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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 xxx-xxx-xxxx |






Hiring Agent Name


Company Name


City/State/Zip Code




I am currently seeking a challenging career opportunity in a (INSERT TITLE OF TARGET POSITION) capacity and am submitting my resume for your review. In advance, thank you for your time and consideration.


As demonstrated in the accompanying resume, my qualifications include over 15 years of experience driving efficiency throughout daily operations within the financial industry. To complement this background, I possess top notch leadership abilities. I have applied my skills and knowledge toward overseeing market operations on a global scale, across Asia, Europe and North/South America.


As an employee, you will find me to be a driven team player committed to supporting you in achieving your objectives through superior performance. I am confident that I could be a valuable asset to your organization, and look forward to interviewing with you in the near future.




Yyyyyy x. yyyyyy

Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 xxx-xxx-xxxx |


Profile of Qualifications


  • 15+ years of experience providing sound leadership and maintaining utmost quality control throughout financial operations.
  • Skilled in building, training and managing high performance teams.
  • Recognized for ability to champion process improvement initiatives, to result in significant increases in efficiency throughout daily operations.
  • Linguistic fluency in Korean.


Professional Synopsis


CLSA Americas, LLC, New York, NY; Middle Office Manager 2015-Present

  • Fulfill key leadership position across global markets, with associated duties including overseeing daily activities of 4 team members, streamlining process improvement initiatives to increase efficiency and conducting in depth training.
  • Strategically reconcile client trades and monthly statements for various departments, including Finance, Asset Services and Risk Control.
  • Collaborate extensively with global teams to ensure adherence to all company procedures.
  • Successfully oversee trading and settlement activities for margin and proprietary accounts.
  • Recognized for development and implementation of office procedure manual, outlining daily responsibilities for team members.

Operations Supervisor 2007-2015

  • Maintained quality control throughout all daily operations while successfully managing 2 staff members.
  • Leveraged strong industry knowledge to identify client needs and make individualized recommendations to fulfill accordingly.
  • Continually maintained adherence to regulations, including Anti-Money Laundering (AML) and Foreign Account Tax Compliance Act (FATCA).
  • Conducted in depth data analysis; strategically identified and resolved discrepancies as necessary.
  • Reconciled trade breaks, failing trades and cash payments.
  • Compiled pertinent information and created in depth commission, execution and FX reports.
  • Performed thorough system testing to ensure seamless processing of client trades.


KBC Financial Products, New York, NY; European Equities Sales Associate 2005-2007

  • Served as a liaison between institutional investors, corporate management and firm analysts; relayed important information to appropriate parties.
  • Successfully coordinated and facilitated European corporate conferences, providing US Institutional Investors access to European company management.
  • Demonstrated a strong attention to detail while monitoring client commissions, placing equity orders and managing processing of client European Equity trades / settlements.
  • Thoroughly reviewed client accounts to ensure adherence to regulatory requirements.


DBS Vickers Securities (USA) Inc, New York, NY; Executive, Sales and Trading Support 2002-2005

  • Utilized industry knowledge to make solid recommendations to staff members and investors on best practices within the Asian Equity Market.
  • Conducted thorough market trend research; relayed pertinent information to appropriate parties.
  • Demonstrated strong organizational skills while coordinating meetings / conferences and maintaining all company records.


Education & Professional Development


BA in Social Sciences and Interdisciplinary Studies, State University of New York at Buffalo, Amherst, NY

Series 7 and Series 63 Broker s License

The Chairman s Trust Staff Sponsor, buildOn, Bronx, NY; 2011-2015


Technical Proficiencies


  Allocation Editor (AE)

   Client Reference Data (CRD)


  Sungard Phase 3


   Client Information System (CIS)

   OMGEO (Alert, CTM & OASYS)


  Client Data Base (CDB)


  MS Office Suite



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