Scott Rouse Email & Phone Number

United States

Tarrytown, New York

Holmdel, New Jersey

Financial Advisor

New York, NY

Managed oversight of all operational, legal, and infrastructure matters.Performed oversight of middle and back office operations to ensure accurate trade processing, holdings and cash reconciliation, corporate actions gathering and processing, client reporting, performance measurement, and overall service performance. Identified overlapping functionality.

New York City

Business Solutions Services at VTB Capital Inc. Provides trade support and client relations while abiding to SEC and Finra rules and regulations. Settlement of International trading of corporate and government fixed income and equity securities. Perform KYC function for on-boarding and refresh of all VTB Capital Inc clients.

New York City

New York City

• Established the firm’s Middle and Back Office Operation supporting equities Sales & Trading, and Research Departments. Designed and implemented operational work-flows for equity products encompassing execution, trade.
• Supported senior management with the creation of the Operations policies and procedures, KPI’s, and SLM.
• Coordinated client onboarding in accordance with SEC and FINRA requirements as well as more stringent internal firm policies. Collected, reviewed, and approved client information/documentation at time of onboarding and.
• Worked closely with senior management to calculate budget and trajectory forecasting for trading and operation’s team. Created monthly management reports to track actual vs budget data and provided insight to ensure.

New York City

New York City

• Supervised 5 Middle Office employees for U.S. and Canadian Middle Office Equities desk providing support and assistance for Customers, Sales & Trading, Back Office, Finance, Compliance, and Research Departments.
• Managed all middle office and Finance functions with direct reporting to the CEO and CFO such as budgeting, payroll, head count, evaluation of staff, as well as trading and sales commissions, P&L’s, expenses, errors.
• Decreased deployment and service times 15% by developing and implementing process improvement and alignment with strategic partners. Provided training to staff and deployment of procedures.
• Played significant role in restructuring of trading and operations during and after sale of GKM to BMO. Worked closely with the COO and CIO to ensure smooth operational integration.