Office Manager

Peter Antinozzi

*** **** **** ***, **** Head NY, 11545

ac1k1r@r.postjobfree.com / 203-***-****

Summary

Experienced capital markets professional with extensive knowledge across numerous financial products. Established and improved existing middle office processes and control procedures to mitigate and limit risk exposure. Co-manager and team leader, who influences and builds strong relationships with internal and external clients. I value challenges, learning new skills, and communication, my greatest pleasure is exceeding the client’s expectations and mentoring other team members.

Work Experience

Wells Fargo Securities New York, NY

Assistant Vice President – Equity Middle Office July 2011– Present

Collaborated with front office, technology, compliance and back office operations to create a new middle office group

Manager for middle office across ETF, program trading and Cash platforms

Operational subject matter expert for equity front office and their clients

Created new risk position and PnL reconciliation control process between front office and back office systems for entire equities platform

Manager of daily PnL reconciliation process, sign off on daily PnL with internal product control groups and business management

Identified risk control gaps with back office operations and effectively worked with management to make changes

Established and manage aged fail, affirmation and DTC reject reports

Built flash PnL process for Program and ETF desks, provide daily flash PnL to upper management

Automated end of day commission reporting for Algos trading business

Manage and coordinate daily back office functions with operation professionals in Charlotte NC

Manage corporate action and reorg events for cash equities division

Established and manage ETF creation and redemption process – coordinate with front and back counterparts

Review all trust indentures and legal documents associated with Authorized Participant Agreement process – coordinate with legal

Worked with technology to map out and automate inter-desk booking transfers

Manage client onboarding for new cash equity and soft dollar clients

Worked with back office and technology to establish new non-dollar equity operational flow to support new international equity business

Mentor and train junior team members

Cross train with other middle office groups to ensure business continuity

Collaborate with other middle office groups across product classes – Fixed income, Equity Derivatives, Commodities

Elected by management to represent NY on Empowerment Committee, Mentor Program and Mobility Committee

Products and desks supported include cash equities foreign and domestic, Algos, equity ETF, Fixed income ETF, ETN, Convertibles, preferred equities, futures, swaps, risk arbitrage, listed derivatives, single stock options

Extensive experience with Broadridge, Bloomberg, Salesforce, Fidessa, Sunguard Brass, Flex trade, ACT,OMSs

FINRA Series 7

Royal Bank of Scotland Group Stamford, CT

Associate - Equities Middle Office September 2009 – June 2011

Established middle office for cash equities, convertible bond and program trading desks

Established and managed ETF creation and redemption process

Managed client services across all geographical locations.

Managed convertible bond client services

Managed buy-back operations

Equity market exposure includes: Asia/Pacific, Europe, Latin America and US Domestic.

Products include cash equities, ADRs, GDRs, ETFs, Convertible Bonds, P-Notes, swaps, equity derivatives.

Morgan Stanley New York, NY

Contractor - Program/Electronic Trade Support and Middle Office March 2009 – July 2009

Supported the program and electronic trade desks.

Performed daily P&L reconciliation on accounts that hold risk, investigated old discrepancies

Gerald Metals Inc. Stamford, CT

Risk Associate/Trader assistant May 2007 – October 2008

Managed PnL for portfolios containing physical exposure in Copper, Oil, Aluminum and Precious Metals products

Managed firm risk by ensuring physical portfolios were hedged properly using derivative products on CME and LME

UBS Investment Bank Stamford, CT

Analyst - Program/Electronic Trading Middle Office June 2005 – May 2007

Provided trade support for 15 traders on the program trading desk. Direct exposure to domestic and international equities, Convertible Bonds, ETF's, ADR's and OTC/pink sheet transactions.

Limited the banks risk exposure involved with US markets and highly sensitive international markets

Source Capital Group Westport, CT

Trader July 2004 – May 2005

Executed equity, fixed income, mutual fund and derivative products

Education

Hobart and William Smith Colleges Geneva, NY

Bachelor of Arts 2000-2004

Majored in Economics

Minored in History and American Studies

Member of Sigma Chi

Member of Deans List

New York University Online

Certificate Program 2016-2017

Certified Financial Planner program

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