Sales Assistant Financial Services

TRACEY E. AMATO

Chicago, Illinois ***** 773-***-**** **************@*****.*** www.linkedin.com/in/tracey-amato-26772910/ SUMMARY

An accomplished and driven financial services executive, with extensive experience in institutional sales, trading operations, retail operations, and customer relations in the financial industry. Recognized as a detailed leader with exceptional problem-solving skills in an associate role on the institutional trading desks for corporate, municipal, treasury, and mortgage-backed securities. Leverages industry knowledge to provide accurate communication with customers in a fast-paced and dynamic environment. An analytical thinker who makes decisions to benefit the financial position of the organization.

EXPERIENCE

MESIROW FINANCIAL Chicago, Illinois

Sales Assistant / Principal / Series 9, 10

● Assisted Vice Chairman of Mesirow in sales and administrative support.

● Coordinated with the Compliance Department to establish an internal audit for a regulatory-based procedure for account documentation for institutional clients.

● Served as a team member for credit tenant lease new issue bonds from origination to settlement.

● Analyzed daily trace report for the Institutional Sales and Trading Department for corporate and treasury bonds within regulatory guidelines.

● Monitored daily trade comparisons and operations for the Corporate Trading Desk to ensure accurate reporting for institutional clients.

● Aided salespeople on corporate, government, and mortgage-backed products, consisting of trade input, trade reconciliation, and opening institutional accounts.

● Leveraged an ability to multi-task with salespeople, customers, and back-office operations.

● Trained employees on systems, focusing on teamwork. Included Bloomberg, Omgeo, CTM, Tradeweb, NETX 360. MESIROW FINANCIAL Chicago, Illinois

Sales Assistant / Series 7, 63

● Supervised four sales assistants to ensure proper regulatory procedures, training, and due diligence for customer accounts.

● Assisted six salespeople covering a range of products, including corporate, municipal, agency, and mortgage-backed securities.

● Served institutional clients, ranging from corporations, money managers, and insurance companies to foreign and domestic banks.

● Oversaw trade input, account setup and maintenance, and pre- and post-settlement issues for domestic and foreign settlement.

● Liaised with the Operations Department to execute wire transfers, check disbursements, ACATS, and all retail account maintenance.

YOUNG CAPITAL GROUP Chicago, Illinois

Sales Assistant / Series 7, 63

● Corresponded with customers for fixed-income sales and trading firm with 20 employees.

● Entered fixed income trades and monitored from pre-settlement to post-settlement.

● Maintained office supplies and equipment.

Tracey E. Amato, Page 2

EDUCATION

MIAMI UNIVERSITY, Oxford, Ohio

B.S., Business Administration, Marketing

LICENSES

General Securities Sales Supervisor, Series 10, 2002-2025 General Securities Sales Supervisor, Series 9, 2002-2025 Uniform Securities, Series 63, 1986-2025

General Securities Representative, 1986-2025

TECHNICAL SKILLS

Bloomberg Trade Order Management System (TOMS) Platform Pershing NetX 360 Client Database Concur, Outlook, Excel, Power Point

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