Gregory Stevens Email & Phone Number

Cicero, New York, United States

100% Remote

• Utilizing a newly connected Settlement platform to communicate between Global Bank client and Central Securities Depositories• Troubleshooting issues related to static data inconsistencies and messaging protocols• Communicating with Middle Office trade support areas, Operations leadership, Program Management, and Systems Technology to address exception tasks• System conversion issue analysis data tracking and escalation

Syracuse, New York Area

● Manager of two Settlements Operations Departments in four global locations with 60 full-time and contract teammates● Responsible for exception item resolution and daily reconciliation of over 100,000 transactions valued in excess of $150 Billion● Ensured accurate and up to date departmental procedures to maximize efficiency, mitigate operational risk, and comply with Internal and Regulatory oversight requirements● Primary depository settlements subject matter expert for internal Compliance, Governmental Regulatory, and Third-Party Audit events owning response submission and remediation action implementation● Multiple industry initiative working groups and DTC Settlement Advisory Board member● Partnered with Technology, External Agencies, and aligned Operations units to implement automated solutions, maximize departmental processing bandwidth, and control costs associated with staffing and risk event losses as the department grew● Developed, administered, and reviewed key risk and performance production metrics (KRI/KPI)● Harmonized service delivery across locations (Syracuse, Pittsburgh, and India); departments (DTC and FRB); and pre-merger corporations (BNY and Mellon) to integrate cultures for streamlined operations● Executed quarterly business continuity plan and industry simulation exercises involving four sites in the United States and India● Improved employee retention and morale through increased training and engagement opportunities enabling staff to drive and expand skill sets● As the senior area leader, I organized monthly group sessions across departments with local and regional Team Leads to review employee and facility issues and upcoming corporate events● Responsible for all staff supervision including on-boarding, training, coaching, performance evaluation, salary and promotional planning, leave coordination, and remote working arrangements● Central New York Regional Leadership Committee member representing Custody Operations unit

New York, New York

● Settlements supervisor and liaison between clearing agent and client base, responsible for ensuring team members properly settled and reported all trades in a timely manner● Successfully achieved Series 27 – Finance and Operations Principal, 7 – General Securities Representative, and 63 – Uniform Securities Agent State Law certifications● Responsible for system P&L reporting, daily and monthly cash balance reconciliations, failed trade reporting and resolution, and clearance charge verification● Supported investment grade corporate, high-yield, convertible, municipal, and emerging markets fixed income trading desks● Successfully transitioned California-based settlements operations, including systems and staffing requirements, to New York corporate headquarters● Straight Through Processing Module Team member, providing user training and business side system functionality enhancements● Client Services Team member, providing client trading desk issue resolution, user set up, sales support, product demonstrations, and ad-hoc database reporting projects● Ensured full procedural compliance and staff training as USA PATRIOT Act Team member● Assisted credit officer with establishing and monitoring credit limits for client base● Lead client documentation specialist, working closely with sales, legal department, and clients to ensure successful and timely new client on-boarding process

New York, New York

● Performed global equities clearance and settlement through DTC, including free and versus payment, stock lending, ID trading, IPO deliveries, SPO charges, and SWIFT messaging● Performed cash account balancing, client loan and collateral adjustment, account billing, depository/account reconciliation, and wire transfers● Trained onsite client users in DTC trading system for Deutsche Bank London● Reported and reconciled positions, and corrected position breaks and discrepancies, including long and short breaks with DTC and stock lending position discrepancy resolution● Integral involvement with client and management during DTC participant conversion process to overcome technology and product service issues

Albany, New York Area

• Client Services Representative fielding customer inquiries in call center environment and via written correspondence for Health Insurance clientele• High-volume in-depth responses required knowledge of various Insurance products, medical terminology, and coding practices• Claim processing, error resolution, and coverage adjustments as required by company policy