Administrative Assistant Custodian

CAROL LIVERANO

*****.*********@*****.*** *********@********.*** 718-***-****

PROFESSIONAL PROFILE

Diversified, experienced professional with extensive knowledge of the life cycle of financial products from trading to settlements regarding broker to broker, domestic and global stocks, treasuries, prime broker and fixed income products inclusive of Options, Derivatives, CMO’s, CLO’s, Euroclear trades. Excellent organizational skills with a strong ability to multi task and prioritize along with outstanding attention to details. Driven, devoted, self- motivated, excellent verbal and written skills. Resourceful problem solver, positive attitude and the ability to exceed goals.

• Facilitates high level support services specializing in organizational and communication management resulting in reduced DKs and failed trades

• Applied significant expertise in the end-to-end management of setting up integral Prime Broker information and accounts

• Prioritizes and directs multiple tasks keeping them within designated strategic importance

• Expertise in internal and external direction ensuring workflow of management, daily operations and administrative instructions

• Serves as an enthusiastic team player known for outstanding performance re: problem solving within a fast paced and complex environment

AREAS OF EXPERTISE

STRATEGY DEVELOPMENT MANAGEMENT SERVICE

Custodian & Broker Oversight Document Generation Implementation of New Process Process Improvement Policy Development Settlement Platform Financial Industry Knowledge Workflow optimization CAREER HISTORY

ADVISOR GROUP, NY, NY JULY 2022 – PRESENT

OPERATIONS

• Researching for legal documents

• Gathering information for new pathways involving critical thinking

• Entering data into the system and analyzing commissions statements U.S. CENSUS, NY. NY AUGUST 2020 – OCT. 2020

ADMINISTRATIVE ASSISTANT

• Completed forms for the MTA using an excel spreadsheet TOCQUEVILLE ASSET MANAGEMENT L.P., NY, NY MARCH 2006 – DEC. 2017 TRADE SETTLEMENTS MANAGER

• Facilitated settlements of DK’s and trade fails via NetExPro 360 for domestic & international trades inclusive of Euroclear. Additionally, handled DKs for international fixed income in local currencies and Euroclear

• Established new guidelines and policies to avoid buy-ins and sell-outs for international settlements

• Implemented a data base of information for Brokers, Custodians and Prime Broker corresponding to DTC numbers for domestic/global equities, Treasuries, Broker-To-Broker, and Prime Broker, inclusive of all global instructions for all counties which Tocqueville traded. Instructions for both custodian and brokers

• Oversaw option settlements for hedge funds. Executed amendments on both APX and AXYS

• Executed amendments on NetExPro 360 using trade history for global trades

• Maintained the NetExPro360 Platform for step out/in breaks TOCQUEVILLE ASSET MANAGEMENT LP., (CONTINUED) MARCH 2006 – DEC. 2017 TRADE SETTLEMENTS MANGER

• Managed settlements of broker-to-broker trades and prime broker

• Processed the opening of prime brokerage accounts and prime broker allocation for counterparties

• Booked electronic trades along with specific security lots for Fidelity, Pershing and Schwab

• Exported trade activity from Moxy to spreadsheet formatting into custodian approved template

• Knowledge of ALERT System for the OASYS platform

• Acquired broker numbers for the swift settlement international trades at Pershing LLC LYON STUBBS & TOMPKINS, NY, NY MARCH 1995 – AUGUST 2005 BUY SIDE TRADER

• Utilized knowledge of markets, history of an issue and chart analogy for best trade execution

• Asserted specific trading methods such as VWAP/TWAP

• Facilitated voluminous trade execution via electronic, website and oral communication within a volatile and swift environment

• Executed the DTCC process

• Analyzed price execution via Bloomberg (VAP) for major block and sibling trades for SEC viewing and compliance

• Maintained the error account by summarizing and documenting any errors for submission to the SEC

• Reconciled, verified and balanced client positions via DTC confirmation/affirmation to ensure trade accuracy

• Planned process of organizing trade execution from retail to omnibus accounts

• Extensive knowledge of SEC, NYSE and NASD Compliance Policy inclusive of Rule 144 & Exhibit ‘C’ forms

• Negotiated soft-dollar commission schedule

• Executed a morning paper re financial analysis, recommendations, etc. taken from Bloomberg & WALL ST Journal TECHNICAL SKILLS

Advent Axys, APX, Moxy, Alert, NetExPro 360 Platform, Fidelity, Pershing and Schwab Websites EDUCATION

Pace University: Economics, English and Mathematics – 37 credits GPA of 3.7 PROFESSIONAL LICENSES

FINRA Series 7 and 63 expired

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