Candidate Information Name Available: Register for Free Title Associate Stock Operations Specialist Target Location US-NY-Brooklyn Email Available with paid plan Phone Available with paid plan	20,000+ Fresh Resumes Monthly     View Phone Numbers     Receive Resume E-mail Alerts     Post Jobs Free     Link your Free Jobs Page     ... and much more Register on Jobvertise Free
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Candidate's Name
Street Address  Ketcham AvenueAmityville, NY Street Address
PHONE NUMBER AVAILABLEEMAIL AVAILABLESUMMARYInvestment brokerage operations specialist with a proven track record in reconciling complex settlementproblems. Demonstrated ability to analyze security industry process from trade booking to settlement.Consistently and effectively managed a variety of operation functions such as stock record, cash and accountbalancing, reorganization, margin client portfolio management, income trade settlement, and dividenddistribution.PROFESSIONAL EXPERIENCEBROADRIDGE CLEARING INC., Newark, New Jersey April 2021 to August 2021Margin ConsultantProcess increases for ETRADE day trading calls and restrict accounts trading activity due to callsDAVID LERNER ASSOCIATES, INC., Syosset, New YorkSenior Associate Stock Record Control/Reorganization/Margin June 2003 to May 2018Balanced and controlled all street side accounts (depositories, bank loans and physical box locations).Conducted weekly counts of all in house positions. Handled possession and control issues and determined allsecurities for collateral DTC bank pledges for firm collateral and resolved segregation deficits. Strongunderstanding of rule 15c-3 and fluid segregation. Processed all settlement of fixed income trades. Processedall margin functions REG T calls and extensions, house maintenance calls, journals and margin proceed payoutrequest. Knowledge of Client Regulation Reg T and Margin Client Portfolio 4210 rules and regulations. Proficientin risk methodology and rules-based risk management. Experience with Margin Client Portfolio managementand daily Reg T requirements.MORGAN STANLEY & COMPANY, INC., Brooklyn, New York 1998-2002Senior Associate, Fail ControlResponsibilities included balancing broker to broker accounts, Canadian depository breaks and bankreconciliations, CNS account balancing, DTC balancing and aged fail resol-Led a task force that reduced $1 million in aged exposure to less than 100k in broker fails-Resolved an over 180-day old short free fail with a market value more than $600,000Senior Associate, Stock Record Control 1986 to 1998Directly responsible for all (cash and share) plug balancing, DTC balancing, general stock recordmaintenance, quarterly count break resolution and foreign depository breaks.EDUCATIONState University of New York, Oswego, New YorkBachelor of Arts: American History/Minor Political Science, Dean's ListCREDENTIALSSeries 7 & 63,CRD # 1258606COMPUTER SKILLSBloomberg, DTC, Davidsohn, BITSI and BITS! based in-house SystemsPhase 3 Sungard, ADP, Wachovia Fed, BONY Fed, Huntington Bank Fed.Microsoft Office Word & Excel