Customer Service Representative

JOSEPH FUSIC

** ******** ***** *******, *** Jersey 07747

732-***-**** (h) *******@*****.***

ASSOCIATE DIRECTOR with over 15 years of leadership success in the Financial Services Industry.

Offer extensive hands-on experience providing support to trading desks in the settlement and

control aspects within operations. Strong communication, organizational and managerial skills

demonstrated by cultivating high performance staff while ensuring operational efficiency and

compliance. Confidently head simultaneous projects while ensuring deadlines and achievement

of daily workflow. Accomplished in all aspects of Corporate Actions. Additional core skills

include:

Regulatory Compliance ● Team Leadership ● Internal Controls

Testing Coordination ● Research & Analysis ● Departmental Procedures

Account Management ● Reconciliations ● Quality Customer Service

PROFESSIONAL EXPERIENCE

RBC Capital Markets New York, NY 1995- Present

Associate Director Fixed Income Operations (1997-Present)

• Manage staff of 12, supporting all aspects of Government/Mortgage Backed settlement

and Tri-Party repurchase agreements

• Administer over 3,000 trades daily, including GSCC netted trades and Tri-Party

repurchase agreements totaling over $50B.

• Analyzed daily margin requirements for all depositories and exchanges (CME, NYBOT,

GSCC, MBSCC, OCC)

• Updated procedural manual on a quarterly basis to meet with industry regulations

• Ensured all necessary operational controls were in place to eliminate risk and exposure to

firm and maintained these controls stay complaint within FINRA’s guidelines

• Served as key contact person for all internal and external audits

• Developed the department’s disaster recovery plan

• Produced daily, weekly, and monthly volume reports for department heads

• Liaised between operations and trading desks to identify and solve procedural issues or

concerns

• Worked directly with Repo trading desk to ensure proper settlement of all Repo

transactions and verify firm positions

• Advised and ensured proper settlement of securities during conversions

• Managed end of day balancing of back office system (ICI/Impact) to Bank of New York’s

GSCX system

• Performed annual performance appraisals of staff

• Handled daily reconciliation of all accounts associated with settlements and Tri-Party

repurchase agreements

JOSEPH FUSIC

Page 2-732-***-**** (h) *******@*****.***

RBC Capital Markets, continued…

Supervisor Reorganization/Dividend Department (1995-1997)

• Established and implemented proper procedures and controls for Reorganization and

Dividend Department

• Wrote department procedures manual <still in use today>

• Headed all forms of voluntary and mandatory reorganizations

• Processed cash and stock dividends, spin-offs and bond interest

Shearson Lehman Brothers / Smith Barney, Inc. New York, NY 1989-1995

Senior Service Representative Reorganization Department

• Processed various voluntary and mandatory reorganizations

• Performed consistent accurate balancing of firm’s suspense account

• Researched and resolved customer inquires

• Assisted manager in compiling weekly reports

Career Note: Previous engagement included Service Representative, Reorganization

Department for Thompson McKinnon.

EDUCATION & CERTIFICATION

Bachelor of Science in Business/Finance with minor in Accounting

City University of New York, Staten Island (January 1989)

Series 99 (FINRA) Operations Professional License

TECHNICAL SKILLS

Bank of New York GSCX ● ICI/Impact ● ADP/BPS ● GSCC

Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)

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