Management Training

FRANK CARABALLO

*** ********** **** ~ Lynbrook, NY 11563

516-***-****(H)/917-***-****(C) ******@***.***

QUALIFICATIONS

Dedicated, results-oriented Financial Professional with proven record of

improving security and efficiency and maintaining excellent business and

client relations. Exceptional work ethic and interpersonal skills.

Established history of meeting challenging deadlines and managing

multiple teams of analysts. Technically proficient in Microsoft Office.

Additional Expertise in:

( Risk Management ( Foreign Exchange (

Relationship Management

( Financial Acquisitions ( Collections & Disbursements (

Disaster Recovery Implementation

PROFESSIONAL EXPERIENCE

PERSHING LLC, Jersey City, NJ April 2008 - Present

Consultant

. Support four FX traders and five International Equity traders by

performing middle and back office support to the Foreign Exchange and

International Equity Trading Desks.

. Perform counter-party FX deal review confirming details of all FX

transactions.

. Prepare and confirm all currency settlements on multiple Pershing and

vendor systems.

. Monitor and reconcile FX trading accounts to ensure foreign exchange

activity has posted correctly and investigate and resolve any trade

discrepancies.

. Monitor and reconcile multiple International Trading accounts.

. Monitor counterparty settlement activity for compensation claims.

. Initiate authenticated SWIFT messages instructing execution of a foreign

exchange on behalf of Pershing.

. Prepare multiple daily risk exposure reports for the Pershing NJ and

London FX trading desks distributed to senior management.

. Process International Equity trades.

. Process trade adjustments as requested by the FX and International Equity

trading desk on multiple Pershing systems.

UBS FINANCIAL SERVICES, INC., formerly PaineWebber Financial, Weehawken, NJ

1996-2007

Associate Director

Hired as Treasury Analyst with PaineWebber, promoted to Assistant Vice

President in 2001 and promoted to Associate Director upon PaineWebber/UBS

merger in 2003.

. Manage team of seven in the daily processing of over 2500 payments

totaling US$2-4 billion, ensuring effective payment flow and quick

processing turnaround while meeting strict payment deadlines.

. Supervise Foreign Currency team of four in processing foreign exchange

payments and resolving discrepancies.

. Provide liaison services between clients and banks in identifying and

resolving payment issues.

. Processed incoming and outgoing fed fund payments during earlier years as

Treasury Analyst.

Accomplishments:

. Increased security, efficiency, and accountability associated with

foreign exchange payments by successfully transitioning from an email

based request system to utilization of the firm's internal messaging

system.

. Improved disaster recovery preparedness by opening a second physical

location, training personnel, and providing appropriate system access to

ensure continuity of all Wealth Management wire processing activities.

. Enhanced training procedures by creating a Fed Fund User Guide detailing

the functionality and navigation of the Fed Fund Transfer System and by

creating and presenting materials utilized in training acquired financial

services firms, such as Piper Jaffray.

BANK OF AMERICA, New York, NY 1991-1996

Junior Associate

. Processed payments for clients, including PaineWebber Financial and

Morgan Stanley Dean Witter & Co., with daily transactions averaging in

the US$ billions.

. Initiated and resolved payment investigations.

EDUCATION

Queens College, Queens, NY, Pursuing Bachelor of Science in Finance, 2008-

Present

St. John's University, Queens, NY, Curriculum in Business Administration,

1989-1991

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