Quality Assurance Sales

LEON TUCKETT

*** **** ***** ****** #** ( New York, New York 10026

646-***-**** ( ****.*******@*****.*** ( LinkedIn Profile

EXECUTIVE-LEVEL MANAGEMENT: Vice President of Operations

Dynamic operational executive with 13 years of demonstrated leadership

experience increasing revenue and driving profitability through continuous

improvement and business strategy development. Results-driven, with

energetic approach to launching new processes, modernizing outdated

methods, and motivating team leaders to attain far-reaching goals.

Extensive capabilities in risk mitigation, cost control, and resource

allocation. Highly effective communicator, promoting interdepartmental

interaction for worldwide alignment and cooperation. Seasoned business

development expert with proven record optimizing expansion and driving

business growth. Accomplished organizational unifier, creating tactics for

team building, managerial development, and change innovation. Agile problem

solver with keen abilities in identifying areas of improvement and

spearheading change. Proven record leading operations and creating superior

processes for achieving companywide success.

Risk Mitigation ( Operational Process Improvement ( Quality Assurance (

Global Coordination

Strategic Development ( Revenue Growth ( Multibillion Dollar Accountability

( Market Research & Analysis

Client Relations ( Full Project Lifecycle Supervision ( Regulatory

Compliance ( Change Management

Proactive Leadership ( Problem Resolution ( Team Building ( Adaptability (

Effective Communication

PROFESSIONAL EXPERIENCE

THE GOLDMAN SACHS GROUP, INC., New York, New York ( 2000-2013

Leading global investment banking, securities, and investment management

firm staffing ~33K worldwide.

Vice President / Department Manager / Interest Rate Derivative Ops ( 2007-

2013

Spearheaded 6-member team performing Interest Rates Swaps Desk back office

support for multibillion dollar overall transactions. Led team in

conducting economic trade affirmation, confirmation retrieval, and

settlements. Analyzed daily trade volume, open trades, and outstanding

confirmations reports. Determined risk and identified lower-risk /

manageable risk. Partnered with account analysts and collaborated to

resolve issues in economic confirmation, trade retrieval, or settlements.

Maintained ongoing communication with managerial colleagues and worked

interdepartmentally with Legal, Credit, Technology, Treasury, Front Office,

Managing Directors, and Partners. Ensured regulatory compliance and

adherence to company standards.

Finance & Resource Enhancements:

. Controlled human resources costs by creating global monthly report for

monitoring headcount associated with performing daily settlements,

determining optimal headcount month-by-month at a global level.

. Significantly cut costs by eliminating unnecessary settlement functions.

Operational Improvements:

. Led team to consistently achieve lowest number of outstanding trade

affirmations, confirmations, and unresolved settlements globally.

. Boosted efficiency by streamlining settlement processes.

Selected Achievements:

. Attained distinction and senior management respect by continuously

providing feedback leading to positive change and unfailingly

accomplishing expected goals and stated outcomes.

. Seamlessly managed multi-year inter-regional job migration by

communicating new goals, reassure team members of continued employment,

and presenting changes as new opportunities for growth.

. Earned licensure: series 99 (Operations Professional).

Associate: Credit Derivative Operations ( 2005-2007

Directed multiple trade lifecycle aspects through extensive communication

with clients, sales / trading, and various operational support teams.

Ensured accuracy and client understanding by verbally confirming all trade

details when contract paper matching. Cultivated key broker dealer

relations and client network, including hedge funds, asset managers, and

municipalities. Assessed and mitigated operational risk. Promoted positive

outcomes during contract disputes by maintaining courteous approach

throughout confirmation process.

Selected Achievements:

. Achieved team leader status after successfully managing key assignments

by strictly limiting high-risk items and promptly raising items to senior

managers.

LEON TUCKETT ( Page 2 646-***-**** ( ****.*******@*****.*** ( LinkedIn

Profile

THE GOLDMAN SACHS GROUP, INC., Associate: Credit Derivative Operations,

continued:

Selected Achievements:

. Actively contributed to internal IT infrastructure enhancement and

development through direct project involvement, enabling financial

operational insight within new systems.

. Effectively oversaw all post trade support for Credit Derivative desk

within lean department and time-constrained environment by prioritizing

tasks and determining optimal time allocation processes.

. Resolved issues prior to escalation by proactively developing extensive

product knowledge, enabling quick-response abilities in identifying when

corrective measures were needed.

Analyst: Equity Trade Management ( 2002-2005

Headed Served as point of contact for trading and portfolio management.

Teamed with colleagues and vendors to resolve application and functional

issues. Authored procedural documentation for improved efficiency and

sharing strategic initiatives. Conducted quality assurance testing for

investment management systems. Coordinated options involving movements with

brokers, custodians, and clients. Provided support for lifecycle funds and

oversaw fund portfolio, including investment allocation models.

Selected Achievements:

. Utilized up-to-date tools to track and troubleshoot trades, processing

both manual and electronic trade allocations for equity trades.

. Provided trade processing function support and enabled sales desk success

by booking and processing syndicate deals, assisting with numerous

functions from allocation through settlement.

. Enhanced operational success by collaborating with sales / trading,

clients, and various teams interdepartmentally for optimized trade

booking accuracy.

Analyst: Transfer Custody ( 2001-2002

Oversaw corporate client records of investors, transactions, and account

balances. Assessed transfer agent performance results in issuing

certificates, performing investor communications, and proactively managing

problems, including inaccuracies or missing certificates. Evaluated

workflow and developed recommendations for system improvements to build

more efficient methods of gathering and analyzing data.

Selected Achievements:

. Empowered transfer agent productivity by providing physical certificates,

stock powers, corporate resolutions, and trust agreements for fast and

accurate processing.

. Monitored transfer agent performance by conducting verification on

pending and open transfer request and ensuring client accessibility to

records and information.

. Restructured systems and improved processes by implementing account type

and CUSIP changes for restricted stock positions.

Analyst: Mutual Fund Operations ( 2000-2001

Coordinated mutual fund portfolio management and sales. Cultivated key

internal and external customer relations. Utilized extensive equity

knowledge to design mutual fund strategies and effective portfolio

performance evaluation processes. Analyzed results of performance and risk

attribution, collaborating with colleagues to implement improvements.

Ensured compliance with legal regulations and established protocols.

Selected Achievements:

. Improved client retention through ongoing communication, serving as

liaison between key company contacts and private client services.

. Promoted operational best practices by updating and maintaining

department procedural manual and checklist.

. Ensured detailed and accurate records by reconciling all mutual fund

positions held in client accounts, as well as by performing mutual fund

asset exchange class conversions for former employees.

EDUCATION

Bachelor of Science in Business Management

St. Johns University, Queens, New York

LICENSURE

Series 99: Operations Professional

LEON TUCKETT

304 West 117th Street #6K ( New York, New York 10026

646-***-**** ( ****.*******@*****.*** ( LinkedIn Profile

Dear Sir / Dear Madam:

With 13 years of executive management experience in the global investment

management industry, I now seek the opportunity to bring my operational

leadership abilities to your company. My consistent record of exceeding

achievement goals has driven revenue growth with every team I have been

privileged to lead. The successful outcomes of innovative programs and

creative strategies implemented under my supervision have resulted in

revamped companywide policies, dramatically improved processes, and year-

over-year profitability. Highly skilled in positively navigating multiple

parallel projects, directing departments worldwide, and launching

modernized processes, I am confident that my dynamic skillset can make me a

valued asset to your organization.

My recent roles have ranged from Credit Derivative Operations Associate to

Vice President and Department Manager of Interest Rates Derivatives

Operations. Using a results-driven approach to motivate managerial teams, I

have cut costs, boosted sales, and successfully managed multibillion dollar

operations. A sample of my key contributions include:

. Leading team to consistently achieve lowest number of outstanding trade

affirmations, confirmations, and unresolved settlements globally.

. Seamlessly managing multi-year inter-regional job migration by

communicating new goals, reassure team members of continued employment,

and presenting changes as new opportunities for growth.

. Contributing to internal IT infrastructure enhancement and development

through direct project involvement, enabling financial operational

insight within new systems.

A more detailed presentation of my professional background can be found in

the enclosed resume. I have included my contact information and I would

welcome the opportunity to discuss my qualifications with you. Thank you

for your consideration, and I look forward to your response.

Sincerely,

Leon Tuckett

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