Management, Result Oriented, Natural Leader, Very Sense Of Humor

John DJ. Lizaso

Icon Residences Apt. *i Central Park West

Fort Global, Taguig Metro Manila, Philippines

Main Cell Phone- 094*-***-**** landline 625-6989

Email – ********@*****.*** Skype: JLIZ0829

Taking BS Accountancy at AMA University Project 8.

( Second Course).

PROFESSIONAL HISTORY:

State Street HCL Services Inc: Consultant Dec 2013- March 2014

Manila, Philippines; Managing the transition and migration of their Trade Management and MBS claims

Operation at Irvine, Mumbai and Manila. Responsible for hiring, training and human development of staff.

Set up of operation and risk management, global reporting and monitoring progress and improvement on a

Monthly basis and due diligence. Knowledge of SLA’s, governance and metrics.

Integra and Stonehenge Investment Management; Proprietary Trader Feb 01, 2009 up to Nov. 2013

Delray Beach Florida. Managing my own funds trading equities, currency, indexes and commodities.

HSBC Investment USA Inc (Halbis Capital Management) New York Aug. 2007 to Jan. 2008

Consultant

In charge of middle office two biggest funds dealing in emerging market trading (equities, fixed income, credit, derivative, NDF, F/X, repos, options and government securities/treasury bonds ) liaison with portfolio managers and traders, prime brokers/custodians, counterparties. Monitor adherence to the ISDA Novation protocol.

Process settlement, trade capture, cash and collateral/margin management, trade breaks. Perform risk analysis and research. Review and deliver executed confirms to counterparties. Reconcile entries in Advent Geneva.

Perform asset allocation, position and strategy analysis. Securities set up, transaction control, review trade tickets and generate term sheet. Involves looking at the entire structures of all derivative trades booked accurately and their economics in Bloomberg. Well rounded knowledge of operational controls and accounting.

John Hancock/Manulife Investment Management Boston Aug 2006 to Aug 2007

Director/VP of derivative operation

Manage the team supporting OTC derivative trading (Fixed Income, CDS, IRS, Equity, Future/ Option).

Hands on processing of documentations, confirmations, trade settlements, amendment, trade capture, reconciliation and novation. Worked in an environment with multiple prime brokers/custodians and counterparties.

Liaison with the trading desk and oversee daily support functions such as reset/payment advice, position reconciliation, valuation and improve strong control environment. Extensive clients/counterparty interaction to manage risk. Process future/option settlement, clearing and margin requirement. Financial reporting.

Investment activities include Portfolio Management, Trading and the various support functions including the Middle and Back Offices, Accounting, Risk Management, Legal and Compliance and Technology. Investment debt securities, structured credit and real estate as well as extensive derivative activities.

Recruiting, developing and mentoring practice members at all levels. Compliance to internal and external regulators.

Daily monitoring of collateral, monthly and quarterly reporting. Responsible for two operations teams (Boston and Toronto) able to gain control of outstanding confirms and reduced reconciliation breaks from 1300 to 15 items in four months. Servicing Asian client for F/X spot/forward.

Understanding of Audit/SOX Controls. Continuous submission of ideas for improvement of existing process and procedure. Knowledge of project management and business analysis.

State Street (formerly Investors Bank & Trust Co. Boston Ma.) Oct 2004 to Aug. 2006

Director of fund administration

Direct reports were responsible for the pricing/valuation of derivative products for hedge funds, investment/asset management and mutual funds.

Trained the staff and developed operational procedures. This position required the ability to multi-task and focus on numerous tasks and assignments and the need to be flexible and agile enough to reprioritise shifting business needs. Collection of valuation statements from broker dealer to ensure the daily, monthly and quarterly accounting reports are accurate. Analyze daily price variances and P&L movements.

Developed a strong track record in implementation of new products. Duties also included the resolution of queries and new requests. Knowledge of regulatory guidelines, compliance issues, vendor management and alternative investment. Provide weekly financial reporting.

Providing exceptional client service at all times to both internal and external clients.

Provide pricing/option/swap comparison with the broker dealer .Compare swap models to broker confirms.

Checking variance and tolerance analysis, monthly position, cash and market value reconciliation. In addition, provided daily validation of fund shares, percentage change and NAV impact.

Eliminated two years backlog in six weeks. Improved pricing, valuation and NAV reporting.

Commerzbank Capital Markets Corp. New York Dec1999 to Sept2004

Senior Derivative Manager: Assistant Vice President

Reviewing incoming counterparties confirm of (interest rate swap, swaptions, cap/floor, equity, options, structured deals, total return, credit default swaps, CDX and itraxx) for accuracy and execution.

Team draft legal documentation for all transactions; apply the fundamentals of the ISDA definitions on language discrepancy; including coordination with legal, credit, collateral etc. to ensure proper information as appropriate.

Interface with internal and external entities/counterparties (trading, sales, risk dept., legal, compliance to ensure accurate and timely resolution of issues and timely execution of documents. Cash Flow and Collateral management.

Coordinated with middle office for trade discrepancies, tracked and chased missing confirmations, maintained MIS database for senior management reporting and acted as liaison between front office, credit and legal division.

Handled multiple assignments, cash flow analysis. Functions managed typically contained high monetary exposure and risk involving the processing of large volumes and regulatory requirements.

Knowledge of end-to-end processes for operational functions including trade operations, data management, portfolio accounting and securities processing. Legal or compliance experience in anti-money laundering regulatory requirement in banking environment. Knowledge of USA Patriot Act.

Knowledge of LCH/swap wire, DTCC and Murex. Reduced outstanding confirms from 1200 to 50 and settlement breaks from 750 to 15 items in three months.

Commerzbank Frankfurt, Germany

Senior Global Custody Manager

Assigned in Frankfurt main office; Run the international settlement department for US Treasures, Eurobonds, cash and repo for Euro clear and Cedel utilizing Cedcom system and cross border trades; team was responsible for resolving outstanding stock breaks and cash from 450 to 25 items. Increased settlement of trades to 98%.

Commerzbank Capital Markets Corp, New York

Senior Global Custody Manager for international settlement specialized in Germany.

Processing foreign settlement, local market procedures and regulations in Cascada markets.

Serve as Custodian contact and interact with brokers, banks, traders and international depositories for settlement issues. Use Fidessa, Gloss and Crest system.

Interfaced with dealer community providing account information, analyzed and resolved any inquiries or problem effecting timely settlement. Weekly financial reporting.

Provide reconciliation, stock breaks, minimized aged fails and cash and dividend payments as well as settled Pan-Euro and Yen trades for Asian clients. Reconcile breaks in smart stream and managed cash flow in summit system.

Balanced stock borrowed and provided LAMS reports in Global One London system and marked to market various positions and account balances in stock loans. Complete preparation 15C3-3 and 15C3-1 regulatory weekly reports.

Supervisory responsibilities included training and development of staff as well as cross training.

Improved 95% settlement of trades and minimized outstanding breaks from 800 to 100 items in a very short time.

BNY Clearance (Bank of New York) formerly BHF Securities Corp – New York Jan 1997 to Nov1999

Senior Global Custody Manager: Assistant Vice President

Settling between 1500-2000 trade tickets on a daily basis and provided day-to-day operational support to our LDN and NY broker clients on security transactions and settlement. Instructing trades on swift for processing via Euroclear, Cedel and Inter-Settle. This team also performed issuances/cancellations and liaising with counter parties for trade settlements, cash balancing, reconciliation, money transfer, out of balance and stock lending.

Specialized in German Equities utilizing Deutsche Borse Clearing and OLGA system.

Process dividend payments; fail control/Buy-in, investigations and research, stock breaks and corporate actions. Balancing Deutsche Borse Clearing system (Cascada) and ADP on stock, net amounts and P&L position.

Created suspense account entries that are monitored and corrected daily. Involved Swedish and Norwegian ADR settlement. Reconciled general ledger vs. nostro (outstanding and aged items). Process trades in Fidessa and Gloss system. Knowledge of converting ADR shares to ORD. Multi-currency payment and cash management expertise.

Responsible for starting the department from scratch and recruited staff. Implemented STP, strategic planning, focus cost issues and risk exposure. Strong control stock and cash break and aged items.

Proprietary trading: Trading my own account specializing in Forex market Oct 1995 to Dec 1996

Citibank N.A. - New York City Oct1993 to Sept1995

F/X Dealer, Assistant Vice President

Traded Cable/USD and executed a large volume of trades and performed daily reconciliation of the P & L. Also responsible for quoting prices to inter-bank, corporate, middle market and Asian clients.

Deutsche Bank- New York City Mar 1989 – Sept 1993

Foreign Exchange Dealer, Assistant Treasurer

Traded USD/CHF and provided prices to client and sales desk.

Acted as liaison with accounting and back-office operations, while creating strong broker-dealer relationships.

Booked trade ticket into Wall Street Systems and daily P & L analysis and reconciliation. In addition, quoted GBP/USD dealer to inter-bank and Asian corporate customers.

Bankers Trust, Los Angeles Branch Oct 1985 - Feb 1989

Foreign Exchange Dealer: Senior Associate

Traded USD/DEM, position keeping of blotter, responsible for liquidity and execution of customer orders, monitor position.

Reconciliation and coordinating with Accounting, broker/dealer, settlement regarding trade tickets, P & L analysis and input deals in remos systems and trade capture review.

Software:

EBS, Reuters, Investran, Bloomberg, Telerate, Excel, Word, ADP, and Microsoft XP, Swift, Wall Street Systems, Gloss HV

SAP, Oracle, Fed Wire, SWIFT, Summit, Findur, Kondor. Loannet, Global One, Bloomberg POMS and Smart Stream, Target.

TRAINING:

FT New York Institute of Finance

Certificate of Completion on Credit Derivative 2003 and Equity Derivative Feb. 2004

Securities Brokerage Operations Certificate 2001

Junior Forex Trader Certificate 1992

Investors Certificates (Fund Accounting, Partnership, General Ledger, Future/Options 2005).

ISDA Certificates: 2002 Equity Derivative Definitions 2007 and ISDA Documentation of Equity, Credit, Fund and Inflation Derivative Definitions 2006

EDUCATION:

San Beda University Degree in B.S. Major in Marketing, Manila, Philippines

Lyceum Philippines University; MBA specialized Philippines Capital Market. Graduated Sept. 2012.

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