Senior Financial Services
Resume:
DAVID J. BEVINS
*** **** ******** *** **** Chicago,IL 60610
H: 319-***-****
MANAGEMENT EXECUTIVE – SECURITIES
30+ years of trading and leadership experience
Highly motivated and skilled professional seeking challenging position within organization that values focus on growth
AREAS OF EXPERTISE
§Trader Desk Management §SEC Audits §Registration/Licensing
§Regulatory Compliance §Clearing Operations §Investor Services
§System Conversions §Quality Assurance §Mergers & Acquisitions
§Corporate Communications §Procedure Development §Change Management
§Client Education §Recruitment/Hiring §Staff Training
EXECUTIVE PROFILE
PROFESSIONAL ATTRIBUTES:
· Extensive brokerage industry knowledge and experience with analysis/resolution of complex processing problems with trading and operations systems
· Experience in multiple areas of financial trading, including stocks, commodities, options, margins, municipal bonds and mutual funds
· Ability to work with ease in high-pressure, fast-paced environments
· Engaging oral communication style and ability to quickly establish rapport
· Track record of success in implementing large-scale procedural changes to enhance cost-efficiency and productivity, with particular emphasis on technology implementation and system conversion
· Ability to communicate effectively with individuals at all organizational levels, both internally and externally
· Exceptional leadership and team-building capabilities
LICENSES:
· Series 7, General Securities Representative
· Series 24, General Securities Principal
· Series 27, Financial and Operations Principal
· Series 63, Uniform State Law
SELECTED ACHIEVEMENTS:
· Played key role in liquidation of largest brokerage failure in the history of the Securities Investor Protection Corporation (SIPC), including recovery of $3.5B in CD operation
· Coordinated and led mergers with, or acquisitions of, at least 5 broker/dealer firms; held responsibility for system and process conversions
· Participated instrumentally in attainment of FDIC approval for newly-established trust company
CAREER PATH
SSG CORPORATION
10/2007-11/2008
Senior Consultant
Major Functions: Responsible for the data mapping, mock conversion balancing, B1 settings, employee training, conversion balancing of the firm, converting to the ADP/Broadridge platform for the following areas: Inventories; G/L trial balance; dividends; corporate action; compliance.
SUNGARD/PHASE III
06/2007-09/2007
Conversion Consultant
Major Functions: Data mapping, conversion balancing of the firm, converting from ADP/Broadridge Gloss System to the new Phase III International Clearing System.
NORTH AMERICAN CLEARING, INC 2006-2007
Chief Operating Officer
Major Functions: Chief Operating Officer of a self-clearing firm with 55 correspondents doing 35,000 trades per month with operational staff of 42. Oversight for all operational functions of a self-clearing firm, including but not limiting to, IT Department, ACATS, CNS settlements, box breaks, DTC breaks, focus reports and reserve computations.
FINANCIAL INDUSTRY TECHNICAL SERVICES 2001-2005
Senior Consultant
Major Functions: Consulting to SIPC-appointed trustee during liquidation of MJK Clearing, Inc., the largest brokerage failure in SIPC history; key participation in development and execution of asset reconciliation plan; leadership of 18 financial professionals in endeavor to recover, balance and transfer $3.5B in CD operation from Scottsdale, AZ to Minneapolis, MN
COMPREHENSIVE SOFTWARE SYSTEMS, INC. 2000-2001
Business Analyst/Conversion Team Manager
Major Functions: Oversight and leadership of software design, testing and implementation for supplier of securities processing software; management of conversion teams throughout all phases, including custom modification and installation
ISYS TRADING GROUP 1999-2000
Senior Vice President/Director of Operations
Major Functions: Oversight of all operations for full-service broker/dealer and Internet discount trader, to include trade desk, client services and clearing operations; staff supervision and leadership; management of order execution function utilizing high-speed ECN
GEMISYS TRANSFER AGENT/TRUST COMPANY OF AMERICA/GEMISYS SECURITIES CORP. 1987-1999
Senior Vice President/Director of Operations – Gemisys Transfer Agent
Major Functions: Complete operations management for SEC-registered transfer agent for 600+ issues including limited partnerships, REITs and common stock with 2.5M+ investors; supervision of 65 staff members; management of annual SEC and independent audits; heavy participation in conversions and associated quality assurance; collaboration with investor services to ensure on-time deliverables; work flow design and enhancement; management coaching and development
Senior Vice President of Trust Operations – Trust Company of America
Major Functions: Key role in due diligence for acquisition of Trust Company of America and TransCorp Pension Services; management of conversion team, with responsibility for process and system conversions for Gemisys Trust Company, Trust Company of America and TransCorp Pension Services; oversight of all operations, including client services, clearing and sub-accounting; recruitment, development and management of 110 staff members; participation on Executive Committee, charged with establishment of charter, FDIC insurance/approval and procedural documentation
Senior Vice President/Director of Operations – Gemisys Securities Corporation
Major Functions: Establishment and complete operations management of NASD-registered broker/dealer with multiple branch offices spanning 4 states and 35 registered reps; oversight of merger/acquisition of 3 broker/dealer firms; management of 105 staff members
POSITIONS HELD PRIOR TO 1987
BIRR WILLSON SECURITIES Vice President/Director of Operations
DAVIS SKAGGS, INC. Manager – Stock Loan Operations
ROTAN MOSLE, INC. Conversion Specialist
R.G. DICKINSON & CO. Credit Manager
BLUNT, ELLIS & SIMMONS, INC. Credit Manager
LAMSON BROS. & CO. Credit Manager
RALPH W. DAVIS & CO. Credit Associate
EXCEPTIONAL REFERENCES AVAILABLE UPON REQUEST
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