Robert Rojas

• Monitor surveillance cameras and fire alarm systems.
• Secure premises by safeguarding property and tenants.
• Provide property access to authorized individuals, and log in all guests.
• Keep track of all incidents on-site and respond to any emergencies.
• Conduct hourly patrol checks throughout the building to secure all doors and offices, and log events.
• Addressed problems quickly and reported clear information while working under minimal supervision.

• Responsible for the payout of principal and interest pertaining to fixed income and completion of field requests.
• Provided customer services for Fixed Income distributions.
• Reviewed DTC rates prior to bookings for Fixed Income and bond maturity.
• Opened/closed Prime Broker-related accounts.
• Handled accounting for all Prime Broker Agreements.

-Prime Broker Agreement (Form SIA 151) between brokers

-Underlying customer agreements (Form SIA 151)

-Investment Advisor Agreement and Investment Advisor ADV forms | & ||

• Monitored underlying Prime Broker customer accounts for required minimum equity.
• Review General ledger Trail Balance to reconcile differences.
• Balanced all distributions to zero within designated timeframes.
• Utilized systems to create working reports and process entries based on them.

• Monitored all DVP/RVP accounts for account affirmations.
• Approved filing for extensions, according to SEC rules.
• Closed out positions on unaffirmed trades and extension violations.
• Monitored accounts for excessive extension requests and violations.

Buy-Ins

• Responsible for receiving buy-in orders from various institutions.
• File extensions with NYSE.
• Executed buy-in on fails due.
• Produced the daily Faily report for the Firm.
• Issued and executed CNS Buy-Ins.

Internation Trading

• Received and monitored buy and sell orders through the company's Telex and Dot-Order Systems for international accounts in London, Paris, Lugano, and Switzerland.
• Daily trade with Japanese accounts.