Experienced Manager

FRANK CASTELLUCCIO

***************@***.*** 917-***-****

SUMMARY

Results oriented Senior Financial Executive with progressive operations and systems experience encompassing regional firms and Wall Street icons. Proven multi-level leader with a history of significant managerial achievements in both institutional and retail trading operations. Offers a strong blend of knowledge and experience in the financial services arena, specializing in providing firms with cost-effective.

Astute leader, motivator, administrator, and communicator; adept at improving processes, developing systems, and reducing costs. Experienced and focused problem solver utilizing technology to craft innovative solutions that expand business. A team builder with deep knowledge of collaborating in a multi-disciplinary and diverse, and dynamic business environment. A visionary manager who successfully led clients through the evolutional financial, technology and regulatory changes that have defined financial services industries over the last two decades.

Extensive integration experience, Strong application development manager, Disaster recovery programs, Implemented multiple CRMs (custom & packaged), Technology procurement, Implemented multiple document workflow systems, Solid vendor management skills, Built multiple data warehouse repositories, engineering, Experience managing outsourcing & shared services. Known for versatility and effectiveness in fiercely competitive and stressful situations.

EXPERIENCE

eDelta Consulting 01/2014- Present

Director

Providing management experience, practical business knowledge and technical expertise in the delivery of value-added services to organizations in both regulated and non-regulated industries. Develop business and technology solutions to help Company’s remain competitive while improving overall internal control, minimizing security and operational risks, and increasing efficiency and user/customer satisfaction.

GLEACHER & COMPANY 09/2009-12/2013

Executive Managing Director/Head of Operations/Chief Administrative Officer

• Direct report to CEO responsible for initial start up and expansion of infrastructure of fixed income broker-dealer, including: trade operations, technology and administration.

• Oversee company operations including controls and processes relating to account opening, trade clearing and settlement.

• Continuous review and refinement of processes and procedures to mitigate operational risk.

• Function as CTO, with overall planning, implementation and management responsibility for complete technology infrastructure (hardware, network and telecom architecture) across 10 branches nationally and technology staff (both in-house and outsourced professionals).

• Lead team comprised of senior members of operations, technology, trading and compliance to incorporate best practices and process improvements.

• Automated consolidated reporting processes across multiple departments (compliance, finance, Risk Management and Sales) minimizing both manual intervention and reporting errors.

• Designed and coordinated development of proprietary sales tracking and processing system.

• Manage annual external audits of operations, technology, and administration departments.

• Roll out third party products including electronic trading platforms, lead generation software and other trading and sales product specific software to enhance profitability

• Responsible for development and managing annual capital and operating budgets in support of the firm’s operations, technology and administrative functions.

• Management all vendor relationships (from initial contract negotiation to ongoing service review) for technology products, market data, data communications services.

• Continuous review of expense management and implementation of cost effective procedures

• Instituted centralized help desks.

• Negotiate branch leases and manage complete building out firm’s regional offices.

JEFFERIES & COMPANY 08/2002-09/2009

Managing Director

• Provide oversight and management of the financial accounting and controls, funds administration, human resources and information technology functions of the FI Division which had 525 professionals.; emerging markets, private equity and marketable securities firm.

• Oversee the implementation and control systems for the operations across the U.S., Europe.

• Coordinate the activities of service providers for the delivery of fund administration, custodian, and information technology services.

• Responsible for the delivery of fund performance and underlying portfolio investment valuation reporting. Accountable for the delivery of consolidated financial planning & analysis, budgeting & forecasting, federal, state & local tax preparation and legal entity audit coordination.

• Supervise the creation and delivery of legal documentation associated with the creation of operating company and fund legal entity formation and operating agreements.

GRUNTAL & CO, LLC 01/1987-08/2002

Senior Vice President

• $12MM to $22MM; profits quadrupled – all while maintaining operations staff and costs within budget.

• Converted outdated trading and clearing systems to Bloomberg Trade Order Management System, coordinating with ADP. For front office and institutional customers, managed the creation and deployment of an e-trading system to over 600 customers representing broker dealers and buy-side firms.

• Led a multi-level staff supporting floor operations at the NYSE, AMEX and CBOE.

• Managed all aspects of clearing, comparison, customer service and trade support through the implementation of Y2K changes, within budget and established timeframes.

• In support of Gruntal’s overall regulatory compliance, enhanced existing trading systems to monitor activity for both the retail and institutional divisions of the firm.

• Trade Services, implemented systems for the processing and clearing of options trades, and the management of the option expiration process.

• Developed and implemented system for identifying breaks and properly reconciling the trades - reducing costs and increasing customer satisfaction.

• Established cost-effective controls while analyzing operations – improving productivity and solving significant business issues for the clearing firm.

FINANCIAL CLEARING AND SERVICES 01/1983-01/1987

Vice President

• Responsible for processing and clearing options.

• Managed the Purchasing and Sales Department, specializing in trade comparison and order room functions.

• Developed and implemented systems and procedures in the start-up of the company’s trade processing and clearing operations.

TUCKER ANTHONY 01/1981-01/1983

Senior Operations Control Administrator

Audited procedure in various operational departments, instituting controls as required.

EDUCATION

ALMEDA UNIVERSITY 2002 - 2004

BBA, Bachelor Of Business Administration

BROOKLYN COLLEGE 1973 - 1973

INTERESTS

sports, cars

ASSOCIATIONS

Member of Cambridge Who’s Who

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