Customer Service Quality Assurance
Resume:
JEFFREY M. MARINO
Freehold, NJ **728
SUMMARY
Financial Services Operations Specialist with over 14 years experience in the banking and brokerage
industries. Strengths include Systems Support and Project Management, ACATS, Mutual Funds,
New Accounts, Retirement Products, Custody and Fixed Income Operations.
PROFESSIONAL EXPERIENCE
L-3 COMMUNICATIONS INC, Ft. Monmouth, NJ 2008 to 2009
Senior Management Specialist (Contract Position)
Serve as the designated Logistics Support Manager for several of communications and electronics
equipment and system programs logistically supported through the Command and Control Services,
Avionics Directorate within the Tactical Computers Branch for the US Army, CECOM. Work in
concert with weapon system teams, and Project Managers to plan, develop, or manage logistic
sustainment activities across an area of responsibility. Coordinate with customers for reimbursable
budget execution of approved logistics program requirements. Provide liaison as necessary with
respect to the specifications or statement of work to assure all work performed is within the scope of
the contract and that all statement of work (SOW) requirements are fulfilled. Represent the
organization in all assigned system and equipment logistics matters as the authoritative and expert
logistics management representative to major task groups who originate, review and modify system
policy and goals.
UBS INTERNATIONAL INC, New York, NY 2007 to 2008
Associate Director: (Documentation Research & Review)
Managed documentation processing for new accounts and existing clients, supervising a staff of 6.
Trained 7 UBS International branches and interfaced with these branches on a daily basis for
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client onboarding. Communicated all new account information to Compliance for KYC review.
Ensured that documents are sent for additional review to Legal Department (trusts,
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foundations, deceased account holders). Logged all new accounts and beneficial owners into the
document database (static data maintenance). Ensured that all exception and follow-up items
were entered on New Accounts follow-up/exception reports.
Liaised between Sales, Credit, Technology, Legal and Compliance departments in order to
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resolve new account issues. Managed new account and Anti-Money Laundering technology
projects as well as participate in policy/procedure development.
LEHMAN BROTHERS INC, Jersey City, NJ 2005 to 2007
Supervisor: (New Accounts /Client Identification & Documentation)
Managed new account processing supervising a staff of 3, for High Net Worth, including the
Neuberger Berman new accounts business unit, where I was lead analyst. Managed, AML (Anti-
Money Laundering) and Customer Identification Processing, and monitored Global Account
document processing for all branches, developed/tested new systems and participated in
updating/maintaining procedural manuals.
Liaised between Sales, Credit, Technology, Legal and Compliance departments in order to
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resolve issues with new account processes. Managed new account and Anti-Money Laundering
technology projects.
Lead project activities such as developing and testing new systems and participating in
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monitoring the service level agreements to Lehman Brothers branches. Supported the domestic
and international mark-to-market processes and CDO and P/S processing.
JEFFREY M. MARINO
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PERSHING LLC, Jersey City, NJ 1999 to 2005
Supervisor: Account Transfer Dept
Team Leader: Global Account Services (New Accounts)
Responsibilities in the Global Account Services area include a staff of 4, drafting a new procedural
manual, monitoring all Global Account document processing (Adoption Agreements, Beneficiary
forms, W8 & W9 forms, F1SA) as well as all international account processing (Static Data, Broker
Set-Ups, Settlement Instructions) via GLOSS and all User Acceptance Testing (UAT) for new
products and systems. Daily interaction with the International Trading Desk to reconcile unmatched
international trades. Active in developing and testing new systems and participating in monitoring
the firms’ service level agreements to Pershing customers.
Liaised between the technology and operations for changes in business policies and
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procedures.
Participated in customer training, assisted with the implementation of technology (USA
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Patriot Act, ALERT) and acted as a vendor liaison for new customer products.
Assisted with the coordination of projects to review accounts across all products and systems
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to ensure the proper documentation is on file. Coordinated with different areas (Compliance,
Legal, Trading, International) on internal and external policies to help maintain client
relationships.
Responsibilities in Account Transfer Dept. included a staff of 8 individuals; daily and
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monthly reporting, reconciling NSCC fail balances, firm suspense accounts (which include
accounts in excess of $5 million dollars). Processed all NSCC CUSIP exceptions, reviewed daily
NSCC Fund/SERV trades. Updated procedure manuals for audit purposes and tracked broker
dealer relationships with the various fund companies. Interacted and assisted the custody
department with restricted securities, stock transfers and quarterly audits.
NATIONAL DISCOUNT BROKERS, New York, NY 1998 to 1999
Supervisor: Account Transfer Dept.
Supervised a staff of 4, gathering daily, weekly and monthly data on all account transfers (volume of
about 400-800 accounts a month with a dollar value of about $500K). Maintained production reports
and monitored quality standards of the area. Helped to develop and test new systems to improve the
firms’ efficiency. Ensured the proper handling of all customer service inquiries (about 50 per day).
PERSHING DIVISION OF DLJSC, Jersey City, NJ 1996 to 1998
Senior Operations Associate: Securities Lending/Account Transfer Dept.
Duties in Securities Lending included all international loan settlements, setting up of all international
loans and borrow on LoanNet system. Also, helped out with the domestic and international mark-to-
market process as well as all CDO and P/S processing. Full knowledge of DTC terminal and
functions. Responsibilities in the Account Transfer Dept. included providing customer service to
Pershing correspondents, processing of all incoming and outgoing transfer (volume of 1100 accounts
per day). Processing of customer service inquiries, along with establishing and maintaining contacts
at various firms to ensure quality service to Pershing clients. Other tasks included retirement
journals, mutual fund transfers and daily interaction with other Pershing departments.
CHEMICAL BANKING CORP., New York, NY 1994 to 1996
Senior Operations Specialist: Retirement Investment Center
Duties included:
• Correcting retirement transaction codes, maintaining decedent and beneficiary accounts
according to Internal Revenue Service rules and regulations including 1099R adjustments.
JEFFREY M. MARINO
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• Developing and testing new systems, quality assurance responsibilities and a liaison between
departments. Processing retirement distributions, custodial transfers and death distributions.
• Thorough working knowledge of LAN administrative functions.
EDUCATION
B.S., Finance, St. John’s University – New York, NY, May 1994
COMPUTER SKILLS
Proficient in Bloomberg, Reuters, Wilco GLOSS, major applications of MS-Office, LoanNet,
Worldcheck, Lexis/Nexis, Adobe applications
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