Manager Management

JOSE V. FERNANDEZ JR.

** ****** **** ******, ** *6801

203-***-**** *************@*****.***

SUMMARY OF QUALIFICATIONS

Senior Manager with more than fifteen years of experiences in multiple

aspects of the global securities industry from a buy and sell side

perspective. Energetic leader with a background in trade processing, trade

confirmation, settlement and reconciliation of Global Equities, FX,

Options, Equity SWAP’s and other derivative products. Also have

extensive knowledge of Securities Lending, Soft Dollar, and Trading

Floor Compliance.

EXPERIENCE

2000–2008 Andor Capital Management Greenwich, CT

Principal / Director of Operation

Responsible for the clearance and settlement of cash and derivative

instruments in the Global Market.

Responsible for sending and confirming trade files to our Fund

Administrator and Prime Broker

Worked closely with various Prime Brokers to resolve daily issues

related to trade settlements and financing.

Responsible for daily cash and position reconciliation between Fund

Administrator, accounting system and all Prime Brokers.

Responsible for Cash Management between all Prime Brokers and

insured funding needs were met on a daily basis.

Represented firm during Marketing meetings and Due Diligence

meetings for new and existing investors.

Responsible for maintaining all trading floor applications and

supporting them on a daily basis.

Implemented order management system (OMS) and execution system,

then worked on integrating OMS with the accounting system.

Implemented and manage all FIX connections and electronic trading

venues for trading floor.

Trading Floor Compliance Manager.

Responsible for set up of new funds.

Manage global proxy voting.

Work with Tax Department to run portfolios in a tax efficient manner.

Manage the Soft Dollar process and all external vendor relationships.

Member of the firms Best Execution Committee.

1998 2000 Morgan Stanley New York, NY

Vice President / Director of Operations Prime Brokerage Services

Managed a group of 12 with three direct reports for the Prime

Brokerage Operations Support and Client coverage team.

Liaised with Global Settlements Group to expedite client transactions.

Informed clients of upcoming Dividends and Corporate Actions.

Started an International Proxy service for Prime Brokerage clients.

Liaised with Network Management to introduce clients to new or

restricted markets. Kept clients informed of global market changes.

Liaise with the Trade Support team for the booking, repair and

monitoring of instructions through or agent bank system. Ensure that

trades executed with the firm were properly booked into client

accounts.

Managed the International Securities Lending desk for Prime

Brokerage clients to facilitate short selling and the lending of long

margined or fully paid positions.

Managed the tracking of global stock loan Recalls, Loan Terminations

and Buy ins for all clients.

Responsible for six Prime Brokerage relationships that were primarily

vested in emerging markets.

Managed the following projects for Prime Brokerage Y2K, Business

Continuity Planning, Business planning for the next Millennium,

Corporate Action Vendor Service and the implementation of a US

Domestic settlement system.

Generated 5 million in revenue in 1999 and 3.5 million in 1998 for

Prime Brokerage Operation.

1997 1998 Morgan Stanley Brooklyn, NY

Director of Operations – Prime Brokerage

EMU Prime Brokerage Coordinator.

Developed end user reporting for better management of trade

settlement. Created exposure and threshold reports using Microsoft

Access.

Implemented training course for new recruits – speeding profitability.

Generated 2.3 million in revenue for fiscal year 1997 from Prime

Brokerage Operations.

1996 1997 Morgan Stanley Brooklyn, NY

Supervisor/Manager – Prime Brokerage

Managed four analysts. Reported to Vice President.

Responsible for International Securities Lending Desk for Prime

Brokerage clients.

Liaised with Network Management to introduce clients to new markets.

Responsible for the settlement of International and Domestic Fails.

1993 1996 Morgan Stanley Brooklyn, NY

Analyst – Prime Brokerage

Primary responsibility of monitoring Recalls, Loan Terminations and

Buy ins for the Prime Brokerage area.

Liaised with Settlements group to expedite US Domestic fails while

executing buy ins on aged trades to comply with rule 15c 3.

Implemented a new and effective buy in tracking system that limited

the amount of buy ins passed on to Prime Brokerage client.

1989 1993 Kemper Clearing Corp. New York, NY

Unit Leader – Buy in and Reorg Dept.

Supervised eight people.

Firm Specialist on Continuous Net Settlement.

Utilize extensive knowledge of I.D. trade matching system.

Called sales Representatives to verify trades and executed trades when

margin extensions were up.

Expedited fails and loans on a timely basis, also handled mark to

market.

3

Balanced open trade ledger, managed deficit reports. Issued Stock

Loan and CNS buy ins.

Attended daily Management meetings.

1987 1989 Shearson Lehman Hutton New York, NY

Unit Leader Buy in Dept.

Supervised four people.

Handled daily buy in activity. Worked with the Fail Control Area,

Reorg and other operations area to expedite deliveries.

1984 1987 Kemper Clearing Corp. New York, NY

Clerk

Worked part time and full time while going to College.

Trained in various operational departments, similar to a management

training program.

EDUCATION

1987 1987 Pace University New York, NY

1985 1987 St. Johns University Jamaica, Queens

1981 1985 LaSalle Military Academy Oakdale, NY

ACTIVITIES

Board Member Exchange Club Parenting Skill Center of Stamford,

President Bethel Baseball Association, USA Baseball Coach and former

Board Member of the Andor Capital Management Foundation.

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