Customer Service Manager
Resume:
W. GREGORY JAMES
**B North St.
Madison, N.J. ***40
*********@*****.***
Accomplished professional in the cleared derivative industry with a wide-
ranging background in futures/FX, including operations, compliance,
marketing and customer service extending back many years in both Chicago
and New York. Series 3 licensed. Willing to relocate.
EMPLOYMENT HISTORY:
BNY Mellon 7/2005-
7/2014
BNY Mellon Clearing LLC .-New York, N.Y 2/2010-7/2014
Vice President -Operations
Responsibilities include:
* Established the complete set-up and mapping out of all operational
procedures for a start- up FCM using GMI.
* Monitored and managed clearinghouse relations, trade processing,
reconciliation and margining, banking/treasury,
LSOC, fee/brokerage payments and recon, IB payouts, tax reporting.
(DPM Division of BNY Mellon). 7/2005-1/2010
Responsibilities included:
* Supervised the monthly reconciliation and review of all futures and FX
accounts. Quality control for all entries to the GL system. Managed the
downsizing of the department from ten persons to three.
* Heavy emphasis on client and audit support.
R.P. CONSULTING GROUP INC.-Hoboken, N.J. (CPO/CTA)
3/91-7/2005
Vice President (& Principal)
Responsibilities included:
* Supervised all aspects of operations including: hiring, office
management, NAV & LLC. Accounting, etc.
* Oversaw the set-up, testing and development of computer system to
ensure the integrity of performance reporting.
* Organized all aspects necessary to enable our New Jersey office to
become, and remain, fully operational including the locating and
negotiating office space, equipment, phone systems, etc.
* Client support
MERRILL LYNCH.-New York, N.Y. 6/90-
3/91
Marketing Specialist
Responsibilities included marketing a Foreign Exchange/EFP/Futures desk,
primarily to Merrill Lynch offices nationwide, order desk staffing,
solicitation of institutional clients and client support.
ELDERS FUTURES INC.-New York, N.Y. 8/87-
6/90
Senior Vice President - Operations
Oversaw all futures related operating units, including New York and Chicago
floor operations, Clearing, Balancing, Margins and Systems Technology.
Managed over seventy- five employees with a heavy emphasis on cost control.
Additional responsibilities included the management of the in-house funds
portfolio. Member of a five person executive committee responsible for the
creation of various budgets, business development decisions and strategic
planning.
W. Gregory James
Page 2
GELDERMANN, INC.-Chicago, Ill. 7/79-
8/87
Clearing/Customer Service Manager (1986-1987)
Was responsible for thirty-five employees. Oversaw exchange and internal
segregation balancing, deliveries, reconciliation and customer service.
Supported minor clearing affiliates. Managed commission system and payouts
to brokers. Worked extensively with Information Development team to devise
new and more efficient systems.
Compliance Officer (1983 - 1985)
Assistant to the Operations Manager (1979 - 1982)
EDUCATION:
NORTHWESTERN UNIVERSITY-12 credits short of BA in Political Science
Evanston/Chicago, Illinois
PROFESSIONAL ACTIVITIES:
* NFA Arbitrator-sat on various NFA arbitration panels including the
largest single arbitration case in NFA history (at the time-5/97)
* Former member F.I.A. Operation Division
* Former member F.I.A. Law and Compliance Division
* Series 3 registered
COMMUNITY ACTIVITIES:
Former Chairman-Madison (N.J.) Recreation Committee
Little League Baseball Coach
Junior Football Coach
Junior Basketball Coach
Instructor-Adult School of the Chatham's, Madison and Florham Park
Frequent guest on "Your New Jersey Connection" radio show on WMTR-AM radio
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