Operations Compliance Manager

JASON G. CASPER

*** ****** *******, ****** *****, NJ 07663

Phone: 201-***-****

Email: *****.*.******@*****.***

SKILLS PROFILE

Strategic and action-oriented Financial Operations and Compliance Leader with proven success in creating processes, providing exceptional client service and directing initiatives to maximize performance and save organizations significant revenue.

Retained by JP Morgan as one of the select few employees from the acquisition of Bear Stearns due to experience, skill set and knowledge. Continued all managerial operations upon and during transition.

Strong qualifications in IT, auditing, risk management, relationship management, settlement operations and regulatory affairs.

Delivered significant cost savings by identifying risks and creating systems and processes; enhancing organizational efficiency, performance and productivity.

Product Knowledge: Rules including regulations under FINRA, SEC, BSA, Patriot Act and Investment Advisory. Security and Operations knowledge including Equities, Fixed income, Governments, International and various other securities such as Synthetics and IPOs.

Areas of Expertise: Consulting, International Business, Change Management, IPO’s, Team Leadership, Risk Management, Audits, Presentations, Client Relations, Project Management, OSHA & Regulatory Compliance, Trade Surveillance, Internal Controls, Expense Control, Training & Development, IT Testing & Troubleshooting, Policy Development and Financial Reporting.

PROFESSIONAL EXPERIENCE

JP MORGAN CHASE & COMPANY, New York, NY

Senior Compliance Officer, Associate (2013 to 2015)

Successfully managed Compliance Department to address Negative Media Alerts meeting OCC Consent Order within three months. Staff consisted of 30 individuals, two of which were Management Team Leads.

Established a new Compliance Department, solely responsible for the handling of all BSA/AML within Brokerage Accounts. Created policy and procedures; innovated processes to improve overall performance.

Hands-on approach with staff to target customers' risks in reducing current liabilities and future exposures. Customers include individuals and larger Institutional clientele.

Documented all KYC for research purposes, including new account openings and Politically Exposed Persons.

Liaised with Investigations and other Compliance Departments to escalate unusual activity and ensure SARs are filed when necessary.

Main contact for Client Advisory/Service and Transactions monitored against customer's expected behavior.

Responsible for creating and documenting department Metrics for all work Alerts, production and performance levels. This was done on an individual and departmental basis; daily, weekly, monthly, quarterly and annually.

Interviewed and recruited new employees & consultants for placement within various Compliance Departments. Made recommendations to senior management regarding hiring.

Instrumental in all senior management duties during absences including presentations, individual appraisals and department representation to other locations.

Operations Manager, Associate (2008 to 2013)

Successfully managed all Fails Managements and Settlement Processing responsibilities during Bear Stearns/JP Morgan Clearing Corporation conversion; tested systems, reconciled/resolved “culture clash” and helped facilitate targeted business objectives.

Instrumental in establishing overseas footprint and strategic location initiative by successfully training and testing Bangalore staff.

Responsible for the training of new staff in Delaware Office in all related functionality. This was necessary to ensure the entire department could be transitioned over and managed successfully.

BEAR STEARNS, New York, NY

Operations Manager, Vice President (1999 to 2008)

Executed buy/sell market orders to close out trades/positions, identified and managed reputational and transactional risk and served as subject-matter expert on FINRA, NASD and SEC rules and regulations.

Consulted and assisted teams with regulatory and procedural audits (internal and external), work in cooperation with all facets of back-office operations (Corporate Actions, Buy-Ins, Stock Lending, etc.).

Person of contact for all settlement issues to all Firm Registered Representatives (Prime Broker, Private Client Service, Private Banking, Proprietary Trading) and external brokerage firms and firms for Correspondent Clearing. This includes all Latin America, Pacific Rim and other International desks.

Responsible for leading 10 Account Service Reps that research, communicate and resolve Investment Banking trade settlements for Institutional clients (DVP/COD/Type 9; unique company department).

Ensured maintenance of Margin requirements necessary for Short Sale and When-Issued reporting.

Responsible for all regulatory compliance; 15c3 Regulatory Deficit Reporting and FINRA Extensions of time.

Coordinated efforts with Senior Management and Compliance team to write Departmental Procedures to help implement regulatory changes and amended responsibilities.

Assessed Risk on open trades, reconciled numbered accounts and ensured retention of all Prime Brokerage documentation.

Collaborated with IT regarding Platform/Application troubleshooting, testing, resolution, technology design and implementation that improved operational performance.

Created and retained Metrics that displayed trending volumes, settlement rates, identified High-Risk items and the value of all open fails from a Firm perspective.

OPPENHEIMER CAPITAL CORPORATION, New York, NY

Institutional Account Manager (1997 to 1999)

Managed the trading and settlement operations of all Portfolio Managed accounts.

Created monthly P&L/analysis/comparison/prior trending appraisals and assisted Vice President with employee reviews, prospective employee interviews and new Institutional client account openings.

Successfully handled departmental VP’s/Directors responsibilities after their release (resulting from corporate restructure) and was selected/promoted to manage Institutional Accounts over numerous senior employees.

Managed team of 12 Account Reps and liaised with Institutional clients.

Operations Trading Assistant (1996 to 1997)

Demonstrated exemplary performance that was recognized immediately by Portfolio Management, Trading and other departments; promoted in less than 12 months.

Assisted Equity and Bond Traders with submitting allocated trades through OASYS.

EDUCATION

MONTCLAIR STATE UNIVERSITY, Upper Montclair, NJ

B.S, Finance/Marketing

SYSTEMS

Systems: Margin, MS Office, Bloomberg, OASYS, Halo, SharePoint, MLMS, Lexis Nexis and WorldCheck.

Jason Casper Resume, page 2

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