Customer Service Quality Control

Greg Bayvel

*** ***** ****** - *******, ** ****0 973-***-**** -

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

Profile

TRADING & OPERATIONS SPECIALIST

An exceptionally motivated and academically prepared financial specialist

with trading, project management, trade support, operations, supervisory,

managed accounts, and customer service experience with top-flight

investment organizations. Current part-time Rutgers MBA student with

Finance concentration. Double major in Economics and Management and Labor

Relations from Rutgers University. Successfully initiated and contributed

to multiple key projects utilizing superb communication skills, team

participation, and personal commitment to excellence. Excellent exposure

to challenging problems providing opportunity to produce significant,

positive outcomes. Recognized for eagerness and ability to master new

roles. Strong familiarity with both domestic and international equity

markets; various fixed income products (ABS/MBS, Government, Agency,

Corporate, Municipal, Structured Products).

Core Competencies

Analytical/Quantitative Problem Resolution/Financial Instruments/Market

Analysis

Excellent Computer & IT Skills /Administrative & Operations Competencies

/Project Management

Outstanding Customer Service/Team Leadership/Training & Mentoring

Career Progression

METLIFE SECURITIES, ISELIN, NJ

2/2009 - CURRENT

Team Leader, Trading

Execute and verify equity, option, fixed income, UIT, and mutual fund

transactions. Collaborate with contra brokers and clearing agent to resolve

trade breaks. Operate in a fast paced service intensive atmosphere while

maintaining an acute attention to detail and customer service. Resolve

escalated issues.

. Execute fixed income, equity, option, UIT, and mutual fund trades

on behalf of registered representatives for four broker dealers.

. Educate and instruct representatives by providing detailed

analysis of all fixed-income product offerings and advise

representatives on the fixed income options based on their client's

parameters.

. Ensure adherence to internal policies and procedures in addition

to FINRA and MSRB regulatory guidelines: Fair Mark-Up, Best Execution,

Trade Review, SEC Books and Records data.

Beltone Enclave Securities, New York, NY

9/2008 - 12/2008

Trader/Trade Support, MENA Markets (Middle East/North Africa)

Responsible for the execution and verification of daily equity trades on

behalf of our buy side Mutual and Hedge Fund clients. Played point role in

investigating and resolving all trade breaks and trade reconciliation

issues.

. Worked closely with the Head Equity trader, as it related to the

handling of client executions and settlements. Responsible for the

resolution of any account maintenance and settlement issues.

. Dealt with counterparties and clients, providing market,

position, and execution information.

. Maintained all daily/monthly/quarterly trade statistics.

Responsible for reconciling ledger with incoming payments.

Neuberger Berman (Lehman Brothers), New York, NY

7/2007 - 8/2008

Trader/Project Lead - Commission Reporting

Supported all portfolio/program and single stock trading for the

International and Domestic trading groups. Assisted other team members in

generating pre- and post-trade analysis for all international program

trades; measured performance and market impact to formulate best practices.

Generated Quarterly Mutual Fund Board and Commission Budget Committee

presentations. Played integral role in investigating and resolving all

trade breaks and trade reconciliation issues; collaborated with multiple

internal groups (traders, support, IT, etc.) in formulating best practices

and improved efficiencies. Created and nurtured CSA relationships;

processed payments to third party research providers and reconciled

accounts.

. Coordinated the implementation and operation of a new commission

reporting platform that improved custom reports used by Portfolio

managers, Compliance, Accounting, Internal Audit, and Private Clients.

. Provided key support to the Quantitative Investments Group

evaluating trade reconciliation and order management for multiple

products and markets during the launch of the 'Q Fund', a multi-

strategy global hedge fund.

AXA Equitable, LLC, New York, NY

3/2005 - 7/2007

Supervisor -Mutual Fund Operations

Directed operational activities including new account processing, mutual

fund networking, transfers, quality control, customer service, and trading.

Guided staff to trade capture, trade corrections, and transfer processing;

resolved escalated issues affecting service or trading issues. As

designated Principal, assigned approval to multiple accounts including IRA,

529, Individual, Joint, Custodial, and Trust accounts. Conducted

suitability reviews for both Brokerage and Direct Mutual Fund Accounts.

Advised clients about fund fees, performance, and various maintenance

issues. Collaborated with TPA's and fund sponsors on corporate 401(k) and

ERISA retirement plans.

Trading Analyst/ Order Entry Specialist

Executed and verified daily fixed income, option, equity, and mutual fund

transactions. Collaborated with contra brokers and clearing agent to

resolve trade breaks and process trade corrections. Generated and

maintained multiple spreadsheets reflecting daily, monthly, and annual

trading statistics. Trained and mentored new staff. Collaborated with

Operations, Surveillance, Compliance, and Reporting ensuring correctness of

internal and external policies and procedures.

Mutual Fund Analyst / Team Leader Trading

Participated in operational activities including new account processing,

mutual fund networking, transfers, quality control, customer service, and

trading. Provided key input to IT in the development and implementation of

a new imaging and processing system.

Education

MBA CANDIDATE RUTGERS UNIVERSITY (2012): CONCENTRATION IN FINANCE AND

MANAGEMENT (GPA: 3.876)

B.A. Management and Labor Relations & Economics: 2004

MINI MBA: Business Essentials Program 2006 / MINI MBA: Finance Essentials

Program 2007

Rutgers University, New Brunswick, NJ

Rutgers University lacrosse varsity letter winner and High school first

team All-American

Licenses & Professional Certifications

LICENSES: SERIES 7, 63, 24, 4, 53, & 55

Computer Proficiencies

MICROSOFT EXCEL, WORD, POWERPOINT, OUTLOOK; LOTUS NOTES, COMMTRAK, CSA

TRAK, REDIPLUS, MCGREGOR (MERRIN), KNIGHT BONDPONIT/VALUEBOND, NET

EXCHANGE PRO,NETX360, PERSHING MAINFRAME AND EVIEWS. WEB BASED ACCOUNT

MANAGEMENT SYSTEMS DST VISION AND ADVISOR CENTRAL; BLOOMBERG, OASYS/GLOBAL

OASYS, THOMSON ONE.

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