Summary
Overview
Work History
Skills
Work Availability
Work Preference
Timeline
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Paul Caleca

Howell,NJ

Summary

Thorough team contributor with strong organizational capabilities. Experienced in handling numerous projects at once while ensuring accuracy. Effective at prioritizing tasks and meeting deadlines.

Experienced leader with strong background in guiding teams, managing complex projects, and achieving strategic objectives. Excels in developing efficient processes, ensuring high standards, and aligning efforts with organizational goals. Known for collaborative approach and commitment to excellence.

Pursuing full-time role that presents professional challenges and leverages interpersonal skills, effective time management, and problem-solving expertise.

Overview

44
44
years of professional experience

Work History

Trade Lifecycle Analyst

JPM Chase
11.2021 - Current
  • Collaborated with cross-functional teams to identify opportunities for process improvement and increased efficiency.
  • Improved internal knowledge sharing by developing comprehensive documentation outlining standard operating procedures for various tasks.
  • Enhanced team collaboration by providing clear communication of complex findings through visualizations and reports.
  • Checking Confirms and Month end Statements.
  • ADR reports for International settlements and end of day balancing.
  • Balanced Jane Street PPO charges and reports for clients.
  • Cross Border reports completed daily.
  • Tri party and Adage morning reports completed daily.
  • Balanced DTC reports for clients.
  • Send Security Payment Order charges and Day Orders deliveries to clients via DTCC.
  • Processed DTC Settlements via the RAD system for all trades on a daily basis using the Broadridge Processing Services and Global Framework systems.
  • Reports for clients confirms and statements.
  • End of month and mid – month statement checks.·

Senior Settlement Associate

Broadridge Financial
08.2007 - 11.2021
  • Ability to work as part of a global team
  • Well organized, able to set priorities, and achieve goals
  • Quality customer service skills with brokers and clients
  • Proven ability to prioritize, meet deadlines, identify processing risks and to communicate with staff, senior management
  • Review daily suspense accounts and prepare Ad-Hoc reports for senior management
  • Resolve trade discrepancies pertaining to the settlement of DTC eligible items
  • Balance DTC & NSCC receive and deliver desk
  • Check excess/deficit report for physical deliveries
  • Balance Fundserv reports
  • Balance fail files and send them to management
  • Research internal accounts pertaining to aged fails
  • Research and respond to client emails promptly and efficiently
  • Ensure all start and end of day reports are accurate and balanced
  • DTC Repo Settlements and balancing
  • Ensuring Rec 7 reports (Suspense & Buy Ins) are in balance
  • Government Settlements

Consultant

ADP
09.2006 - 08.2007
  • Stock Loan deliveries and receives
  • Used Loanet to balance the books and records
  • Called brokers and banks on rate changes and contract confirmation
  • Settled RVP and DVP trades
  • Balanced NSCC receive and deliver desks
  • Monitored and reconciled multiple suspense accounts on a daily basis
  • Balanced end of day settlement

Consultant

Deutsche Bank
05.2004 - 08.2006
  • Used Loanet to balance the books and records
  • Called brokers and banks on rate changes and contract confirmation
  • Balanced end of day settlement
  • Reconciled Fixed Income for customer accounts, using ADP and Espear systems
  • Affirmed trades coming in from DTC and processed instructions for deliveries
  • Worked with Traders and Reps to confirm deliveries
  • Checked with other brokers to ensure that deliveries were made
  • Researched aged fails to reduce customer turnaround and increase firm efficiency

Assistant Vice President of Custody Control

Datek / Ameritrade
08.1999 - 04.2003
  • Trained and updated staff with regard to industry as well as firm and regulatory rules, procedures, and securities lending operations
  • Heavy client interaction regarding necessary paperwork associated with the physical as well as book entry transfer and safekeeping of various securities
  • Managed and implemented various manual and automated procedures to streamline DTC information allocation accuracy
  • Reviewed daily suspense accounts and prepared Ad-Hoc reports for senior management
  • Researched aged transfer items to reduce customer turnaround and increase firm efficiency
  • Reviewed paperwork regarding restricted securities to verify completeness of any and all legal paperwork associated with the transfer
  • Assisted stock loan area with the utilization of loanet and billing of brokers
  • Annual review of personnel regarding raises, promotions and merit

Trade Support Analyst

Bankers Trust
05.1998 - 08.1999
  • Provided settlement support for Fixed Income group
  • Resolved trade discrepancies pertaining to the settlement of DTC eligible items
  • Interacted with Sales Desk, Trade Support, Stock Loan and various Custodial Institutions to assure accurate trade settlement

Senior Analyst Deliver Desk

Morgan Stanley
04.1997 - 05.1998
  • Ensured the timeliness and accuracy of daily deliveries
  • Released bank loans
  • Worked closely with the Stock Loan department to cover short positions
  • Prepared all end of day balancing as well as various reports

Supervisor DTC Deliver & Receive

Bear Stearns
03.1995 - 03.1997
  • Assured the settlement of all equity and non-government fixed income products
  • Balanced end of day settlement
  • Monitored and balanced multiple suspense accounts on a daily basis

Assistant Cashier

Adler Coleman
02.1988 - 03.1995
  • Oversee the daily activities of the DVP, RVP, Buy-In, Reorg, Transfer and Stock Record departments
  • Balanced and controlled all fixed income and equity positions
  • Balanced DTC, NSCC, and DVP/RVP and Stock Borrow activities
  • Updated procedures and prepared all information for special projects
  • Controlled potential Buy-Ins and DK'd trades
  • Ensured all start and end of day reports were accurate and balanced

Associate

Ernst & Company
01.1981 - 02.1988
  • Balanced DTC & NSCC receive and deliver desks
  • Balanced Stock Loan on the Loanet system
  • Examined internal accounts pertaining to aged fails
  • Handled Bank Loan and Repo redemption's

Skills

  • Proficient in Windows XP
  • Experience with Windows NT environments
  • Skilled in Microsoft Word formatting and editing
  • Experienced with Microsoft Excel
  • Proficient in PowerPoint design
  • Skilled in managing communications with Microsoft Outlook
  • Experienced with Loanet
  • Enhancing team performance
  • ADP proficiency
  • Proficient in Swift
  • DTC & NSCC
  • Excellent communication
  • Problem-solving
  • Teamwork and collaboration
  • Performance tracking
  • Research and analysis
  • Team collaboration and leadership
  • Time management
  • Documentation and reporting
  • Attention to detail
  • Information gathering
  • Report preparation

Work Availability

monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Work Preference

Work Type

Full Time

Work Location

On-SiteRemoteHybrid

Important To Me

Work-life balance401k matchWork from home optionPaid time offPaid sick leave

Timeline

Trade Lifecycle Analyst

JPM Chase
11.2021 - Current

Senior Settlement Associate

Broadridge Financial
08.2007 - 11.2021

Consultant

ADP
09.2006 - 08.2007

Consultant

Deutsche Bank
05.2004 - 08.2006

Assistant Vice President of Custody Control

Datek / Ameritrade
08.1999 - 04.2003

Trade Support Analyst

Bankers Trust
05.1998 - 08.1999

Senior Analyst Deliver Desk

Morgan Stanley
04.1997 - 05.1998

Supervisor DTC Deliver & Receive

Bear Stearns
03.1995 - 03.1997

Assistant Cashier

Adler Coleman
02.1988 - 03.1995

Associate

Ernst & Company
01.1981 - 02.1988

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Paul Caleca