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Sales Management

Westwood, NJ
March 25, 2018

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Experienced operations professional in global trade processing and all areas of operational support. Expertise in supporting investment traders, sales, compliance and legal with daily business matters. Demonstrated ability in leading project management objectives that reduced risk and improved operations procedures firm wide. Effective communicator and leader, ability to thrive in pressure situations and succeed in a team environment. Dedicated to servicing all external and internal clients and providing a positive and rewarding experience. Ability to coordinate with various areas of Operations, Technology, Compliance, and senior management to maintain and improve procedures and processes. Experienced in project management, including documentation of requirements, risk metrics and data within tight deadlines. Highly motivated, team player dedicated to resolving issues quickly and precisely. Ability to investigate and resolve problems pertaining to daily business activity and implement process improvements and systemic upgrades.


Trading/Sales Operations: Proficient in trade capture, confirmation, allocation & settlement of domestic & international fixed income and equity products, U.S. Government securities, derivatives, futures and OTC securities. Proficient in daily reconciliation of trading portfolios, Corporate Actions and P&L. Experienced in Prime Brokerage services and Alternative Investments/Hedge Fund Operations.

Risk Management(KYC/AML): Production of detailed daily reports on P&L, unsettled trades and portfolio holdings. Spearheaded initiatives to improve new account opening processes, trade day confirmation and automated allocations. Lead Associate for UAT projects to improve trade capture and settlements, reduce firm risk and support

Wealth Management: Experienced in client services and portfolio management to high net worth investors and families. Cultivate and managed all aspects of the client relationship, including account opening, management of investment decisions and securing of mortgages and credit. Assist with prospecting of new business and increasing of assets under management.


Robert Half Financial New York, NY Senior Operations Associate/Fixed Income Middle Office 10/2014-11/2017

Senior Operations Associate for Mizuho Securities, Jefferies and APG Asset Management

Trade Capture/Allocation for Fixed Income, US Government, Equity, FX, Derivatives and Futures

Supervised UAT projects designed to reduce fails, decrease risk and aided in quarterly audit reviews

Processed all Corporate Actions and performed daily reconciliation of fixed income and OTC trade portfolios

Provided support to Syndicate trading desk with daily trading activity and bank loan processing and document retention

Served as main point of contact for all clients and hedge funds; responded to all client calls and emails regarding investments

Worked on initiatives to streamline operational processes and reduce risk and improve efficiencies

Identified and acted on all high priority client issues and provide first level quality client service for high volume clients

AIG Wilton, CT Senior Fixed Income Portfolio Associate/Middle Office Control 7/2013–9/2014

Trade Capture, confirmation and allocation of all Equity, Fixed Income and U.S. Government Securities

Managed UAT testing for the introduction of Bloomberg TOMS, Broadridge/Impact and State Street software

Directed the training of office staff in Dublin, Ireland in matters of trade and sales/support for daylight coverage

Established Prime Brokerage Plus Services with Dublin team, escalation point for Prime Brokerage Clients

Prepared client facing materials used in soliciting new client relationships and assisted compliance in onboarding new clients

Coordinated DTC and FX settlement of trades with Dublin office, maintained domestic and FX client database

Performed EOD reconciliation for all portfolio’s, monitored funding to facilitate next day’s trading activity via State Street

Managed domestic and foreign client relationships, notified client of system upgrades, market events and product offerings

International Market Recruiters New York, NY Middle Office Operations Associate/Prime Brokerage Analyst 3/2009–7/2013

Senior Operations Associate for The Bank Of New York, UBS, Ally Financial, NY Life and RBC Capital Markets

Deutsche Bank New York, NY Senior Associate Trading Assistant Fixed Income/Derivatives/Agencies 6/2005–3/2009

Managed the trade capture, confirmation and settlement process for Emerging and Capital markets desks, U.S. Government Securities desk and MBS/ABS and Repo desk. booked and confirmed all Tri-Party Repo trades and Commercial Paper Trades

Sales desk team leader providing supervision to junior sales assistants; participated monthly meetings with managing directors dedicated to issues surrounding trading, compliance and risk management improvements

Created procedures to expediate the opening of new accounts and updating settlement instructions for existing customers

Assisted back office with domestic/FX trade breaks, Fixed income and Equity fails and unconfirmed trades

Supervised the monthly live auction of U.S. Government securities, managed the pricing of treasuries, allocation of matched securities to the sales force and confirmed trades with domestic and foreign counterparties

Performed daily reconciliation of all fixed income and equity trading blotters, tracked all trade breaks and open positions

Managed the introduction of the Broadridge/Impact trade capture software to the firm; collaborated with ADP and IT in creating the UAT Testing scenarios performance metrics, produced the training manual used by associates after installation

Supported Rates trading desk with trade capture confirmation and settlement of all derivative trades, provided P&L reports

Assisted In quarterly audit reviews with compliance; produced reports for compliance and legal regarding risk findings

JP Morgan Chase New York, NY Fixed Income Trade Support Associate/Client Services Associate 9/2001–6/2005

Responsible for trade capture, confirmation and settlement of fixed income, equity, and U.S. Government securities for Emerging and Capital markets, MBS/ABS and U.S. Government trading desks

Supervised junior trade support associates, responsible for training of all new associates and participated in department meetings with senior management concerning daily trading activity, new account procedures and failing/unmatched trades

Directed trade capture, allocation and settlement for FX counterparties, manged account opening for FX accounts

Oversaw daily reconciliation for trade positions for Emerging and Capital Markets trading books, produced daily P&L

Arranged meetings with high volume trading clients to ensure customer satisfaction and superior trade execution

Managed the introduction of the ADP/Impact trading platform to JP Morgan, supervised training for JP Morgan associates

Assisted with the transition of Prime Brokerage Services from Delaware to Brooklyn, assisted with training of associates

Initiated procedures that reduced failing and unmatched trades and streamlined account opening measures

Participated in monthly risk management meetings with compliance directors, legal and sales managers to review risk management protocols, upgrade KYC/AML training and introduce new client service strategies to improve customer relations


Citibank New York, NY Citi Gold Sales Assistant-Private Banking/Wealth Management 4/1997–8/2001


Bachelor of Arts in Philosophy 5/1995

Syracuse University, Syracuse, NY


Financial Industry Regulatory Authority (FINRA) Registrations: (Aug 2013)

General Securities Representative (Series 7)

Uniform Securities Agent State Law Examination (Series 63)


Microsoft Office Suite (Access, Excel & PowerPoint) ADP/ICI Impact Aladdin Bloomberg/TOMS Bony Clear Par

DTCC Euroclear Euclid Finra/Trace Geneva Gloss GSCC MarketAxess Markit Wire MBSCC Net-Ex 360/Pershing Oasys

Omgeo/Alert PAM State Street SQL Summit Swift TAAPS Thomson/Reuters

TradeBlazer Trade Web VBA Wall Street Office WinFits

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