Manager Quality Assurance
Resume:
D. ANDREW NEESE
***********@*****.***
A goal oriented, dedicated, rising executive with 14 years experience in institutional and prime brokerage organizations. A proven track record of developing new relationships and enhancing existing relationships at senior client levels to maximize revenues.
PROFESSIONAL EXPERIENCE
Bank of America Merrill Lynch, New York, NY May 2004 - Feb 2012
Director – Team Leader Prime Brokerage
• Provided guidance and strategic direction to a team of 6 relationship managers that supported 40+ top tier hedge funds, asset managers and market makers on an operational basis; ranging from $5mm to $9b AUM
• Conducted quarterly office visits to clients across the Northeast, Midwest and West Coast, routinely meeting with CFO’s, COO’s and operations staff for quality assurance
• Responsible for cross selling BAML Cash Sales Trading, Equity Research, Swap, FX and Futures to maximize revenues
• Teamed with sales force on client pitches, acting as subject matter expert on prime brokerage operations
• Provided call reports for senior managers while seeking organic growth opportunities
• Single point of contact for clients in order to manage projects among technology, operations and stock loan
• Responsible for making presentations to C level members of hedge funds and asset managers
• Resolved complex operational/technical issues that required the judgment and skill set of this position
• Liaison with various areas; Sales, Trading, Margin and Risk, Settlements, Operations, Credit, Documentation and Legal
• Represented Global Markets Division as rotation manager for the college summer internship program
Bear Stearns & Co. New York NY Dec 1999 – May 2004
Associate Director - Senior Relationship Manager
• Supervised a team of six relationship managers that serviced over 45 hedge fund/broker dealers/market makers
• Resolved escalated complex operational and technical issues
• Conducted routine office visits and client entertainment towards relationship building
• Liaison between hedge fund clients and Bear Stearns trading desks, securities lending, corporate actions, credit and risk
• Provide senior manager with client call reports
Vice President- Relationship Manager
• Responsible for day to day maintenance of customer portfolios with respect to cash and position reconciliation
• Responsible for daily affirmation and settlement of domestic and international transactions for hedge fund clients
• Provide daily reporting of positions and cash balances directly to clients to ensure accuracy of records and statements
Toronto Dominion, New York, NY Oct 1997 - Mar 1999
Associate
• Responsible for day to day account management of Registered Investment Advisor’s clients
• Worked in order room, logged calls and processed DOT orders
• Corrected trade breaks and administrative errors
Papps Capital Management, New York, NY May 1993- Oct 1997
Analyst
• Account reconciliation, profit and loss calculations, trade breaks other operational tasks for a RIA
Columbia University, New York, NY Sep 1990- May1993
Analyst
• Account reconciliation and accounts payable for facilities construction department
EDUCATION
Clarkson University-Snell School of Management, Potsdam, NY
Bachelor of Science, Management and Finance
FINRA Series 7, 63 registrations
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