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listed derivatives margin control resume example with 20+ years of experience

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Jessica Claire
Montgomery Street, San Francisco, CA 94105 (555) 432-1000, resumesample@example.com
Summary

Financial professional with a strong background in all aspects of the industry. Working in the industry for over 16 years, I have acquired many skills including but not limited to trade support, settlements, trade confirmation, trade reconciliation, margin control and break resolution. I have worked on several trading floors, giving me the opportunity to work closely with many different products, such as equities, fixed income, FX, collateral, futures and options. it has also given me the experience of working in a fast paced environment and learn how to prioritize and work well under pressure.

Experience
09/2013 to Current Listed Derivatives Margin Control Spiderrock | Chicago, IL,
  • Primarily responsible for daily surveillance of client cash and non-cash margin movements to ensure adherence to CFTC regulatory margin rules.
  • Ensure funds are deposited into the correct accounts to avoid comingling of client and bank assets per the Dodd Frank regulation.
  • Authorization of all Listed Derivative client cash movement.
  • Headed multiple testing teams with IT to build and improve all cash management systems.
01/2006 to 09/2014 Middle Office Operations Specialist Summit Medical Group | Maryville, TN,
  • Oversight of 5 employees in Mumbai, India answering all there inquiries, making sure all of their work is completed and ensuring they are following controls.
  • Support traders making sure all of their trades are allocated, confirmed with counterparties and settled on time.
  • Currently support FX and Fixed Income products as well as Domestic Equities.
  • Work closely with Portfolio Accountants to resolve cash breaks/overdrafts and claims that are on client accounts.
  • Work closely with GTSS, Alert, SWIFT, Charles River and Oasys Global.
  • Communicate trade instructions including settlement details and wire instructions to the custodian bank and brokers in a timely manner based on product and client profile.
  • Monitor SWIFT instructions and internal applications, reviewing all trades go through correctly, and resolve any issues.
  • Upon notification of a failed trades and Non Receipts, the appropriate parties are contacted to resolve as quickly as possible.
  • Review and process daily and monthly reports for clients and senior management such as fail reports, error reports, recording trade volume and trade discrepancies, and provide monthly stats.
  • Develop and update processes and procedures to increase our level of client service.
  • Ensure proper training is performed for new team members.
  • Liaise closely with Senior Management to identify annual goals of the department and to streamline procedures to minimize risk and exposure while maximizing efficiency and productivity.
  • Coordinate projects and different testing scenarios within IT to enhance client systems.
10/1998 to 01/2006 Trade Support Analyst Citigroup Global Markets | City, STATE,
  • Work with representatives of other firms on the trading floor of the New York and American Stock Exchange resolving broker-to-broker trade discrepancies (i.e. DK’s, price, quantity, and broker differences, same side trades) done on trade date using the OCS system, and researching trade tickets, times and sales, and break sheets.
  • T+1 balancing, working with the trade desk and floor brokers to balance client accounts before market opening.
  • Street versus Blotter balancing for T+2 and T+3.
  • Notifying appropriate parties of any errors that need market action before the market opens to ensure minimal monetary loss.
  • Work with data entry, making sure all orders are entered into our internal systems with correct accounts, to ensure proper clearing and minimizing T+1 breaks.
  • Support retail business answering all inquiries and price challenges which may have required review of times and sales, talking to brokers and specialists and researching break sheets and broker tickets in order to quickly resolve all discrepancies to avoid minimal if any monetary loss.
  • Monthly review and documentation of commission bills to ensure accuracy of billed trades.
  • Worked with Senior Management to identify annual goals of the department and to streamline procedures to minimize risk and exposure while maximizing efficiency and productivity.
03/1996 to 10/1998 Phone Clerk Cigna Commodities | City, STATE,
  • Phone clerk for all metal markets on COMEX exchange
  • Received customer orders via telephone, and ensured all orders received quality execution
  • Resolved all trade breaks, processed price changes and resolved errors
  • Allocations of customer orders and ensured trades booked to correct accounts
Education
Expected in 2004 Bachelor of Arts | Business Saint Leo University, Saint Leo, FL GPA:
Skills

Proficient in Microsoft Word, Excel, Power Point and Outlook; strong communication skills, fast learner and a hard worker, work well with others, and have a high energetic and motivational personality. Always looking to achieve the highest standard of a job, and always willing to learn new things.

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Resume Overview

School Attended

  • Saint Leo University

Job Titles Held:

  • Listed Derivatives Margin Control
  • Middle Office Operations Specialist
  • Trade Support Analyst
  • Phone Clerk

Degrees

  • Bachelor of Arts

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