FICC Sales Support Manager

JOSEPH PANDOLFO

**A Forshee Cir **********@*****.***

Montvale, NJ 07645 201-***-****

PROFESSIONAL EXPERIENCE

RBC Capital Markets, New York, NY (September 2013 – present)

Sales Support Manager – Fixed Income

Manage a team of 5 sales assistants in the middle office supporting the NY Fixed Income sales desks(Rates/Investment Grade/High-Yield/Mortgages) ensuring proper trade booking, confirming trade economics on all voice trades and gathering client allocations.

Responsible for providing daily & monthly metrics to senior management, sales and risk management

Manage the day to day activity of full trade life-cycle: Ensure end to end trade flow between Bloomberg and Broadridge, investigate trade discrepancies, settlement issues, TRACE reporting, fails management, GSCC/RTTM breaks, SPO charges, factor updates and cash/position reconciliation breaks.

Extensive interaction speaking with new clients gathering KYC documentation ensuring proper set up for trading bonds and term loans.

Partner with IT acting as the business analyst to automate reporting for daily volumes and trade confirmation processes. Run test cases and create data mapping tables for technology to implement.

Barclays Capital, New York, NY (November 2006 – August 2013)

Sales Assistant – U.S Rates

Supported Rates sales force assuring all US Treasury and Agency trades are accurately recorded against VCON/recap and trades are properly executed as instructed per the client. Recognized for providing exceptional client service skills and acting as first point of contact for all trade related queries including cash settlement, standard settlement instruction set up and trade discrepancies.

Presented sales and senior management with daily outstanding fails report including updates on age of failed trades, fail reason and resolution. Actively researched US Treasury and Agency fails daily, following up with settlements teams and counterparties to facilitate settlement and mitigate fail charges.

Managed the Structured Repo process for collateral substitutions, redemptions, early calls, interest clean up and unwinding positions. Ensured collateral the client was substituting was approved by Trading and all positions are settled as communicated with the client.

Business Analyst

Assisted with running test cases and identifying defects prior to the initial implementation of Barclays Wealth Client On-boarding system resulting in quicker processing time and a single source for storing documentation. Partnered with KYC and Wealth Client On-Boarding team members gathering requirements needed in building a business requirement document.

Implemented 8 enhancements and performed data quality error root cause analysis on Barclays vendor based centralized database for storing standard settlement instructions reducing over 80% of the errors. Coordinated and managed a cleanup process, consisting of a team of 10 analysts, ensuring Equity settlements instructions were executed accurately mitigating the risk of trade failures. Implemented new improved process following successful clean up.

Travelled to London to train with our vendor(iMeta) on implementing their database for storing and automatically updating settlement instructions across Fixed Income, Equities and FX. Created procedures and training material for our NY Client Data team.

PROFESSIONAL CERTIFICATION & DEVELOPMENT

Licenses: Series 7, 63

Bloomberg, Trade Web, Market Axess, Impact, Omgeo Alert, Oasys Direct, ION(webfits)

EDUCATION

University of Scranton, Scranton, PA

Bachelor of Science in Finance, 2004

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