Fixed Income Business Development

WILLIAM M. BERTSCHA Manalapan, NJ • *********@*********.*** • 732-***-****

www.linkedin.com/in/william-bertscha-14798B79

https://brokercheck.finra.org/individual/summary/1633329 With a unique experience and perspective for managing fixed income trading, sales, and operations, can examine and analyze possible points of compliance or financial risk lapses or breaches within brokerage firm procedures and operations.

PROFILE

Experienced in managing many fixed income trading and sales desks as anproducer, securities principal, and manager. Proven track record of maintaining integrity, business continuity, and complete compliance of firm’s and industry’s compliance procedures, guidelines, and standards. Ability to investigate and detect fraud, reputational risks, financial risks, and compliance risks. Additionally, able to detect lapses in procedures or compliance that may lead to problems if not maintained and followed. Targeting a role to utilize this expertise.

CORE COMPETANCIES

• Securities Principal and Reg. Rep, Series 24, 7, 63, 50, 79TO, 66, SEI, NJ insurance licenses for Life, Health and Annuity

• Strategic eye for expanding business development

• Ability to exceed firm expectations in profitability, volume, and customer adoption of new products and services

• Budgeting, sales, P & L and compliance workflows

• Leader in team coaching, mentorship, recruitment and management

• Targeting new and existing clients, create proposals, provide explanations and lead presentations directly to clients

• Comprehensive knowledge of fixed income products, calculations, confirmations, front and back office, and clearance

• Extensive experience with Bloomberg, Microsoft Office Suite and Google Drive as well as client database systems PROFESSIONAL EXPERIENCE

SENIOR FIXED INCOME FINANCIAL ANALYST, ICE, NY, NY 2022 – 2023

• Member of the Investment Grade Desk integrating algorithmic models and market relationships to evaluate the sector

• Led a team of analysts in order to ensure a collaborative and dynamic professional structure

• Utilized AI technology for price discovery to evaluate bonds across all investment grade products

• Supported clients by maintaining highly responsive customer service with attention to detail and explanation EXECUTIVE DIRECTOR, FIXED INCOME SALES, OPPENHEIMER & CO, NY, NY 2021 – 2022

• Developed new revenue streams by onboarding new clients and introducing more products to the sales team

• Traded Corporate Bonds, US Governments, MTNs, FRNs, Covered Bonds, Short-Term Products (deposits, CDs, Commercial Paper), MBS and International Denominated Bonds

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INSTITUTIONAL FIXED INCOME SALES, TULLET PREBON ICAP, NY, NY 2018 – 2021

• Rehired as a trusted former employee to expand new relationships and the scope well-utilized of desk products

• Sold to major institutional clients by providing solutions and guidance for their fixed income needs INSTITUTIONAL BOND SALES, VP, TRADITION, NY, NY

2008– 2018

• Brought existing book of client relationships to firm and recruited new business for fixed income desk

• Acclimated quickly into new environment to become a top performer

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SALES MANAGER, DESK PRINCIPAL SVP, TULLET PREBON, JERSEY CITY, NJ 1994 – 2007

• Submitted budgets, forecasts and was responsible for monthly numbers as well as daily desk business

• Held accountable for compliance for more than 20 institutional brokers serving more than 300 client relationships

• Left as a multi-year top producer on desk, having managed and maintained top producing institutional business FURTHER EXPERIENCE & REFERENCES CAN BE FURNISHED UPON REQUEST EDUCATION

Rutgers University, New Brunswick, NJ BA Economics, Concentration in Accounting and International Finance

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