Customer Service Office

GENE LA ROE

*** **** ****** *** **** Phone # 718-***-****

www.linkedin.com/in/genelaroe *********@*****.***

PROFESSIONAL SUMMARY

Experienced in the fast-paced financial service industry with a strong understanding of trading lifecycles. A highly organized problem solver and trade support professional with Operations and Middle Office acumen across many different asset classes. Capable of multi-tasking, coordinating inter-departmentally, and resolving complex issues. A “Client first “attitude with a strong desire to learn new products.

CAREER EXPERIENCE

AMERICAN STOCK TRANSFER AND TRUST, New York, NY Dec. 2015 – Present

Maintain shareholder’s accounts.

Researching and resolving client service issues.

Stock sale orders, and transfers between Investment banks.

Explaining Re-org agendas to shareholders, and investment Bankers

INSTITUTE OF CULINARY EDUCATION, New York, NY July 2015 – May 2016

Stewarding department

Setting up Classrooms, as per the Head Chef’s instructions

Inventory

NATIONAL MERCHANTS SERVICES, New York, NY May 2014- Sept 2014

A contract role, Appointment Agent responsibilities include Client Services, and very high call volume setting appointments for the sales force.

Data Entry and Sales position.

OKAPI PARTNERS. New York, NY OCT . 2013 –Nov 2013

1 month contract position with Shareholder Services.

Communicating to shareholders the necessary information in order to obtain their proxy vote for upcoming shareholder meetings.

Updating Shareholder data base.

DEPOSITORY TRUST & CLEARING CORP. New York, NY JUNE 2011- Apr. 2012

Operations Department - Credit Derivatives and Syndicated Loans. DTCC’s Open 24 hours a day, 6 days a week. I worked primarily the 5pm to 2am night shift, and switched to the day shift as needed.

Supported Credit Default Swaps and Syndicated Loans.

Answered & Resolved client banks questions & issues regarding account setups, cash-flow and coupon issues, miss-matches in trade details.

Produced regulator reports by compiling and validating the CDS data using Excel Pivot tables and V-lookups for the United States Treasury Department and European Regulators as well as ISDA in conjunction with the Dodd Frank Act, and regulations abroad.

Set up credit event master records as instructed by ISDA so firms can process transactions in TIW (Trade Information Warehouse) in order to update participant’s trades to reflect the outcome of the credit event involved.

Worked alongside the I.T. department, testing new applications within DTCC’s proprietary cash-flow and settlement platforms. Specifically within the DerivSERV and LoanSERV environments to ensure integrity of client data.

BRADESCO SECURITIES, New York, NY NOV. 2009-SEPT.2010

Middle Office, Equity and Fixed Income Settlements.

Reconcile trade breaks, oversaw settlement discrepancies and resolutions, and trade booking & processing.

Opened Institutional Client accounts for the sales force on Omgeo’s ALERT.

Interacted daily with clients and internal sales force regarding trade allocations and commissions for Institutional accounts and Retail accounts and -on the phone and over Omgeo’s OASYS.

Liaised with Back Office (National Financial) to ensure settlement of Equity and Fixed Income trades on settlement date.

CREDIT SUISSE, New York, NY 2000 –Jan 2009

Middle Office- Equity Trading Support, Private Banking Division USA. (PB USA)

Acted as liaison between Credit Suisse Front Office Trading Desks and Pershing's Back Office proprietary platforms. Equity Trade Support both Domestic and Foreign.

Successfully coordinated the updating of trading desk's proprietary trade billing applications with the Information Technology department aimed at improving efficiencies, improving service for the PB USA clients, identifying process weaknesses through UAT, and minimizing risks to the PB trading desk.

Reconciled trade breaks/ settlement discrepancies with the back office (Pershing) for foreign and domestic equity and currency trades.

Interacted with Institutional Clients on trade allocations, and communicating trade discrepancies and fails for both domestic and foreign equity trades resulting in 100 percent resolution.

Interacted daily with clients regarding trade allocations and commissions on the phone and over OASYS -Trade booking and corrections. Foreign (Asia, Europe, South Africa Equities) and Domestic.

Participated in cross functional/and cross departmental initiatives such as Liaising with other Trading Desks within Credit Suisse such as the Monetization Desk (both Foreign and Domestic Monetization desks) the FIX trading Desk, and the Foreign Equity Trading Desk, regarding billing and settlement of PB USA client trades.

Monitored and balanced PB USA’s trading accounts, including monitoring P&L.

Updated and maintained internal securities data base.

DONALDSON LUFKIN AND JENRETTE, New York, NY 1997 - 2000

Operations, DLJ Over the Counter Equity Trading Desk.

Monitored and balanced OTC Market Maker's Trading Accounts for discrepancies in shares and money through trade break reconciliation.

Reported Broker to Broker trades through ACT, to ensure compliance with NASD & SEC regulations.

Allocated shares for client accounts in OTC Syndicate IPO and Secondary Offerings.

Trade booking / trade booking corrections and processing.

PROFESSIONAL SKILLS

Proficient with DTCC’s proprietary cash-flow and settlement platforms – DerivSERV, LoanSERV, TIW ( Trade Information Warehouse)

Microsoft Outlook, Excel and Word literate.

Proficient with Omgeo’s Domestic & Global OASYS.

Proficient with Omgeo’s ACT.

Well versed in Omgeo’s Alert.

OMAN Trading Platform (Similar to Bloomberg’s TOMS).

Well versed in Bloomberg’s TOMS

QTE (Quick Ticket Entry).

Net X 360 (Pershing’s foreign transaction booking application.)

Moderate Accounting skills

Excellent social and communication skills, customer service skills.

Strong problem solving/dispute resolution and analytical skills.

Data Entry skills

www.linkedin.com/in/genelaroe

EDUCATION

BA, Psychology, Saint John's University. Queens, NY, 1995

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