John Jucha Email & Phone Number

Rensselaer, Ny

Analyze and lead the standardization of policies, procedures and monitoring processes to ensure NYISO’s physical and electronic records, and other related media retention, archival, retrieval and destruction protocols in compliance with statues imposed by FERC, PSC, Federal, State and other regulatory bodies Maintain and manage the records management activities of the respective business units and cost centers to ensure these units maintain records in alignment with regulatory requirements corporate strategic plan and organization mission Perform internal audit processes and act as department liaison with the SAS70 processCompile reports and business correspondences, effectively present complex concepts and respond to internal and external inquiriesAbility to read, analyze and interpret legal and regulatory documents and regulations, general business periodicals, professional journals, technical procedures

Greater New York City Area

Analyst, Margin/PB Risk Management Experience working in Global Securities Services (GSS) Prime Brokerage accounts, including House, NYSE, Federal, and Day Trade callsExperience in working with equities (domestic and foreign), fixed income products (corporate bonds, treasuries, Government bonds), derivative products (Swaps, CDS, FX), options (domestic and foreign)Played a role in gaining corporate competitive edge by equipping firm to provide Portfolio Margin on 1st trade date of April 2, 2007. Structured rule sets, monitored systems accuracy, and teamed with Legal and Compliance to gain NYSE approvalAuthored internal policies and procedures which were subsequently incorporated into FINRA audit documentationHold in implementing strategic solutions to increase efficiency and automate daily processesEnhanced reporting controls and mitigated risks by architecting tool aimed at pinpointing high-risk clients and accountsFacilitator for training and evaluating new hires Interact with various operation departments such as Risk, Legal and Compliance on a daily basis

Provided support to Financial Executives, Personal Bankers, Compliance Personnel and Retirement Services. Served as liaison between Financial Executives and various departments such as Account Opening, Trading, Investigations, Transfer, Cashiering, Systems, Record Retention, Annuities and Retirement Plan Services.Worked with all major trading desks, placing and executing trades. Acquired extensive knowledge in all areas of brokerage operations and compliance issues.

Analyzed, managed and maintained relationships with clientele with a combined portfolio value over 20 million dollars. Used cash flow analysis and needs analysis to match appropriate products for clients. Worked with traders and analysts to develop specific solutions for clients by identifying present and future need. Financial products included but not limited to equities, futures, inverse floaters, mutual funds, municipals, government agencies, and mortgage-backed securities. Duties included opening up own accounts and continuously providing customer service.