passion to learn, generate ideas and contribute in a dynamic work

environment.

PROFESSIONAL EXPERIENCE:

FIDELITY INVESTMENTS - National Financial Services

New York, N.Y. / Jersey City, N.J.

Senior Institutional Operations Representative

2002-2012

. Trusted liaison between correspondent clients and clearing brokers /

banks resolving trade and money discrepancies, responding to inquiries

and instructing set ups of client onboarding new account openings.

. Processed all aspects of various equity/fixed income debt settlements

utilizing DTC, ADP, Omgeo/OASYS and Cage systems to maintain domestic

and foreign DVP/RVP Institutional and Prime Broker accounts.

. Collaborated with International and Government Departments on FX Euro

Clear and FED settlements.

. Resolved an average of 40 reclaims (DK's) daily meeting deadlines and

executed buy-ins/sell-outs on failed trades to avoid Regulation

T,15c3-3,Reg SHO Threshold, Rule204 violations ensuring high volume of

trades met SEC, FINRA, AML/KYC and Federal Reserve regulatory

requirements.

. Reconciled and investigated securities & cash exceptions of trade

breaks and errors including corporate actions(Principal &

Interest,stock splits,reorganizations, dividends,mergers) approving

electronic funds wire transfers (EFT's), trade allocations,cancel/re-

bills, pair offs, SPO's and journals to balance accounts.

. Processed the daily DTC/NSCC-CNS trade match and affirmations of

confirms for proper settlement.

. Achieved project goal of retrieving, sending and reviewing large volume

of outstanding Prime Broker documents/ Letter of Free Funds developing

plans to improve and organize documentation process.

. Reduced risk & exposure reporting trades over $500,000 and collaborated

with Stock Record Department on segregated deficit possession/control

items and Risk/Audit Departments for compliance research.

. Increased productivity by coordinating cross training of associates,

recommending new efficient processes and testing system enhancements

with IT Department.

. Reported metrics by compiling, analyzing and checking daily functions,

stock record, security blotters and general ledger activity for

accuracy and completeness serving as subject matter expert.

Margin Representative

2000-2002

. Analyzed margin, cash and retail accounts to ensure all regulatory and

house requirements were maintained, resolving and reporting any

deficits to management.

. Oversaw customer accounts by sending notifications of equity

maintenance and margin calls.

. Clarified extension of credit margin calculations and regulatory issues

to Fidelity branches and clients.

. Approved journals, deliveries, receives and account asset transfers

(ACATS) after review of legal documentation of corporate resolutions,

LOA's and trust certification letters.

Brokerage Operations Associate

1996-2000

. Reconciled position/cash breaks and controlled the suspense account of

questionable transactions.

. Prepared management with daily DVP/RVP status reports of

outstanding issues and providing over 25

Relationship Managers with details on research, projects and

escalated issues.

. Calculated and filed FINRA extensions on failed trades and

liquidated ineligible past due trades.

. Provided trade support for capital markets on international/domestic

settlements identifying problems by examining transactions and

documents initiating contact with appropriate party to achieve

resolution.

EDUCATION:

College of Staten Island of the City University of New

York

Bachelor of Science in Economics with a concentration in

Business Finance

New York Institute of Finance

Margin I & II-Regulations & Advanced Margin Credit; Options-

Securities & Foreign currency

SKILLS: Microsoft Office Suite-Excel, Word, Access, PowerPoint,

Outlook & Lotus Notes

Risk Control and Project Management experience, LEAN

Process Improvement

Excellent communication skills, earned numerous customer

service awards

SYSTEMS: DTCC PTS terminal, ADP, Omgeo/OASYS, Confirm ID, R&D cage, P&S

engine, XTRAC

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