Customer Service Representative
Resume:
Steven J. Lucas
Brooklyn, NY 11213
acqav6@r.postjobfree.com
PROFILE
Extremely detail oriented; demonstrate strong financial, organizational and management skills; industrious and reliable with a strong work ethic; self-motivated, accustomed to working in an environment where time management, productivity, consistency and multi-tasking are crucial; work well in demanding environments despite sudden urgencies and changes of priorities.
Expert in national and international markets.
Proficient in MS Word, Excel, PowerPoint, Swift, DTCC, FINRA Trace and Bloomberg.
Mitigated risk to firm by ensuring development of business impact analysis; adhere strictly to compliance and operational risk controls in accordance with corporate and regulatory standards, guidelines, policies and procedures.
Cooperative team player, accommodating clients, management and co-workers, substantially contributing to group effort.
Compass Group LLC (hedge fund) New York, NY
Operations Manager Present
Handled DTC, CNS and fixed income affirmations and tracking of fails via counter brokers.
Identified and resolved trade discrepancies to minimize risk by ensuring that trades settle.
Communicated with clients on a daily basis to report and reconcile trade breaks and fails for foreign exchange, domestic, derivatives, fixed-income annuities and government bonds.
Managed all global operations for the firm.
Work closely with the stock loans department.
Reported all corporate bond transactions to FINRA in compliance with SEC rules and regulations.
Managed operations for several $2.5 billion accounts for the firm working closely with bank such as Citi Bank, State Street, Pershing, Credit Suisse and JP Morgan.
Worked closely with the trading desk and portfolio managers regarding prime broker accounts domestic and international.
Monitored all cash movements for the firm including the orchestration of payment of management fees and operation fees.
Managed all new accounts opening for the firm domestic and international offices.
Handled all settlements for foreign exchange currency (FX), credit default swaps (CDS), interest rate swaps (IRS), DTC, CNS, US Treasury, fixed income (Euro-clear) and options.
Supervised/trained all new employees on the day-to day operations of the firm.
Created an operation manual outlining the firm’s procedures.
Reconciled cash for all funds on a daily basis.
Worked closely with the, Chief Financial Officer (CFO) to complete end of the year audits.
Managed all transfers for mutual funds.
Controlled and handled all margin calls, house calls and fed calls for the firm
Knowledgeable of Microsoft, Bloomberg, Swift, DTCC, FINRA Trace.
Bear Stearns, Inc. Brooklyn, NY
Private Client Associate/Customer Service Representative 1998-2007
Prime Broker Department
Managed accounts for professional traders, money managers and hedge funds.
Communicated with clients on a daily basis to report and reconcile trade breaks and fails for Foreign exchange, domestic, derivatives, fixed-income annuities, or government bonds.
Processed all cancel and re-bills of trade discrepancies or fails.
Responsible for daily and monthly reconciliation of prime broker accounts regarding profit/loss, interest, price, commission, T/D and S/D, as well as DVP/RVP transactions for domestic accounts.
Acted as liaison between third-party brokers and clients with respect to inputting various trades.
Processed DTC, CNS trade affirmation/confirmation for floor, options and broker-to-broker trades.
Handled OTC affirmations and tracking of fails via counter brokers.
Identified, researched, and resolved trade discrepancies to minimize risk by ensuring that trades were in compliance with all appropriate government, industry and corporate rules and regulations.
Supervised/trained new hires in financial policies, client communication, and maintain Firm's high standards.
Knowledge of Bloomberg System with reference to corporate actions, stock splits, mergers, and dividends.
EDUCATION
Plaza Business Institute – Jackson Heights, NY 1999
Associates Degree-Business Management
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