Manager Accounts

PAUL ALLENDE

** *** ****** *****, ******* Lake, NY 10547

*******.****@*****.*** Mobile 201-***-****

PROFILE OF QUALIFICATIONS

Financial professional with a diverse background in Wealth Management working with fixed income fee-based managed accounts. Well organized, detail-oriented, ability to multi-task, prioritize and control workflow to meet objectives in a fast paced environment. Recognized for responsiveness, sound judgment, decision making and follow through. Strengths include written and verbal communication skills, and ability to adapt and learn new concepts quickly.

CORE COMPETENCIES

CAREER CHRONOLOGY

MORGAN STANLEY– Purchase, NY 1995 - 2016

Vice President, Senior Trader - Managed Accounts Fixed Income Trading 4/1999-03/2016 Executed trades on behalf of Morgan Stanley’s Separately Managed Account business, the third largest revenue generating division in the firm. Group balance sheet exceeded $66 billion AUM and $900+ million in revenue. Worked with a team of 12 colleagues who traded for the firm’s multiple fee-based discretionary programs, which included Private Wealth Management, Access, Vision, Personal Portfolio, and Non-discretion Advisory. Coverage included over 75 primary and regional dealers nationwide.

Key Responsibilities

§ Executed and allocated fixed income transactions on behalf of over 400 external portfolio managers and for over 15,000 internal asset managers as directed across all fixed income asset classes. This included, US Treasuries, Agencies, Corporates, Municipals, Structured Products, Mortgaged-Backed Securities and CD’s.

§ Partnered with P/S team to assure trades settle correctly. Made necessary corrections when needed.

§ Provided portfolio managers with updated treasury auction results.

§ Updated internal system to assure dealers codes and new accounts were inputted accurately.

§ Coordinated new dealer relationships through Business Control to ensure that they met MSSB standards.

§ Performed portfolio reviews of client accounts, and provided suitable product options based on asset managers investment requirements.

Key Accomplishments

§ Helped develop procedures to identify and implement enhanced, best execution practices.

§ Leading contributor to the development of technology that streamlined manual processes, ensured quality order flow, and increased profitability.

§ Key contributor in an effort to implement, test, and rollout innovative discretionary programs to support new business demands.

§ Successfully improved the quality of trade executions through a continued expansion of dealer coverage and established guidelines and procedures for new dealer and manager relationships.

§ Instrumental in increasing fee’s generated from managed accounts fixed income business from $2 million to

$12 million annually for five consecutive years.

Continued

§ Best Execution

§ Trade Support

§ Mentoring

§ Client Services

§ Dealer Relationships

§ Vendor Preservation

§ Electronic Platforms

§ Policy Enhancements

§ Risk Controls

§ MSRB/TRACE

§ Taxable & Municipal

Fixed Income

§ Asset Management

§ Managed Accounts

§ Discretionary Trading

§ Regulatory Updates

PAUL ALLENDE 201-***-****

MORGAN STANLEY DEAN WITTER – New York, NY 4/1995 – 4/1999 Trading Assistant - Managed Accounts Fixed Income Trading Provided trade execution and trade support for portfolio managers. Acted as a liaison between traders, managers, financial advisors, and internal control groups to assure efficiency of traded executions and proper settlements. Key Responsibilities

§ Assisted traders with execution of taxable and municipal fixed income orders.

§ Insured proper processing of trade allocations instructed by portfolio managers.

§ Interacted with Financial Advisors, bank & middle office operations, & external broker-dealers to assure expediency and accuracy of trade execution and delivery.

§ Responsible for monitoring and balancing all fixed income wrap-fee trading accounts.

§ Reconciled, maintained inventory positions, and monitored P&L for municipal and taxable bond trading accounts.

§ Engaged in extensive communication with traders, broker dealers, portfolio managers, and branch offices regarding all phases of order execution and trade settlements.

§ Generated month end balancing and sales reports for trading desk and various operations teams. EDUCATION

SYRACUSE UNIVERSITY, COLLEGE OF ARTS AND SCIENCES – Syracuse, NY Bachelor of Arts - English Literature / Minor Concentration - Political Science LICENSES

FINRA SECURITY LICENSES: SERIES 7, 53, 55, 63, and 65 COMPUTER SKILLS

DATA VENDOR RELATIONSHIPS & ECN’S: KCG BondPoint, Bloomberg, Tradeweb Institutional, Tradeweb Direct (formerly BondDesk), Thomson Reuters Eikon, MarketAxess, Moody’s, Standard & Poor’s, Interactive Data MICROSOFT SUITE APPLICATIONS: Outlook, Excel, Word, and PowerPoint COMMUNITY SERVICE & SUPPORTED CHARITIES

PARTICIPATE AND VOLUNTEER REGULARLY IN THE FOLLOWING CHARITY ORGANIZATIONS:

§ Putnam Humane Society, Carmel, NY

§ Breast Cancer Alliance, Greenwich, CT

§ Children’s Village, Dobbs Ferry, NY

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