Manager Back Office

EUGENE P. WINTERS

*** *** ***** **. *******, NY *0541 914-***-**** (c) *******.******@***.***

PROFESSIONAL SUMMARY

Highly skilled operations manager with extensive experience in the financial services industry, which makes him uniquely positioned to provide strategic, operational guidance for bottom-line focused businesses. Has a proven track record developing and implementing policies, procedures and infrastructure enhancements that solve complex business issues, streamline work flows and establish robust controls – resulting in reduced expenses, mitigated risk, and increased productivity. Considered a challenging and inspiring manager who fosters a teamwork culture and motivates, mentors and trains staff accordingly. Highly skilled in all areas of front, middle and back office support and displays diversified competence in accounting, compliance, technology, and systems design.

SKILLS

Licenses: General Securities Representative Series 7

Associations: SIFMA, Corporate Actions, Securities Operations, Securities Lending, Data Management

Technical skills: FIX and FTP protocols, FlexTrade (ems/oms), Brass, Lava, Wilco, ADP, Raptor, Thompson One, Bloomberg, Reuters, Cogent, Omgeo, NASDAQ, Mixit

EXPERIENCE

1993-2019 WEEDEN Co, LP Greenwich, CT

Senior Managing Director, Domestic and International Operations

Manage division that provides trading support for all 6 branch offices and end-to-end operational support for revenue generating activities, including sales, trade processing, client on boarding, client settlements, supporting Domestic, International, Equities, Fixed Income and Derivative execution.

Oversee all firm-wide daily, monthly and quarterly reporting, risk management and regulatory compliance activities.

Developed infrastructure enhancements that resulted in a robust, web-based middle-to-back office system and increased institutional trading capacity where we cleared 175,000 RVP/DVP, prime broker or broker to broker trades without adding incremental resources.

Leveraged advanced technologies to implement process improvements that increase scale and efficiency across the Weeden platform, and reduce risk by eliminating manual intervention. Realized a 99% reduction in breaks and exposure by automating processing for all transactions executed on the NYSE, AMEX, NASDAQ, and all OTC, electronic and regional exchanges accounting for 100% of trading volume and 8.2 million street trades cleared monthly.

Supported all International operations functions in 40 developed countries and as a Introducing Broker

In 10 undeveloped regions. Managed trades flow from processing to settlements. Full Forex and

ADR/ORD arbitrage capabilities.

Provides broad organizational and strategic guidance for the firm as a member of Weeden’s Senior Management team and Administration Committee chairman. Makes recommendations to Executive Management and the Board of Directors as a member of several committees, including Technology, Compliance, Business Continuity, Crisis and Trading & Cyber Security.

1986-1993 MERRILL LYNCH New York, NY

Operations Manager, Foreign Equities

Responsible for all global operation support for Retail, Institutional and Broker Dealers, including overseeing the reconciliation of positions and cash flow daily for the 24-hour global book.

Coordinated policies and implemented procedures to ensure timely settlements of all executed trades, requiring significant relationship management with traders, salesman and operations staff in local offices globally.

1980-1986 MERRILL LYNCH New York, NY

Multiple Positions (Fixed Income Sales / International Operations Cashiering / International Service Representative)

Performed multiple functions to support various job requirements. These included customer service, Fixed Income settlements for New York Fixed Income Sales, Cash movements based on Forex executions or client requests, processing physical securities, provide all bookkeeping functions for Merrill Lynch International Bank.

Contact this candidate