Robert Dowling Email & Phone Number

New York, Ny

Responsible for ensuring the accuracy and completion of the full trade life cycle from execution to settlement. Monitor positions and marks for High Yield head trader. Reconcile P&L and related fees on daily and monthly basis. Ensure the accuracy of Commission reports for salesmen. Work closely with the Compliance Dept. utilizing KYC policies while opening new accounts. Function as a backup to the Equity Trading Middle Office as required.

Middle Office Operations, Equity Execution Trading Performed all middle office functions at boutique broker-dealer specializing in High Yield with agency Equity trading. Traded equity orders for bond salesmen and their customers using Neovest and JP Morgan's Multi- Product Desk. Proficient in Pairs Trading and other algorithmic trading strategies as required. Essential in implementing Fidessa as the OMS for Summit Securities Group's Risk Arbitrage/Special Situations Desk.

Institutional Equities, Sales Trading Transition Team (summer 2008) Responsible for institutional equities sales trading coverage of heritage Bear Stearns institutional equities accounts prior to their onboarding at JP Morgan Chase. Maintained relationships with institutional clients that were only affiliated with Bear Stearns's broker-dealer. Traded institutional client orders utilizing JPMC's block desk as well as Bear Stearns's electronic trading platform.

New York, Ny

Retained by J.P. Morgan to aid in the transition of former Bear Stearns' Institutional Equities accounts and operational procedures.

Assisted sales trading team by backing-up accounts as needed and helping with order overflow. Handled client orders received electronically and manually: routed orders to block desk, OTC market maker, or Bear Stearns' algorithmic trading platform in order to ensure best execution for client. Shopped natural orders as well as pertinent Bear Stearns research to firm's client base. In line to receive an account package at the time of Bear Stearns' collapse.

Managed daily activities of entire assistant sales trader staff from 2003 to 2004. Reconciled customer accounts to Bear Stearns' Global Clearing Services while determining eligibility of Soft Dollar payments on equity transactions. Ensured institutional clients' compliance with AML regulations of the Patriot Act.