Brokerage Operations Resume
|Desired Industry: Accounting/Bookkeeping
|Desired Job Location: QUEENS, New York
||Date Posted: 1/16/2020
|Type of Position: Full-Time Permanent
||Availability Date: Immediate
|Desired Wage: 90000
||U.S. Work Authorization: Yes
|Job Level: Management (Manager, Director)
||Willing to Travel: No
|Highest Degree Attained: Other
||Willing to Relocate: No
Analytical, performance-focused, and forward-thinking professional, with comprehensive experience in equity, fixed income, and commodity operations support; and foreign exchange in investment banking, securities, and wealth management industries. Expert at dealing with domestic and foreign derivative transactions, finance systems, commodity options, and warrants in line with the set-forth procedures. Equipped with leadership abilities in determining organizational needs; recommending innovative solutions and alternatives to complex problems; and meeting tight deadlines toward company growth.
SOCIÉTÉ GÉNÉRALE – JERSEY CITY, NJ
Vice President - Team Leader, Delivery Department: 2017–Present
- Effectively supervise the Delivery Team in New York and Chicago with the daily business operations.
- Regularly coordinate with internal and external customers to address their concern
- Process the release of stock warrants and send emails to client service group with client holding open commodity position approaching last trading day (LTD) and first notice day (FND).
- Track internal and exchange system in ensuring client trade out for open positions during LTD.
- Participate in all commodity option expirations and delivery processing.
- Perform reconciliation of daily warrants inventory, client trades booking, and client petroleum trade breaks.
- Take charge of processing client payment in the internal system.
UBS INVESTMENT BANK – NEW YORK, NY
Exchange Traded Derivatives Client Margining Specialist: 2015–2017
- Facilitated training to team members and new joiners regarding client margining.
- Conducted escalation with Credit Risk Team regarding payment overdue by three days.
- Closely work with several stakeholders in Sales, Risk, and IT departments.
- Managed client daily margining to ensure attainment and coverage of all margin calls.
- Developed and evaluated standard operating procedures to identify new process improvements.
- Dealt with client requests on collateral substitution; daily/weekly foreign currency procedures; and cash and collateral file receipt for verification of the UBS internal payment system.
- Efficiently handled T+1 cash fail reconciliation; SWIFT payment of the client; and missing fund settlement in partnership with a custodian.
UBS INVESTMENT BANK – NEW YORK, NY
Exchange Traded Derivatives Delivery Control Specialist: 2005–2015
- Oversaw daily operations support for the Exchange Traded Derivatives Deliveries Division.
- Spearheaded all commodity, single-stock future deliveries, and option expiration on the New York Mercantile Exchange, New York Commodity Exchange, Options Clearing Corporation, Chicago Board of Trade, and the Chicago Mercantile Exchange.
- Ensured adherence to set rules and regulations of the exchange by collaborating with global branch offices and external clients
- Generated monthly global balance sheet sign-off and verification (GBSOV) to manage the balance and risk of the accounts.
- Managed global hedge fund, money manager and commodity clients, as well as the large trader position and open interest to exchanges and clients.
- Investigate Commodity Futures Trading Commission (CFTC), internal compliance, and exchange regulatory inquiries, while also reconciling T+1 trade breaks in collaboration with the internal stakeholders, brokers, and external clients.
- Promptly addressed and responded to customer inquiries.
- Drove key efforts in reaching quarterly cross-currency for ICE Clear US and Chicago Mercantile Exchange, amounting to $56B.
SCS Business and Technical Institute -New York, NY June 1986-June 1987
Certificate of Academic Achievement in Bookkeeping & Business
Trade Posting and Payment Escalation
Investment and Finance Assessment
Continuous Process Improvement
Cost Reduction Analysis Futures and Options Operations
Regulatory Compliance and Standards
Customer Service and Retention
Project and Program Development
MAN FINANCIAL, INC. – NEW YORK, NY
Futures Operations Associate
MERRILL LYNCH FUTURES, INC. – JERSEY CITY, NJ
Manager - Deliveries Specialist
Microsoft Office Suite (Word, Excel)
SAP BusinessObjects ▪ CME Portal ▪ ICE US Clearing Application ▪ PTMS ▪ ECS ▪ Coma
KeyLink ▪ Swiss Key Clearing ▪ MYOCC and GMI System
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