JOSE RAFAEL GALAVIS

*** *** ******* ****

New Canaan, CT 06840

203-***-****

E-mail: adbzo4@r.postjobfree.com

DAVID LERNER ASSOCIATES, INC Westport, CT June 2016-act

Branch Ops Manager /Vice-President Investments

Responsible for the day-to-day operations of the branch. Strong understanding of SEC and FINRA regulations and a strong working relationship with the back office. Attentive to deficiencies in branch operations and developing improvements in all processes. Assures quality performance of workflow and manages support staff through effective training and monitoring.

Review new and update account documentation; review Mutual Fund trades; handle all client checks and reporting, Oversee outgoing wire transfers; scrutinize each transaction to ensure compliance, Ensure all buy/sell transactions have proper and accurate supporting documentation, Ensure account notes on retirement accounts are in place at the time of trade, review and approve all incoming/outgoing communications (email, fax and postal mail) and ensure customer complaints are flagged, Handle customer inquiries and complaints as they arise Create monthly branch supervisory report for Branch Manager and Management, Handle supervisory branch files, Create and review Trading transaction report at the end of each day, Manage Sales Assistants including training, employee relations and performance related matters, Assist in hiring new staff as needed.

KEY BANK, N.A. Mount Kisco, NY Jan 2015-Jan 2016

Licensed Relationship Manager

CITIGROUP CORPORATE AND INVESTMENT BANKING New York, NY Mar 2009- June 2014

Trader, VP - Americas Multi Asset Group, Packaging and Trading

Americas Multi Asset Group is an integral part of the Global Structured Products business within the Markets & Banking division of the Institutional Clients Group. The Global Structured Products business is responsible for all sales, structuring, packaging, and trading of structured products across all assets classes at Citi.

Manage the secondary trading (~$1.5 billion p.a.) and pricing of equity, hybrid, commodity, rate and FX structured notes by monitoring the pricing of the derivative and the credit aspect of the note. Supervise the intraday risk on equity positions acquired on the secondary market by hedging our positions.

Create and implement several new systems as well as departmental website. Systems included Viper, which provides live pricing to Bloomberg for trade execution, as well as T.O.M.S.(Trade Order Management System) which increases efficiency by reducing manual bookings and eliminating unnecessary emails (at least 100 per day).

Act as a liaison between my department and Citi's treasury department in order to request mandates for new deals and to retire our inventory of Citi issued notes. Collaborate with Citi's Debt Capital Markets group and third party borrowers to arrange structured notes financing. Depending on the currency of the funding, coordinate a basis swap with our internal swaps desk. Once a deal is done, coordinate all aspects of the trade with legal, risk, compliance, and trade capture.

Speak with customers, both internal and external sales team members, and Financial Advisors regarding questions or concerns about pricing, trading, and terms of notes.

CITIGROUP CORPORATE AND INVESTMENT BANKING New York, NY May 2007-2009

Specialist in the derivatives middle office division.

Support Structured Products business(Cross Asset Group), responsible for setting up new securities through external and internal systems, coordinate relevant reports, liquidate and retire securities, calculate and instruct trailer payment activity, manage collateral positions, complete 10K and other regulatory filings, calculate and process coupon and dividend payments, coordinate tax reporting internally and externally, track agreements between the company and third parties,

Maintain deals from inception to maturity and maintain certain pricing and client databases.

Working with internal product control, legal, tax, systems, setting up new products that may be issued. Running analytical and accounting summaries for senior management, partner with the sales and trading personnel and understanding components of intricate deals.

ARGENT MORTGAGE COMPANY, LLC White Plains, NY. Nov. 2003- May 2007

Account Manager- Account Executive

Education

BOSTON UNIVERSITY SCHOOL OF LAW Boston, MA

Master of Law in Banking and Financial Law (LL.M)

UNIVERSIDAD SANTA MARIA Caracas, Venezuela

B.S. of Law (equivalent to JD degree)

Representative to Student/Faculty Council.

Contributing writer to Faculty Magazine

Earned degree while working full time

Licenses, skills and Interests

Series 7, 63, 55, 24, CT, NY Life and Health.

Fluent in Spanish and English

Spanish Interpreter (legal)

Notary Public State of New York

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