1. Daniel Spatucci
114 Hemlock St, Clifton, NJ 07012, Home (973-894-3058), Cell (551-655-7899), dspatucci1@gmail.com
Personal Summary
Experienced Operations professional with over 14 years of expertise in the balancing and settlement of stock options and
purchases, Mutual Funds, reconciliation processes, custody/vault approvals and project management. Additional experience
supervising a team of analysts and providing training in all aspects of operations, custody and vault services, and security
information. Primary liaison for customers and responsible for promotion of client/supplier relations. Conscientious
employee delivering quantifiable cost reductions through organizational efficiency projects.
EXPERIENCE
UBS Financial Services Inc. Weehawken, NJ
Equity Plan Advisory Services, Operations Specialist August 2011 – Present
• Responsible for daily balancing and settlement for employee stock option/stock purchase/restricted stock plans for Fortune 500
companies. Independently responsible for the settlement of two of UBS' largest corporate clients.
• Perform daily reconciliation of option costs and corporate taxes for top-tier companies.
• Perform daily processing of Deposit and Withdrawal at Custodian (DWACs) and facilitation of corporate/participant payments.
• Accountable for meeting daily and weekly benchmarks to provide exceptional customer service.
• Research and resolve corporate/client account discrepancies.
• Senior management reporting of critical metrics and results.
• Project management responsibilities for successful nearshore of roles from New Jersey to Tennessee including training and
procedural documentation.
• Maintain an open line of communication between our Plan Administration partners and various
Transfer Agents. Ensure accurate processing for all settlement balancing, journal entries, internal application requests and
various other transactions entered in participant/corporate accounts.
Trade & Processing Specialist, Operations Division October 2010 – August 2011
• Responsible for d daily reconciliation between mutual fund companies and UBS via the National Securities Clearing
Corporation (NSCC) & the Securities Industry Automation Corporation (SIAC).
• Primary contact for all UBS Financial Services Branches overseeing mutual fund products such as Proprietary, Non-proprietary
and Offshore Mutual Funds, including Omnibus account processing.
• Updated and validated records on UBS’ electronic order entry system for mutual fund transactions known as “MFGI” using
DST and Advisor Central online systems.
• Performed research on trade-related issues and investigated requests/complaints regarding mutual fund positions resolving any
discrepancies within the SLA window.
• Reconciled and reported on trade and Fedwire general ledgers as well as primary contact for all branch-related requests.
• Met productivity goals and benchmarks and spearheaded ways to improve individual productivity.
• Resolved all any out-of-balances instances to limit financial risk of the firm.
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Pershing LLC (A Bank of New York Mellon Company) Jersey City, NJ
Supervisor of Custody/Vault October 2007 – May 2009
• Managed the performance and development of a team of four employees. Coached and provided developmental feedback on a
regular basis. Conducted regular written performance reviews and goal setting.
• Reviewed and approved daily balancing reports for Non-Safekeeping. Produced Safekeeping/Margin Memo Exception Reports.
• Ensured OLCA PIC list for Clearance drops in order to avoid potential financing issues/risk for the firm.
• Verified all ServiceCenter requests were handled accurately on a daily basis. Managed staff processing all exception reports.
• Developed Service Center solutions for internal vault requests which changed the way internal clients requested particular
transactions.
• Attended senior management weekly meetings focused on enhancement of staff productivity.
• Served as key administrator for quarterly audits.
• Project manager for the certificate reduction project which significantly limited physical paper.
• Mitigated in-depth exception issues and determined efficient and effective solutions to eliminate recurring exceptions.

2. Supervisor – Security Information Department September 2005 - October 2007
• Participated in testing Single Point-of-Entry enhancements to internal applications. This project enabled the main database
(Rumba) to add data to another database (GLOSS).
• Trained associates on more effective ways of utilizing internal applications.
• Monitored trade queue for foreign trades, trade fails and settlement locations
• Performed daily reconciliation and prepared development reports.
• Maintained daily interaction with the International Settlement and Clearance departments as well as correspondents who dealt
with trades that settled in foreign locations.
Customer Processing Representative February 2001 – September 2005
• Assisted correspondents with CUSIP inquiries/setup regarding physical certificates, municipal bonds, corporate, and government
bonds as well as equity, mutual funds, Unit Investment Trusts (UITS) securities to Pershing’s Brokerview database and was
responsible for processing these inquiries on a timely basis.
• Researched inquiries using various vendors: Standard and Poors, JJ Kenny, Euroclear, DTC BNY Reflections and Bloomberg on
a daily basis.
• Participated in quarterly audits, monthly statements, Bond Exchange projects and month-end pricing.
EDUCATION
Saint Peter’s College Jersey City, NJ
Bachelor of Science, Business Management
TECHINICAL SKILLS
Proficient in Microsoft products including Outlook, Word, Excel, Access & PowerPoint; Lotus Notes
Proficient in industry systems including Rumba, Net Exchange; Bloomberg, Fed wires,
Proficient in industry partners including DTCC, NSCC, S&P, SIAC, Euroclear among others.
References Available Upon Request