Sales Account Executive

MICHAEL SROGA

*** ************ ****

Levittown, NY 11756

Home: 516-***-****/Cell: 516-***-****

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

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EXPERIENCE:

*/**- ******* ***** *******

New York, NY

Global Middle Office Trade Support

. Support several desks including equities/electronic

trading, options, convertibles and commission management.

. Responsible for the integrity of trade booking and trade

maintenance.

. Manage firm inventories and reconcile trade breaks.

. Liaison between clients, P&S, corporate actions and

settlements departments to ensure proper settlement of

trades.

. Research and review new accounts to meet Know Your Client

(KYC) requirements.

. Calculate daily and monthly P&L and trade summaries.

. Work with technology and sales to satisfy client requests

for end of day reports.

. Train and supervise convertibles support employee.

. Integrated clearing process for convertibles desk to access

our proprietary algorithms.

. Coordinated efforts with other support groups to implement

new clearing process for European & Canadian securities.

. Coordinate efforts with other support groups to improve

upon clearing process for convertibles desk.

. Trade equities and programs utilizing a hybrid model of

algorithms, dark pools and manual trading to provide best

execution of a variety of trade sizes.

. Responsible for providing sales coverage to clients during

the absence of their primary sales trader.

. Monitor performance of algorithms; identify and resolve

issues that arise.

1/05- 7/06 WALLSTJOBS.COM

Great Neck, NY

Account Executive

. Introduced products and services to prospects and existing

clients.

. Maintained member satisfaction by providing effective

client servicing.

1/04- 5/04 SMITH BARNEY

New York, NY

Financial Consultant Intern

. Evaluated client portfolios using fundamental and technical

analysis.

. Examined factors affecting markets and recommended

strategies for potential capitalization.

EDUCATION: St. John's University

Queens, NY

Bachelor of Science: Finance - May 2004

Concentration: Marketing of Financial Services

Major GPA: 3.75/4.0 Cumulative GPA: 3.4/4.0

LICENSES: Series 7, 63 and 55

SKILLS: Bloomberg, SSEOMS, TOMS, FlexTrade, Portware, Fidessa, ACT,

Trace, ADP, BPS, BETA, BearPrime/MORCOM, Liquidpoint, MS

Word, Excel, Powerpoint

LANGUAGE: Conversational Polish

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