Sales Management

Mustafa 'Tom' Pali

** ***** **

Staten Island, NY 10309

Cell # 646-***-****

PROFILE

Strong background in account reconciliation, Clearance and settlements.

Hard working team player with great communication skills and a great

attendance record.

Computer skills include: Microsoft Windows, Microsoft Word, Microsoft Excel

and Broadrige (IMPACT).

EXPERIENCE

UBS, Jersey City, NJ (APRIL 2011 - JUNE 2013)

Fixed Income Operations

. Clearing of fed treasuries, agencies, discount notes, and t-bill

securities.

Point of contact in reconciling of Position breaks and cash breaks.

. Clearing of treasuries for all Prime Brokerage clients.

. Worked with repo desk to minimize fails on a daily basis.

. Minimized the daily overdraft charges incurred by firm and settling

trades in timely manner.

. Cross trained incoming analysts and summer interns.

. Involved in streamlining the Prime Brokerage business, worked with

Broadridge to enhance settlements.

. Resolved all open items, including pairoffs and wiring out of funds.

Barclays Capital, Jersey City, NJ

Operations (SEP 2005 - APRIL 2011)

Settlement Analyst

. Clearing of fed book-entry mortgage backed, treasuries, agencies,

discount notes, and t-bill securities.

Reconciliation of all cash and stock breaks in order to reduce risk

and exposure to the firm.

. Assisted management in the successful integration of Lehman, Training

new Barclays employees with no interruption of client service and

exposure.

. Provide world class service to all internal and external clients.

. Act as a single point of contact for all fed recon settlements and

issues.

. Monitor aged fails and escalate any issues to reduce risk and exposure

to the firm

Assist management on all audit review requests.

. Single point of contact for government and MBS settlement interest

claims.

. Responsible for updating and streamlining of all procedures for

Barclays Inc.

. Ability to assume mangers responsibilities during their absenteeism.

Goldman, Sachs & Co., New York, NY

Fixed Income Client Services (JUNE 2000 - OCT 2004)

Operations Analyst

. Balanced and maintained cash, margin and C.O.D. accounts for fixed

income institutional clients to ensure transactions were handled in

accordance with SEC and NYSE regulations.

. Resolved client problems within Fixed Income Operations, including

Muni Bonds, Corporate Bonds, Government, GNMA's, Asset Backed, and

Foreign Bonds and Currencies.

. Maintained a positive working relationship with the regional sales

division.

. Compiled weekly status reports reflecting the group's progress on

reconciling client accounts.

. Prepared monthly management reports reflecting the total amount of

breaks for each Fixed Income Sales desk.

. Monitored and maintained balance of Fixed Income Client Services

Suspense Account, which included reconciling funds that belonged to

client accounts.

. Ensured that letter of free funds and prime broker letters were

accurately maintained for Fixed Income clients.

Fail Management Group (SEP 1991 - JUNE 2000)

Client Services Analyst

. Monitored and reported all financing the Firm had incurred due to

"failed" transactions.

. Performed recovery of compensation interest due to the firm.

. Coordinated claim processes between Sales, Clients, Operations, and

other counterparties.

. Collected and analyzed fail reporting and condensed them into report

form by product.

. Researched incoming claims and replied to client in timely manner.

. Assisted in cross-training department personnel.

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