Work Preference
Summary
Overview
Work History
Education
Skills
Languages
Timeline
Generic
Open To Work

Carlos Moscoso

Jacksonville,FL

Work Preference

Job Search Status

Open to work
Desired start date: Immediately

Desired Job Title

Dividend Processing SupportTrade Reporting Services, Middle OfficeFraud & Investigations AssociateAssociate, Listed Equity & Futures Derivatives OversightISDA Derivative Structure Products Documentation

Work Type

Full TimePart TimeContract WorkGig WorkConsultingVolunteerSeasonal Work

Location Preference

On-SiteRemoteHybrid
Location: Jacksonville, FL, USJacksonville, FL
Open to relocation: Yes

Salary Range

$1/yr - $100000/yr

Summary

Results-driven financial operations and trade support professional with 20+ years of experience in front-to-back trade lifecycle management, clearing, booking, and reconciliations across equities, fixed income, credit, and OTC derivatives. Proven track record in supporting front office trading desks, resolving trade breaks, and ensuring timely and accurate settlements. Formerly licensed Series 4, 7, 24, and 63. Known for a sharp analytical mindset, strong communication with stakeholders (trading, sales, legal, compliance), and expertise in trade operations platforms including Bloomberg, Markit, Aladdin, TriResolve, Imagine and Murex. Bilingual in English and Spanish.

Overview

13
13
years of professional experience

Work History

Dividend Processing Support

MERRILL LYNCH, A Bank of America Company
12.2023 - 05.2024
  • Executed timely and accurate dividend distributions and reinvestments across a wide portfolio of mutual funds.
  • Maintained fund distribution calendars and processed domestic/international income events.
  • Resolved high-net-worth client inquiries regarding dividend entitlements and payment timelines.

Trade Reporting Services, Middle Office

DEUTSCHE BANK
08.2019 - 07.2020
  • Supported regulatory reporting for TRACE compliance across fixed income trades.
  • Monitored trade submissions, resolved breaks, suppressed errors, and managed exception queues.
  • Served as point of contact for the Sales/Trading desk for trade-related issues and ad hoc requests.
  • Monitor all rejects, pending, suppressed submissions and take action to ensure trades report accurately.

Fraud & Investigations Associate

CITI
02.2019 - 07.2019
  • Conducted fraud analysis for credit card accounts to identify suspicious activities, charge-offs, and potential financial crimes.
  • Compiled investigative data and escalated cases to upper management, ensuring compliance with internal risk and controls and external regulations.
  • Supported regulatory compliance by contributing to SAR filings and fraud reporting.

Associate, Listed Equity & Futures Derivatives Oversight

DWS
02.2017 - 06.2018
  • Supervised the daily front-to-back derivatives operations performed by the offshore team in Bangalore.
  • Managed cash/position reconciliations, collateral movements, corporate actions, and SWIFT messaging.
  • Improved operational efficiency and reduced risk by optimizing trade confirmation logic in Aladdin.
  • Maintained accurate Know Your Customer (KYC) records with a focus on data integrity.

ISDA Derivative Structure Products Documentation

DEUTSCHE BANK
05.2015 - 12.2016
  • Drafted and validated equity derivative confirmations for structured products.
  • Participated in STP implementation and UAT for trade processing enhancements.
  • Contributed and participated in outsourcing controls and risk for all equity derivative structure drafting confirmations to India; Established writing key operating policies and procedures.
  • Ensured accuracy in client documentation and liaised with Legal, Trading, and Ops teams.

Equity and Exotic Derivatives Trade Support

BNP PARIBAS
04.2014 - 08.2014
  • Managed trade capture, booking, affirmations, and reconciliations for OTC equity and exotic derivatives.
  • Investigated cash and position breaks and supported lifecycle events including expiries and corporate actions.
  • Liaise with trading, sales, legal, compliance, collateral and back office to ensure accurate capture of trade.

Middle Office, Derivatives & Fixed Income Operations

BLUE MOUNTAIN CAPITAL MANAGEMENT
08.2011 - 12.2013
  • Reconciled positions, cash, and MTM discrepancies using TriResolve and MarkitServ.
  • Booked trades, resolved bond settlement issues, and managed allocations across internal hedge funds.
  • Responsible for managing front office queries, ad hoc reporting, data analysis and incident management request with traders, salesperson, managers, operations, legal and compliance.
  • Executed trades on both electronic trading platforms and complex paper trade confirmations.
  • Supported complex OTC confirmation workflows and regulatory obligations under Dodd-Frank and EMIR.

Education

Bachelor of Arts - Political Science, Economics

QUEENS COLLEGE, CUNY
New York, NY

Skills

  • Trade Capture & Booking
  • Clearing & Settlement
  • Trade Lifecycle Management
  • Reconciliation (Position/Cash/Collateral)
  • Derivatives (OTC/Listed/Exotics)
  • Regulatory Reporting (TRACE, Dodd-Frank, EMIR, FINRA, SEC, ISDA)
  • Risk & Control Oversight
  • SWIFT, Aladdin, MarkitServ, TriResolve
  • Front Office Support & Issue Resolution

Languages

English
Native or Bilingual
Spanish
Native or Bilingual

Timeline

Dividend Processing Support

MERRILL LYNCH, A Bank of America Company
12.2023 - 05.2024

Trade Reporting Services, Middle Office

DEUTSCHE BANK
08.2019 - 07.2020

Fraud & Investigations Associate

CITI
02.2019 - 07.2019

Associate, Listed Equity & Futures Derivatives Oversight

DWS
02.2017 - 06.2018

ISDA Derivative Structure Products Documentation

DEUTSCHE BANK
05.2015 - 12.2016

Equity and Exotic Derivatives Trade Support

BNP PARIBAS
04.2014 - 08.2014

Middle Office, Derivatives & Fixed Income Operations

BLUE MOUNTAIN CAPITAL MANAGEMENT
08.2011 - 12.2013

Bachelor of Arts - Political Science, Economics

QUEENS COLLEGE, CUNY
Carlos Moscoso