settlements department manager resume example with 20+ years of experience

(555) 432-1000,
Montgomery Street, San Francisco, CA 94105

Top performing professional with extensive experience in financial services, including 10 years in Settlements at Goldman Sachs & Company, a leading global investment banking, securities and investment management firm. Visionary and forward-thinking, with proven ability to lead change and motivate at all levels of an organization. Excellent interpersonal, negotiation and conflict resolution skills. Broad experience in prioritization, budgeting and management of departmental and global projects. Area of expertise Regulatory Compliance Operational Risk Management Managing Conflicting Priorities Root Cause Analysis Strong Technical Acumen Problem & Conflict Resolution Streamlining Processes Logical Decision Making Organization & Planning

Economics, Queens College Queens, NY Expected in : - GPA :

licensure & language proficiencies

Series 7, 63, 65

Goldman Sachs & Company - Settlements Department Manager
City, STATE, 10/2008 - Current
  • Leverage extensive knowledge and experience to effective manage Settlements Department.
  • Strong track record in upgrading control and infrastructure standards.
  • Cultivate and maintain long-lasting stakeholder relationships.
  • Heavy interaction with internal and external auditing teams in review of SASE16, SAS70, FINRA, SOX and RCSA reviews.
  • Create, coordinate and continuously upgrade internal RCSA standards, team processes and personnel.
  • Review operations incidents, perform root cause analysis and create post-mortem takeaways.
  • Liaise with Client Coverage Representative management to facilitate new business and daily workflow.
  • Oversee technology installments including budgeting, prioritization, approvals, installation and the final review of controls.
  • Provide trade instructions, ensure timely resolution of trade discrepancies, and resolve daily settlement issues.
  • Proactively streamline and optimize processes.
  • Broad based responsibilities include: Confirming trades, cash flow verification, broker confirmations, collateral and margin calculation, and position monitoring.
Goldman Sachs & Company - Prime Brokerage- Middle Office Team Manager
City, STATE, 03/2004 - 10/2008
  • Managed client relationships and the firms PB trade capture, price verification, account reconciliation, confirmation and settlements.
  • Additionally responsible for system development initiatives and included exposure to globally traded products in multiple financial markets.
Goldman Sachs & Company - Specialist Trading Clerk on NYSE
City, STATE, 05/2001 - 03/2004
  • Assisted Specialist on all aspects of trading including publishing quotes, reconciling trades still waiting on counterparty submission
  • Notify the desk of any capture issues that cause risk/pnl impacts
Spear, Leeds & Kellogg - Margin/ACAT Specialist
City, STATE, 1999 - 05/2001
  • Determined customer margin requirements
  • Communicated regulatory Reg T, Fed, and House Maintenance calls
  • Performed client Wire,Check and other transfer request
Fluent in Italian

streamline, auditing, budgeting, cash flow, Client, Italian, personnel, processes, SAS, Settlements, upgrading, upgrade, workflow

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Resume Overview

School Attended

  • Economics, Queens College

Job Titles Held:

  • Settlements Department Manager
  • Prime Brokerage- Middle Office Team Manager
  • Specialist Trading Clerk on NYSE
  • Margin/ACAT Specialist


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