Operations

Matthew V. Carbone, MBA

Operations Professional

Howard Beach, NY 718-***-**** *******@***.***

Summary

A detail-oriented Operations Professional with experience facilitating trade flow and managing risk.

Computer Skills

Brass Act Reuters Bloomberg Microsoft Word and Excel

Accomplishments

PRODUCED DAILY OPEN CALLS REPORT FOR THE U.S. COLLATERAL MARGIN TEAM

CREATED STANDARD OPERATING PROCEDURES AT HSBC TO ASSIST THE OFFSHORE TEAM

AUTOMATED THE TRADE BOOKING PROCESS AT RODMAN & RENSHAW

HELPED CREATE AN INTRA-DAY BREAK RESOLUTION SYSTEM AT BEAR STEARNS

TRAINED NEW EMPLOYEES AT BEAR STEARNS AND MORGAN STANLEY

Professional Experience

Liquidnet – New York, NY 12/19-Present

Commission Management (Contractor)

Monitor client needs regarding problem resolution and processing issues.

Manage and respond to inbound client inquiries concerning daily reconciliations of CSA credit with counterparties and administrators.

Reconcile and monitor client/broker payables and receivables.

Goldman Sachs & Co. – Jersey City, NJ 5/17-9/18

Collateral Risk Management Analyst (Contractor)

Accountable for daily data capture and monitoring of client portfolios, issuing and receiving margin calls.

Produced daily open calls report for management review.

Resolved and escalated client disputes and queries.

HSBC Global Banking and Markets - New York, NY 5/15-7/16

Client Management Onboarding Analyst (Contractor)

Ensured clients were onboarded in a timely manner, streamlining processes and providing regular status updates to internal and external clients.

Acted as a liaison between the front and back office teams working directly with Relationship Managers, Sales, Trading, Credit, Documentation, and Operations.

Maintained excellent records and prioritized cases appropriately to ensure all requests were completed prior to trade deadlines and complied with internal and regulatory procedures.

UBS Investment Bank - New York, NY 2/14-12/14

Middle Office Trade Support Specialist - Global Synthetic Equities Operations (Contractor)

PROJECT MANAGEMENT

Represented the GSE middle office, participating in the daily escalation calls communicating outstanding issues with front office, confirmation, settlement, and finance teams.

Responsible for Dodd-Frank oversight that helped reduce the firm’s risk and produced a daily Dodd-Frank report that went to senior management.

TRADE SUPPORT

Monitored and ensured that trade bookings were entered and captured correctly on a timely basis, including equity swaps and cash equities.

Communicated and provided intensive trade support to traders and salespeople on a daily basis to rectify issues and breaks related to client trades, confirmation, settlement, and P&L.

Checked and booked corporate action events and worked with the asset servicing team to ensure they were processed on time and the risk was managed correctly.

Matthew V. Carbone, MBA-page 2

Morgan Stanley - Brooklyn, NY 8/12-5/13

Trading Assistant (Contractor)

Provided operational support to the Global Capital Markets trading desk on Fixed Income syndicate issues covering CDs.

Responsible for trade capture, booking, settlements, trade breaks, sales credit, and the resolution of all trade problems.

Liaised with members of Sales, Compliance, Legal, IT, Client Service Groups, Settlements, and Controllers to ensure CUSIPs were properly set up in internal systems and that all bookings complied with FINRA regulations.

Corresponded with Sales to ensure splits and settlement instructions matched client requirements.

Coordinated with other brokerage house’s trading desks, operations teams, and settlements to match delivery instructions for clients that are not covered internally.

Monitored risk of each trading desk and generated P&L reports.

Rodman & Renshaw - New York, NY 4/11-3/12

Middle Office Operations Specialist

Worked directly with the technology group, automating trade flow from Brass to Broadcort.

Trained new employees in clearing the firm’s system interface.

Served as primary liaison between Rodman & Renshaw and clearing firms (Pershing LLC and Broadcort-Merrill Lynch).

Performed all aspects of operations; for example, responsible for keeping track of Fails and DK's and the point person for customers and their brokers to ensure timely settlements.

Responsible for processing trade corrections in a timely manner.

JP Morgan Chase - Brooklyn, NY 3/08-3/11

P & S Trade Processing Specialist

Balanced trades for clients across all exchanges and products.

Assisted management in the resolution of client and system trading problems.

Maintained, in accordance with management, proper department procedure checklist.

Coordinated settlement of trades with opposing brokers and resolved discrepancies between brokers and JP Morgan clients.

Recorded trading volume figures for management and elevated all potential problems to management.

Bear Stearns & Co. - New York, NY 4/00-3/08

Institutional Equity Order Room 8/04-3/08

Provided coverage of domestic and international equity trading for listed equity, derivatives, international, and arbitrage trading desks. Ensured that trade issues were resolved and escalated in a timely manner.

Assisted senior traders with their accounts by working directly with clients and clients’ respective prime brokers.

Trained/supported clerks on the Trouble Desk. Monitored real time proprietary positions and P&L for listed equity block desk.

Operations Analyst, Prime Brokerage 4/00-8/04

Managed clearance / settlement trading for hedge fund client (capital from $150 million to $15 billion).

Oversaw multiple client portfolio strategies involving fixed income, distressed debt, mortgage backed securities, and domestic long/short equities.

Assigned larger accounts as a result of demonstrating diligence and ability to resolve operational discrepancies.

Education

M.B.A., Finance - 9/07

Long Island University, Brooklyn, New York

B.S., Hospitality Management - 1/00

St. John’s University, Jamaica, New York

Activities

Black Belt in Karate; Kiwanis Club

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