Equity Sales Trader

*** ***** *** ******, *** Frank Barbaro phone: 917-***-****

New York, NY 10280 email: ********@***.***

QUALIFICATIONS

Background exemplifies an acumen in high volume/high value global equity sales/trading products, including strong client service skills, research, confirmation, pre and post trade settlement analyses together with compliance and supporting technology. Effective decision-making, verbal and written communications, organizational, interpersonal, leadership, escalation, coordination and negotiation skills. Expertise in coordinating multifaceted projects from inception to completion. Proven capacity for establishing best practices, leading business development practices, vendor/contract negotiations, and implementing global project cost containment policies. Ability to work with senior management to produce short/long-term strategic plans.

BUSINESS BACKGROUND

Jun 1982 to Mar 2008 CITIGROUP GLOBAL MARKETS, INC., New York, New York

2001 to March 2008 Vice President, Sales Trading Assistant, Global Portfolio Trading. Assisted sales trading force develop institutional and hedge fund client relationships and expanded the client base through quality of execution and competitive commission rates and utilization pre/post-trade and transactional cost analyses of US and non-dollar equity products. Primary duties and responsibilities have included:

• daily cash, trade, FX and position reconciliations

• acting as a contact point for all internal and external counterparties for queries associated with the execution and trade monitoring

• interfacing with on-shore/off-shore areas to assure timely settlement of all trades

• opening new institutional/hedge fund accounts, updating and maintaining instructions on existing accounts

• trade documentation checks ensuring all transaction are executed in compliance with regulatory requirements and internal guidelines

• confirmation and settlement of trades with clients, brokers and custodians

• opening and maintaining new broker and client accounts for risk and P&L controls

• obtaining appropriate locates for stock loans

• reviewing complex products to assure accurate booking methodologies

• cross-book (Omnibus) reconciliation and monitoring for select clients

• allocating block trades (Omgeo Oasys Global), facilitating crossborder trading and minimizing the inefficiency and operational risk associated with manual trade processing

• ADR/ORD conversion, allowing institutional investors to trade ordinary shares overseas and automatically convert those shares to ADRs in US dollars

• research responses to management regarding P&L variances

• research and processing all corporate actions.

Achievements: 2003 to 2008. Designated lead Sales Trader for one of the nation's largest investment management companies with more than $67 billion in assets under management for its International/Global unit investment trust (UIT) division.

2000 to 2001 Assistant Vice President, Consulting Group Trading. Liaison between trading force and financial controls and back office settlement teams with respect to equity market deals, queries and exceptions.

1997 to 2000 Assistant Vice President, Global Equities Division (1997 to 2000)

Assistant Vice President, Taxable Fixed Income Division (1997).

As Technology Administrator for divisional trading floors, major responsibilities included implementing/coordinating all systems-related activities and services between the end-user(s) and the Information Services Division. Established various user support programs and training modules as an integral part of the division’s support program.

375 South End Avenue, 18M Frank Barbaro phone: 917-***-****

New York, NY 10280 email: ********@***.***

BUSINESS BACKGROUND continued

1995 to 1996 Assistant Vice President, Client Services / Capital Markets Communications. Liaison between high profile internal clients and technical groups; maintained timely contact with users and managed expectations. Project managed trading floor technology upgrades/relocations; offered flexible solutions adaptable to meet the specific needs of the trading environment.

1993 to 1995 Financial Analyst, Market Data Services. Implemented research and prepared analyses of subjects relating to financial trends in market data expenses. Managed two market data pass-through P&Ls, accommodating hardware, fees and services. Counseled business units involving budgetary, forecast and expense variance issues.

1990 to 1993 Manager, Communications Finance and Administration. Steered eight staff members in the review/analyses of communications operational expenses; month-end closing processes, including reconcilement of corporate pass-through, prepaid/accrual accounts; provision of periodic financial/statistical reports. Created and revisited charge-back mechanisms to account for the propriety of communications costs and services and recommended alternatives.

1988 to 1989 Associate Communications Analyst, Communications Cost Accounting. Provided essential, accurate and timely reports and analyses to senior management, utilizing financial applications and ratios, graphics, quantitative data and studies.

1982 to 1987 Data Communications Analyst/Unit Leader, Data Communications. Coordination and overall responsibility for periodic reviews and analyses of data communications and office automation expenses throughout corporate headquarters and 350 + retail branch offices. Audited vendor invoicing to determine potential cost reduction.

EDUCATION Degree studies in Economics with concentration in International Studies.

NEW YORK UNIVERSITY, New York, NY, Cumulative Index: 3.65/4.0

LICENSING Financial Industry Regulatory Authority (FINRA) Series 7, 63

REFERENCES Available upon request

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