Brokerage Operations

QUALIFICATIONS PROFILE

Analytical, performance-focused, and forward-thinking professional, with comprehensive experience in equity, fixed income, and commodity operations support; and foreign exchange in investment banking, securities, and wealth management industries. Expert at dealing with domestic and foreign derivative transactions, finance systems, commodity options, and warrants in line with the set-forth procedures. Equipped with leadership abilities in determining organizational needs; recommending innovative solutions and alternatives to complex problems; and meeting tight deadlines toward company growth.

CORE COMPETENCIES

Trade Posting and Payment Escalation

Investment and Finance Assessment

Continuous Process Improvement

Cost Reduction Analysis

Futures and Options Operations

Regulatory Compliance and Standards

Customer Service and Retention

Project and Program Development

PROFESSIONAL EXPERIENCE

Société Générale – Jersey City, NJ

Vice President Team Leader, Delivery Department: 2017–Present

Effectively supervise the Delivery Team in New York and Chicago with the daily business operations.

Regularly coordinate with internal and external customers to address their concern

Process the release of stock warrants and send emails to client service group with client holding open commodity position approaching last trading day (LTD) and first notice day (FND).

Track internal and exchange system in ensuring client trade out for open positions during LTD.

Participate in all commodity option expirations and delivery processing.

Perform reconciliation of daily warrants inventory, client trades booking, and client petroleum trade breaks.

Take charge of processing client payment in the internal system.

UBS Investment Bank – New York, NY

Exchange Traded Derivatives Client Margining Specialist: 2015–2017

Facilitated training to team members and new joiners regarding client margining.

Conducted escalation with Credit Risk Team regarding payment overdue by three days.

Closely work with several stakeholders in Sales, Risk, and IT departments.

Managed client daily margining to ensure attainment and coverage of all margin calls.

Developed and evaluated standard operating procedures to identify new process improvements.

Dealt with client requests on collateral substitution; daily/weekly foreign currency procedures; and cash and collateral file receipt for verification of the UBS internal payment system.

Efficiently handled T+1 cash fail reconciliation; SWIFT payment of the client; and missing fund settlement in partnership with a custodian.

Exchange Traded Derivatives Delivery Control Specialist: 2005–2015

Oversaw daily operations support for the Exchange Traded Derivatives Deliveries Division.

Spearheaded all commodity, single-stock future deliveries, and option expiration on the New York Mercantile Exchange, New York Commodity Exchange, Options Clearing Corporation, Chicago Board of Trade, and the Chicago Mercantile Exchange.

Ensured adherence to set rules and regulations of the exchange by collaborating with global branch offices and external clients

Generated monthly global balance sheet sign-off and verification (GBSOV) to manage the balance and risk of the accounts.

Managed global hedge fund, money manager and commodity clients, as well as the large trader position and open interest to exchanges and clients.

Investigate Commodity Futures Trading Commission (CFTC), internal compliance, and exchange regulatory inquiries, while also reconciling T+1 trade breaks in collaboration with the internal stakeholders, brokers, and external clients.

Promptly addressed and responded to customer inquiries.

Drove key efforts in reaching quarterly cross-currency for ICE Clear US and Chicago Mercantile Exchange, amounting to $56B.

EARLIER CAREER

Man Financial, Inc. – New York, NY

Futures Operations Associate

Merrill Lynch Futures, Inc. – Jersey City, NJ

Manager Deliveries Specialist

TECHNICAL ACUMEN

Microsoft Office Suite (Word, Excel)

SAP BusinessObjects CME Portal ICE US Clearing Application PTMS ECS Coma

KeyLink Swiss Key Clearing MYOCC and GMI System

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