Vice President Supervisor

DOUGLAS HAY

*** **** *** ****** 386-***-****

Deltona, FL 32725 ******@***.***

Profile

Results-oriented professional with extensive experience in brokerage

operations. Strong customer

service, problem solving, supervisory, and teamwork skills with a proven

ability to help an

organization meets its goals. Computer skills include Excel, Word, and

various in house systems.

Professional Experience

PERSHING/ BANK OF NEW YORK MELLON, Lake Mary, Fl Apr 2008-

Apr 2010

Corporate Actions Department

Bond Redemption Associate

. Timely and accurate payments to clients for issues that are either

maturing or being partially/

fully called. These issues include Municipal and Corporate Bonds,

UIT'S (Unit Investment Trust), MMI'S (Money Market Investments),

Mortgage and Asset Backed Securities, Government and

Equity preferred's.

. Process partial call lotteries for both DTCC and non-DTCC eligible

issues. This includes calls which are being refunded or defeased.

. Review and resolve daily, any outstanding balances in the redemption

suspense accounts.

. Address and resolve all client related inquiries received via

telephone, e-mail or the firm's

internal communication system immediately or within 24hrs.

CITIGROUP, Tampa, FL

Aug 2005-Apr 2008

Corporate and Investment Banking Division

Specialist

. Investigate and resolve client inquiries related to

Voluntary/Mandatory Corporate Action events and income (dividends)

distribution payments.

. Review all details of the event (merger, tender/exchange, consent with

fee and rights offering etc. and advise the client of the results

based on the facts. Adjust/reconcile the clients account as needed.

. Interact with both internal and external sources such as Processing,

Response and Control, Events Creation, Income, in addition to

Transfer/Paying agents and DTCC (Depository Trust Clearing

Corporation).

. Voluntary mailing and Proxy processing.

. Download database daily to produce notices for mailing.

. Verify that notices have been produced for each client, match to

material (Prospectus, Letter of Transmittal, Notice of Guaranteed

Delivery etc.) and send via express mail.

. Adhere to bank guidelines with regards to follow up on material that

has not been received.

. Process client's proxy voting instructions for shareholders meetings

using ADP's online website.

. Research and resolve client related proxy inquiries.

PRUDENTIAL SECURITIES, INC., New York, NY

1980 - Dec 2004

Merged with Wachovia Securities Inc. in 2004. Previously known as

Prudential-Bache Securities.

Associate Vice President/Supervisor Cashier's Control

(2001-Dec 2004)

. Supervised 15 associates in the daily operations of the department.

. Ensure timely processing and replacement of lost certificates,

including mail, DTCC, transfer agent and premise losses.

. Researched and deposited physical mutual fund certificates which are

network eligible, and converted to book entry.

. Processed incoming exchange at agent and adjusted client accounts as

needed. Researched and resolved any items aged over 30 days old, both

physical and DTCC Re-org DAMPS.

. Researched and resolved private and firm name transfers aged over 30

days old for physical and DTCC items. Also process and research

incoming transfers.

. Research and resolved aged dividend payables and receivables on an

ongoing basis.

. Provided dividend reporting to Operations Regulatory Compliance,

including weekly 15C-3 and monthly capital charge reports. Corporate

Actions suspense accounts were monitored, with monthly activity

and status reports comparing the performance of Corporate Actions and

the Dividend department.

. Handled Specialty Finance transfer processing on in-house limited

partnership and broker-to-broker transfers.

. Compiled and calculated mark-to-mark exposure on government trades.

Monitored institutional accounts and reported deficits to

Credit Analysis and Money Desk.

Associate Vice President/Supervisor Institutional Credit

1998-2001

. Oversaw 6 associates in the daily operations of the department.

. Balanced and reconciled all accounts on a daily break report.

. Monitored, reported and resolved all debit, and credit balances and

submit to abandoned property or move to the branch error account as

required.

. Resolved all delivery transactions rejected (DK'd) by the receiving

firm/bank.

Assistant Vice President/Supervisor Buy-In/Fail Control, Delivery

Expediting 1992-1998

. Oversaw 8 associates in the daily operations of the departments.

. Included the issuance and receiving of buy-ins for broker-to broker,

prime broker, ACATS, and CNS trades via the DTCC PEX function.

. Coordinated the quarterly NSCC RECAP processing.

. Ensured timely settlement of DVP and broker-to-broker trades in excess

of $500M.

. Syndicated processing of managed and participation deals for

Corporate, Municipal, Equity, CMO's and UIT's issues.

Education / Training

Mercy College (Bronx Campus

Completed 2.5 years toward Degree

Additional Classes:

Time Management for Managers

Delegating for Results

Business Writing.

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