Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Eric Rodriguez

Maspeth,NY

Summary

As a Senior Vice President at ANOS Capital LLC, I apply my knowledge and expertise to operations in equities and fixed income. I am highly motivated, reliable and adaptable to any work environment. I excel at working with others at all levels to ensure goals are achieved.

Overview

26
26
years of professional experience
1
1
Certification

Work History

SVP Operations/Settlements

ANOS Capital LLC
New York, NY
03.2015 - Current
  • Manages a team responsible for maintaining trades and accounts for clients.
  • Deal with the full life cycle of the trade from execution through settlement of client accounts.
  • Notify clients on open fails for equity, fixed income and international trades.
  • Work directly with our clearing firm on fails and stock borrows to minimize fails.
  • Reconcile street side breaks and step outs through ACT, GEMS and ORF.
  • Notify clients on any potential buy-ins (Reg 204/Streetside) and corporate actions.
  • Allocate trades through CTM and from clients/traders emails.
  • Open and maintained accounts through ALERT and client notifications
  • Process files for trade execution through our OMS.
  • Reconcile P&L, positions and trial balance reports.
  • Assist with internal audit requests.

VP Operations/Middle Office

ConvergEx Executions Solutions
New York, NY
11.2004 - 06.2014
  • Facilitated direct communication with clients, correspondents, and traders to reduce fails, breaks, and exposure to errors.
  • Knowledge of fixed income, equities and international markets.
  • Reconciled with fail control and settlements on borrowing stock and processing SPO charges.
  • Ensured firm's adherence to SEC Reg 204 rule, covering settlement, borrowing, and buying in.
  • Worked with corporate actions group on notifying clients on corporate actions.
  • Processed allocations of trades from equities and fixed income by email, fax, or OASYS.
  • Opened new accounts and updated existing accounts.
  • Processed corrections for clients, traders and P&S.
  • Instructed and monitored foreign equity and bond settlements.
  • Maintained and updated account credits including soft dollar and commission recapture.

Operations/Trade Support

Cantor Fitzgerald
New York, NY
09.1998 - 10.2004
  • Liaison between equity trade desk and all operational units including P&S and settlements.
  • Researched and process trades/trade corrections.
  • Resolved trade issues (street-side breaks) between correspondents and contra-brokers.
  • Performed client notification of all trade discrepancies and failing trades.
  • Maintained daily, monthly and yearly profit and loss on salesman inventories and commissions.
  • Reconciled stock record out of balanced position.
  • Monitored step outs on a daily basis.
  • Inputted and confirmed various international securities settling in the local markets.

Education

Associates in Liberal Arts and Sciences -

Queensborough Community College
Bayside, NY
06-1995

Skills

  • Microsoft Office
  • Nasdaq WorkX
  • ORF
  • Omgeo ALERT/CTM
  • Customer Support
  • Operational Excellence
  • Operations Management

Certification

Series SIE

Series 99

Timeline

SVP Operations/Settlements

ANOS Capital LLC
03.2015 - Current

VP Operations/Middle Office

ConvergEx Executions Solutions
11.2004 - 06.2014

Operations/Trade Support

Cantor Fitzgerald
09.1998 - 10.2004

Associates in Liberal Arts and Sciences -

Queensborough Community College

Similar Profiles

CREATE PROFILE
Eric Rodriguez