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Operations Manager & Analyst

Bridgeport, Connecticut, United States
October 14, 2016

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*** ******** ***, *****: 203-***-****

Stratford, CT 06614 Email:

Business Unit & Operations Manager

Financial, Compensation, Database & Operations Analyst

A results-driven, accomplished administrator of Institutional Fixed Income Capital Markets whose adaptability, knowledge and experience allows for successful performance and operations with all facets of fixed income operations and administration. A financial analyst with extensive and dynamic experience, coupled with the proven ability to achieve and exceed financial and operational goals. Adept multi-tasker with the keen ability to maintain a diverse and well-rounded skillset encompassing business operations, technology, and communications. A self-starting leader and mentor, credited with improving operational and financial performance using process efficiency, problem-solving, and quality control. Demonstrated record of accomplishment guiding projects to completion and delivering exceptional results relying on skills in business development, performance elevation, and project management. Highly adept with learning and utilizing applicable software applications of todays technically savvy workloads.

Areas of Expertise

FA Compensation Analysis

Tech Support & Systems Liaison

Logic enhancements

Interdepartmental Networking

Commission Analysis

Operations & Efficiency

Project Management

Markets & Financial Analysis

Routine and Ad-hoc Reporting

High volume, multitasking

Data Capture & Data Analysis

Middle Office Liaison

Business Objects – SQL – Queries

SLAs (Service Level Agreements)

ISDA–entry and process requests

Professional Timeline


Financial Advisor, Stratford, CT Jan – Apr 2015

Trained in selling stocks, bonds, mutual funds, insurance and other financial products


Institutional Fixed Income Group, New York, NY 1994 – 2014

Planned and directed implementation of highly complex, innovative MSSB Joint Venture Project, responsibilities included database management and all peripheral operations. Executed, streamlined and strengthened commission and management reporting.


Fa Compensation Specialist 1990 – 1994

Controlled accounting and payroll for commission-based sales.

Business/Financial Analysis Experience

Gathered specifications from senior management and translated requirements to I.T. programmers.

Designed logic based parameters for database construction and user interface.

Built BUSINESS OBJECTS (sql based software) logic based queries for trade and data capture.

Audited, on average, over 3000 fixed income trades per month effectively saving millions of dollars.

Identified and corrected anomalies in trades and trade systems.

Proposed & implemented cost saving system enhancements.

Financial Analyst for production, commissions, revenues & expenses, management reporting.

Analyzed market data from Greenwich Market Research Surveys, Emaxx and Bloomberg.

Comprehensive knowledge with the Settlement Process and flows including critical timelines.

Programming/Software Skills & Licenses

PC based software applications: Microsoft Excel, PowerPoint, and Word.

Database management applications: Business Objects, Access, INSIGHT.

Licenses: Series 7, 63 & 66, CT Life & Health

Interaction with Management

Instrumental in assisting senior management achieve goals and objectives and liaising with team members in key departments, in a detail-oriented, deadline-focused environment.

A tech savvy translator of management directives and functional system requirements to tech staff and assists with implementation.

Performed spontaneous ad-hoc reporting as well as regular monthly reporting for management for gross production, commissions, revenues & expenses, management reporting (MBR – Monthly Business Review).

Business Unit/Operations analyst for a sales force with up to 225 members and peak production of $180mm annually.

Operations, Database & Analysis

Improved quality control, minimized risk while successfully managing multi-million dollar payroll with strict controls and deadlines.

Facilitated communications as a key contact for access to other departments of the firm (P&L, Legal, Compliance, Registration, Data Security, Accounts Control, Middle Office, Human Resources, Systems, Sales & Trading, and Accounting).

Devised solutions for matters/concerns related to database, mainframe, and PC applications between programmers and users; coordinated general problem solving for institutional sales and trading.

Fundamental knowledge with the importance and calculation of Margin and Margin Operations.

General problem solver for sales and trading; within Institutional Fixed Income (middle-markets).

Responsible for mainframe client account maintenance and coding, handling and adjusting over $2 million in gross production on average, per month.

Handled electronic commerce applications and profiles for clients and sales force.

Built "Business Objects (SQL-based)" queries to extract meaningful data from mainframe / database.

Project Management

Improvise, adapt, and overcome, utilizing versatile skillset, to effectively lead departmental projects.

Demonstrated knowledge of and ability to lead in areas of technology (trading/sales systems), legal (merger-related matters), human resources (staffing/employee issues), office real estate (placement of sales teams), and compliance and registration.

Gathered, analyzed and translated requirements into sophisticated strategies and methodologies.

Interfaced with key stakeholders to drive cohesive processes and ensure project transparency.

Managed project teams for fixed income middle markets sales during the Citigroup/Morgan Stanley Smith Barney Joint Venture (2009-2013).

Repo Product/Sales Trading Experience

In-depth understanding of Repurchase Agreements for liquidity and open market operations.

Built/maintained positive, productive client relationships.

Coordinated price offerings between sales and trading.

Knowledgeable with Stock Borrow and Loan transactions.

Branch Banking Experience

Surpassed customer retention and business development goals providing exceptional skills/oversight of Customer service, Accounts Management, Loans, Teller Supervision, Computer Networks Management, Data Processing Coordination, Computer Hardware/Software Maintenance.

Performed branch banking Bookkeeping, Proof and Accounting Department Supervision.

Education & Training

Bachelor of Science, Business Administration, Bryant University, Smithfield, RI.

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