Sales Manager

Thomas E. Williams

*** ****** ******, **** **

(Home) 347-***-****

Bronx, New York, NY 10467

(Cell) 646-***-****

Email:

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

SUMMARY OF QUALIFICATIONS

Ambitious senior level financial services professional with over 8 years of

experience within the financial industry. Effective in organizing and

leading teams, and works to define strategies, implement solutions and

achieve goals. Strong corporate image combined with a reputation for being

a leader. Excellent communication and interpersonal skills, and high

motivational level for superior results. I am decisive and an enthusiastic

team player who also possesses the ability to multi-task in given

situations. Efficient and precise, paying attention to the details of

projects. Accustomed to working in a fast paced/profit oriented

environment. I have the confidence and ability to make the difficult

decisions to achieve positive results.

PROFESSIONAL EXPERIENCE

Broadridge/ADP, Stamford, CT. 9/2010-

1/2011

Conversion Analyst, Consulting position

. Worked on project to convert a hedge fund to Broadridge.

. Assisted in the completion of live trading of Fed eligible securities

and DTC book entry products.

. Assured all cusips were set up properly and flowing down from front

office system through back office (Bloomberg/Impact)

Bank of New York Mellon, Jersey City N.J.

8/2009 -10/2009

TRADE SUPPORT

Consulting position

. Handling day to day operations in the trade support area on all

outstanding fail items.

. Reconcile and communicating with various counterparties to resolve

open discrepancies.

. Ran daily reports to confirm all trades and open items where cleaned

up.

. Online with in house traders and sales assistant discussing open items

and outstanding fails.

Barclays Capital Inc., Whippany, NJ

10/2006- 6/2009

EXECUTIVE ANALYST FIXED INCOME/DTC

. Monitor and release collateral on all CNS/ NSCC deliveries

. Review DTC debit cap function RMCM ensure DTC $ are within cap.

. DTC Final figures Balanced

. Resolve status on any BCIN Cash or Positions breaks

. Check impact CSCS-DTC/ FED Rejects to identify all Rejects/ Holds for

Manager to sign off

. Confirm that daily tri-party pledges have been auctioned by confirming

receipt of SYSTR emails and receipt of DTC emails.

. Clearing of all book entries via DTC and ICI Impact.

. Extensive knowledge of all eligible securities which include Repos

reverse repos, syndicate items, corporate bonds, government bonds, MBS

and commercial paper.

. Ability to navigate through Internet explorer (CAD - Corporate Action

Database, SMD - Security Master Database, CNS - Continuous Net

Settlement, PCWeb,XACT)

. Knowledge of reference data (Static Data) on updating all financial

products to assure prompt deliveries on all securities.

. Complete understanding of all day to day Operational Functions as well

as ensuring their daily completion.

Morgan Stanley, New York N.Y.

3/2006- 9/2006

SENIOR COMMODITIES ANALYST

. Generating, reviewing, and sending trade confirmations on a daily

basis.

. Affirming verbal and written broker and counterparty confirmations on

a daily basis.

. Settling trades by creating payment vouchers and receivable invoices

on a daily basis.

. Reconciling Morgan Stanley-owned petroleum inventory on a monthly

basis.

. Opening and reviewing new counterparty accounts on an ad-hoc basis.

. Reviewing and entering pipeline delivery tickets for use in settlement

and accounting.

. Creating and reviewing payable and receivable settlement vouchers

(invoices) on a daily basis.

UBS Investment Bank, Stamford, CT

1/2002- 2/2006

FIXED INCOME GOVERNMENT CLEARANCE

. Clearing of FED book entry securities: Government, Agencies, mortgage-

backs, and treasuries via BONY GSCX and JPMChase BDAS systems.

. Handling all facets of clearance, trades settlement in a timely manner

utilizing external and internal systems.

. Liaise with middle office, sales and trading personnel, counterparts

and customers, as well as other operations and finance areas to ensure

tasks are completed in a timely manner.

. Receive and deliver trades throughout the day.

. Research and resolve discrepancies.

. Pair off trades between broker dealers and affiliates.

. Confirmed trades with broker dealers and affiliates.

. Check GSCC reports to ensure accuracy and overall position balances.

. Verify positions, settled transactions and balance all the entities.

. Perform integral role in balancing, reconciliation and control to

ensure that all positions are in agreement between the four systems

(Jet Web, Martini, Chase and ICI Impact)

. Generate daily reports for all entities.

Bank of America, New York NY

4/2000- 11/2001

SENIOR OPERATION ANALYST

. Dealt directly with Options Clearing Corporation for all option

matters, which included - clearance, breaks, exercises and

assignments.

. Balanced Saturday and Sunday expirations.

. Journalized OCC cash settlement numbers and update cash window.

. Handled AS400 System.

. Liaised for Paine Webber's P & S Department.

SKILLS

Phase3 back-office clearing system, DTC system, OMGEO's OASYS & ALERT

Microsoft Office; Microsoft Outlook;Broadridge;BPS; BONY; GSCX; DTC-PTS;

Bloomberg; ICI/Impact; FISS; PBS Smart Search

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