Tom Back Email & Phone Number

Baltimore, Maryland, United States

Institutional Securities Group: Collateral Operations

Baltimore, Maryland, United States

Institutional Securities Group: Listed Derivatives Operations: North American & European Trade Support Group- Manage a team of 25 employees· Daily Trade Support functions for futures and options on futures across North American and European markets including:- Resolving client, exchange, and risk trade breaks- Managing trade allocations for Institutional and Wealth Management clients- Investigating and resolving top day clearing exceptions- Developing trade flow solutions- Communicating with internal and external parties- Facilitating exchange trade entry· Focus on risk management and control with respect to processes and procedures· Resolution of client issues, with a focus on root cause analysis and risk mitigation

Baltimore, Maryland, United States

Institutional Securities Group: Listed Derivatives Operations: Option & Futures Expiration & Physical Delivery Managed a team of seven/eight direct reports that support Listed Derivative Options and Futures Expiration, including physical delivery of commodity products.  Ensure regulatory guidelines are met for deliverable futures products that include Comex Gold, Nymex Crude Oil, CBT Bonds, & ICE US agricultural (Coffee, Cotton, OJ, Cocoa) Reviewed changes to U.S. Exchange, including CME (Chicago Mercantile Exchange) & ICE US, products and regulations covered by team and advise team of any operational changes required. Verified interpretation and understanding of changes with Compliance, Legal, & Risk teams Established new operational procedures to expand current offerings of products we support for physical delivery Improved timeliness of client communication by transferring operational tasks across regions  Created a comprehensive “Delivery Capabilities” matrix outlining the physical deliverable products we support across all global regions Automated nightly run of internal option expiry processing

Baltimore, Maryland, United States

Institutional Securities Group: Listed Derivatives Operations: Margin Control- Reviewed daily margin requirements for clients- Ensured adequate funding prior to releasing wires being sent outside of MS- Received in client funding and appropriately apply to account- Assisted clients in establishing or replacing collateralized positions used in daily margin calculations

Baltimore, Maryland, United States

Wealth Management: Private Banking Operations Managed a team of nine direct reports Supervised the following operational functions and products for Private Banking Operations: Bank Deposit Program, MS Broker Dealer Settlements, Prime Brokerage Money Market Sweeps, BusinessScape, and BillPay Assumed additional responsibility of the following operational functions and products for Private Banking Operations effective November 2014: Global Currency, Personal Trust, and Bank Settlements (MSBNA & MSPBNA) Key tester of BillPay functionality, including ACH and check processing Approved large wires (excess of $500 Million) in cash payment systems on daily basis Acted as a physical check verifier for checks received from clients through mail and stored in physical safe in the office Acted as the lead on internal and external audit requests

Baltimore, Maryland, United States

Investment Operations: Equity Portfolio Accounting Managed a team of five/six portfolio accountants for the sub-advisory product line Led the team responsible for ensuring all daily TRP Reserve trades are executed correctly and received by department’s deadlines Set up new option model accounts, collaborated with leaders in Performance and established process going forward  Helped eliminate standard month-end process and communicated changes to the department  Created tracking process and action plan for department to help prevent late notification of daily cash activity to the investment staff, achieved 50% reduction  Prepared, reviewed, and sent quarterly Sarbanes Oxley reconciliation requests for the department to Global Client Operations team Heavily involved in designing and testing efforts for a new cash notification system (CNS)

Baltimore, Maryland, United States

Investment Operations: Reconciliation Led a team responsible for investigating any issues related to the receipt of SWIFT (Society for Worldwide Interbank Financial Telecommunication) messages, which includes technical identification of the issues, communicating to the involved parties, and ensuring timely resolution Responsible for preparing and/or reviewing over 70 reconciliation reports a month before they were sent to the client Team leader of the Recon New Account Setup Team (specialty team) Led large reconciliation system Re-Engineering Project for department with department analyst, significantly involved in initial design, system requirements, testing (created 30% of departments test cases), and consulted as subject matter expert

Baltimore, Maryland, United States

Investment Operations: Reconciliation (rotation program 3 of 3)

Baltimore, Maryland, United States

Investment Operations: Corporate Actions (rotation program 2 of 3)

Baltimore, Maryland, United States

Investment Operations: Fixed Income Fund Accounting (rotation program 1st of 3)

Baltimore, Maryland, United States

Investment Operations: Equity Portfolio Accounting

Baltimore, Maryland, United States

Investment Operations: Fixed Income Portfolio Accounting

Baltimore, Maryland, United States

Investment Operations: Fixed Income Portfolio Accounting

Towson, Maryland, United States