David W. Skrzyniarz **** W. Cermak Road

312-***-****

ad0n0c@r.postjobfree.com Chicago, Illinois 60608

summary of qualifications

Comprehensive knowledge of the financial services industry: Operations Manager responsible for trading, accounting and compliance functions. Extensive experience with both institutional and retail clientele for both broker dealer and venture capital entities.

Strong analytical skills: Responsible for P&L analysis in firm trading accounts and reconciling commissions and bills. Proven record of preventing losses by proactively identifying errors. Point person on client service and technology issues.

Solid project management and organizational skills: Successfully led five clearing firm conversions. Effectively trained staff on new systems and implemented new technology and procedures that increased productivity and accuracy.

Strategic thinker and problem solver: Effective at identifying problems and devising strategies to produce solutions. Constantly working with IT and database programmers to create new reporting vehicles for Sales and Accounting. Identified deficiencies and initiated improvements in our front end and back office systems.

Dedicated to the highest level of customer service: Extensive sales experience with INVEST Corp., Fidelity and TD Waterhouse ingrained customer service and satisfaction as a number one priority.

Experience

First Analysis Securities Corporation, Chicago, IL 2002 to 2019

Trading Operations Principal

Manage all aspects of equity trading operations

- Supervise operations/administrative associate.

- Design and maintain customized trading database.

- Bill trades, establish new client relationships and accounts, and address client service issues.

- Oversee and ensure proper settlement of street and client side transactions.

- Back up OTC and Listed sell-side traders.

- Coordinate procedures for syndicate offerings and corporate repurchase programs.

- Facilitate cashless stock option exercises and the removal of restrictive legends on stock certificates.

Directed and successfully completed five clearing firm conversions

- Integral part in evaluating and choosing new service provider.

- Managed all aspects of the conversion, including implementing new technology and transitioning customer

accounts.

- Serve as primary liaison to our clearing firm; responsible for addressing all issues with service and technology.

Execute monthly accounting functions for CFO and Managing Directors

- Analyze P&L reports of all trading inventory accounts.

- Provide monthly P&L analysis of market making activities.

- Balance firm accounts and reconcile commissions, floor execution bills, and month end clearing invoice.

- Assist with accounting audits and FOCUS Report filings.

- Generate monthly commission reports for Accounting, Trading and Sales Departments.

Coordinate procedures with Director of Compliance

- Devised and implemented procedures to adhere to new industry regulations (2790/AML/Books & Records).

TD Waterhouse, Chicago, IL 1997 to 2002

New Accounts Manager/Branch Supervisor

Manager of New Accounts processing

- Managed and trained 25 reps who processed new account applications and paperwork.

- Was escalation point man for customer related issues.

- Approved options account applications.

- Provided status reports to upper management regarding productivity and new account statistics.

Branch Supervisor

- Supervised branch operations.

- Ensured timely processing of applications and new account transfers.

- Handled legal and compliance items in the branch.

Telephone trader

- Placed customer option and stocks trades.

- Solved customer issues or had the ability to escalate.

Fidelity Investments, Chicago, IL 1989 to 1993

Registered Sales Rep and Fixed Income Coordinator

Registered Sales – Fixed Income Coordinator

- Sold a wide array of investment to clients which included annuities as well as funds and bonds.

- Fixed Income Coordinator which entailed client seminars and training reps.

- Dealt primarily with high net worth individuals

- Developed and tracked new clientele.

Education & registrations

Dominican University

River Forest, Il

Business Administration

Series 4, 7, 8, 9, 10, 14, 55 & 63 registrations

REFERENCES AVAILABLE UPON REQUEST

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