1. Fermin A. Lau
7538 Rolling Hills Circle, Dublin, CA 94568
P.O. BOX 2975 Dublin, CA 94568
Home: (925) 833-1842
Cellular: (925) 336-6373
Email: Fermin.Lau@stepintomysole.org
Fermin_Lau@hotmail.com
SUMMARY
Founder and President of registered nonprofit. Three years of management experience running organization. Skilled
in community relationship building, budgeting and planning. In addition, experience in Trading Operations and
Market Data analysis. Solid business and financial background with strong interpersonal communications and public
speaking.
PROFESSIONAL EXPERIENCE
STEP INTO MY SOLE FOUNDATION, Inc.
2012-Present
Founder and Executive Director
• Strong organizational leadership.
• Community Outreached Initiative.
• Prepare Media & Press releases.
• Budget management and planning for nonprofit.
• Donated over 6,000 running shoes to various organizations i.e. VA hospital, high schools, homeless shelters
and communities across the U.S.
• Proficient in grant writing and fundraising.
• Serve as public spokesperson for organization. Deliver presentations to community leaders, various
organizations and groups.
Union Bank of California, San Francisco, California
2008-2009
Trust Administrator I, Institutional Custody - Contractor
Responsible for day-to-day mutual fund administration
• Primary contact between the fund custody client and Bank operations team.
• Process and transmit money movement associated with security payments.
• Monitor money movements to avoid overdrafts.
• Audit daily transactions and correct discrepancies.
• Review and report daily fail trades to management and clients.
• Communicate daily trade activities to clients and interact with settlements to assure trades have settled.
• Maintain spreadsheets for variable rate bonds.
• Utilize accounting system to execute security trades (internal and external) and maintain accounting
records.
Barclays Global Investors, San Francisco, California
2007-2008
Product Services, Securities Lending Specialist
Primarily liaison between BGI securities lending group and various brokers
• Developed and maintained relationships with the local and global lending and trading desks, borrowers,
global custodians, BGI income, corporate actions, data services team, portfolio management and trading
operations.
• Administered securities on loan and returned in all markets.
• Performed reconciliation of cash and securities.
• Balanced daily securities lending activity.
• Responsible for collateral management and borrower exposure.
• Managed $300M borrower lending accounts.
GMN Capital L.P., San Francisco, California
2006-2007
Investment Operations, Operations Specialist
Accountable for trade reconciliation and activity performed by the Prime Brokers
• Administered trade files received from Investment Team.
• Ensured trade files were sent and received properly to the Prime Brokers.
• Monitored the reconciliation and settlement of trades.
• Identified and resolved trade fails, breaks with the Prime Brokers.
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2. • Processed Mandatory and Voluntary Corporate Actions.
• Tracked the transfer of cash to the Prime Brokers.
Mellon Capital Management, San Francisco, California
2006
Trading / Trading Operations Liaison, Trading Fixed Income
Support Trading Fixed Income traders and Trade Operations Management
• Liaison between Trading desk and Trading Operations.
• Traded Canadian commercial paper.
• Negotiated fed fund rates with various brokers.
• Managed and track overnight commercial paper and repos.
• Administered commercial paper and collateral cash movements with brokers.
• Collaborated with Operations on transfer of cash wires from broker to trust bank.
Investors Bank & Trust, Walnut Creek, California
2002-2005
Trading & Settlement Operations, Operations Specialist
Responsible for negotiations, trade process instructions, reconciliation and stock inventory
• Gathered real-world market data research; processed the buy and sell of trades and direct lending
instructions.
• Researched failing trades, balanced daily activity, income payment exceptions, share inventory and
productivity.
• Received, processed and distributed broker buy-ins, share recalls and securities lending issues.
• Identified and communicated trading issues with Fund Accounting, Corporate Actions, Transfer Agents and
Broker dealer.
• Liaison between client, broker dealer, trading operations and securities lending.
• Managed client accounts, transfer of cash and securities.
• Reconciled cash and share availability to bank and client market activities.
• Negotiated contracts with clients and external vendors.
Thomas Weisel Partners, San Francisco, California
2000-2001
Market Data Support Specialist, Brokerage Services
Responsible for firm-wide support and administration of financial accounts
• Liaison between the firm’s internal groups and worldwide vendors.
• Tracked monthly and quarterly budget spending.
• Reviewed and negotiated contract agreements for firm’s daily operations and development of new
proposals.
• Planned and managed $13M market data operating budget.
• Created new user accounts and assigned access privileges.
Education BA-Communications, Business Marketing Minor, California State University, Hayward 1999
Technical Trading and Research application tools
MS-Word, MS-Excel, Windows
Languages Fluent in Spanish
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