Richard Ossi Email & Phone Number

New York, Ny, Us

Toronto, Ontario, Ca

• Due to Audit comment, validated previous composed Intercompany Source documents, verse the ledger, logging corrections where needed, discussing results with documents owner. Produced additional documents for other source systems in its entirety. • Validated the Functional Requirement Documents for the FR2644, FR2900 & FFIEC002, verse actual Axiom logic.• Performed reconciliations of various MDRM’s comparing Axiom balances to the Houston Branch reported balances. • Created various BRD’s for new reports, requested from Senior Management.• Performed Regression testing, confirmed Axiom results, verse testing scrip. Logged results into JIRA, discussed fails with Axiom developers.

• Conducted Volcker testing, researched various breaches, documented observations on exposure in Lamp. • Involved in all facets of the daily P & L production and Month end processes for the Cmo, Abs, Derivative and Wealth Management Desks. Ran data base queries, consolidated information, resolved discrepancies, processed adjusting entries, including paydowns, ensuring accuracy of P & L reporting. Reconciled actual P & L to traders’ daily flash. Signed off on P & L with senior management and desk heads.• Compiled daily and weekly commentary, consolidating information from four global business units, corroborating it verse the Daily Financial Reporting System (DFR). Reconciled discrepancies, validated commentary. Distributed reports to senior management.• Composed IMM Sales Credits reports. Compiled documents by Transit, Desk, and Sales rep. Resolved variances.• Validated data between IT Finance and Finance is correctly categorized into correct product groups and remaining maturity buckets, for Schedule FR Y-9C, specifically Schedule HC-R, Part II-Memo Items.• Corroborated data for the FR Y-9C, HC-R line items 17 through 21, which includes, Unused and Unconditionally Cancelable Commitments, OTC and Centrally Cleared Derivatives and all other off-balance sheet liabilities, based on the specific criteria defined in the Federal Reserve’s Regulatory Capital rules. This analysis included authenticating figures for each specific Risk-Weight Categories, based on the Counterparties exposure risk level, which is instrumental in calculating the firm’s CAR. • Developed control processes, to eliminate variances of P & L Reporting into Daily Financial Reporting System (DFR). • Involved in all properties of the daily P&L production for the Convertible, Hong Kong, and Macro Hedge Desk. Reconciled actual P&L to traders’ daily flash ,ascertained the unexplained P & L and estimates are within variance limits. Signed off on P&L with desk heads.

New York, Ny, Us

Financing Cost Attribution(FCA)and Volcker testing.Managed new project of consolidating details of all existing trade schedules into T3C, enabling traders to internally view the level of optimization of funding as well as allow operations and the desk to rate assets depending on how operations allocate them. Recorded all procedures, of above project and other operational functions, step by step in Word documents.• Agreed to exposure with Clients, repriced securities appropriately, researched inconsistencies. This procedure ensured that the securities the firm were borrowing, were at current market price, and not exposed in the market..• Main support in daily P&L production, which included General Collateral, Corporates, Specials, and Structured book .• Maintained a consistent and effective line of communication with the trading desk and operations related to P&L reporting issues.

New York, Ny, Us

Managed aged breaks reconciliation project. Reconciled aged breaks between Neuberger Berman and back office (JPMC), to ensure proper reporting of cost basis to comply with the Emergency Economic Stabilization Act of 2008. Researched, and analyzed position breaks, corporate actions, mergers, capital gain discrepancies, ascertaining whether the related gain or loss is long-term or short-term.

Guided firm on sales efficiencies. Reviewed extensive documentation from numerous customer accounts, determining precise classifications for charges billed. Managed cost effectiveness project, tracked charges based on specific products, leading management to determine the true profitability of the merchandise sold.

New York, New York, Us

Calculated entire firm’s futures regulatory capital charges for Focus Report. Prepared, reviewed, submitted daily Segregation Statements. Prepared monthly management reports on revenues, expenses, balance sheets. Extensive involvement in month end closes of firm’s books and records.Closed income statement and $110 billion balance sheet for G.C.,Specials and Corporates. Closely interacted with traders, systems, controllers and operations. Coordinated the Risk and Control Self Assessment (RCSA) requirements for the area

New York, New York, Us

Closed income statement and $110 billion balance sheet for G.C.,Specials and Corporates. Closely interacted with traders, systems, controllers and operations. Coordinated the Risk and Control Self Assessment (RCSA) requirements for the area

Tokyo, Japan, Jp

Advised firm on accounting issues related to trading. Analyzed traders’ P&L, and resolved differences resulting from implementation of new system, Automated Data Processing (ADP), leading to better data quality. Worked with ADP to correct Cost of Carry and to distribute allocation of P&L more precisely to traders.

New York, Ny, Us

Managed Repo department staff, closely worked with traders, controllers, regulatory, systems, auditing and operations. Managed Government, Mortgage Backed, Money Market, Corporate and Whole Loan Matched Book Repo business units. Accurately and timely closed P&L and balance sheet statements for these units. Instrumental in successful application of FASB133. Influential in systems upgrades and enhancements to facilitate new products and business growth.Balance Sheet Management• Supervised $140 billion balance sheet efficiently, brought down balance sheet utilizing netting by over 80%, to predetermined targets at quarter end. Consistently met aggressive deadlines for balance sheet and P&L statements, while balance sheet in repo area more than tripled from $40 billion to $140 billion.• Managed through numerous crises in repo area, including Orange County, Long Term Capital, and Eagle. Significantly limited firm’s exposure and provided pivotal results to traders and regulatory with accurate and timely information.P & L Support• Created and developed Cost of Carry, which effectively allocated traders P&L throughout firm.• Managed P & L, coordinated legal documentations on all interest rate swaps. • Researched and analyzed discrepancies resolving issues in timely manner, maintaining accuracy in P&L allocation and correcting customer statements.• Provided support to traders and accountants in other areas of firm, as issues developed in allocation of their P&L throughout Cost of Carry System.• More accurately allocated P&L, by changing method that Buy Sellbacks and Delayed Delivery trades were being captured on P&L amortization report. Instrumental in Government system rewrite. Implemented new Whole Loan system that automated books and records postings, and P &L exposure reporting.

New York, Ny, Us