Ralph Michael DeMayo is an experienced securities operations professional holding a Series 99 license. He has over 10 years of experience in stock loan operations, settlements, and trade support. DeMayo is proficient in various systems including ADP, Loanet, DTCC, and Excel. He has worked as a consultant for several large financial institutions and aims to provide a high level of client service and operational efficiency.

1. Ralph Michael DeMayo
ralphie.demayo@gmail.com
(516) 759–5056, (516) 359-0966
Series 99 Operations Professional CRD 1864899 (Good through end of Q1 2015) {3/28/2015}
Experienced securities industry veteran within domestic/global trade support and settlements
Additional extensive experience in Prime Broker Stock Loan Operations.
• Bank and broker dealer strong knowledge of domestic/global securities borrowing and lending,
capital markets, clearing, settlements, securities operations, trade support, and middle office.
• Acquired Series 99 Operations Professional title in 2013. Expires 3/28/2015. CRD is 1864899.
• Provide high level of service to front, middle office and/or operations group inquiries.
• DTC and other settlements, ACAT/wire transfers, trade instructing and account reconciliation.
• Strong computer skills, knowledge of the ADP, Cage/Phase three, DTCC and Loanet systems.
• Trade input, trade cancel and corrections, fail control and various reports to management.
• Portfolio administration, funds transfer, trade clearance and compliance monitoring.
• Client service and communication, escalation to supervision/management when necessary.
• Contract comparison, have done voluminous and complicated scenarios.
• Create and post mark to the markets. Review and monitor collateral and non-cash exposure.
• Resolve and initiate discussion in regard to cash or stock related breaks.
• Balances between DTC and Loanet / Global One. Process all re org and dividends.
• Process improvement projects input and participate in new business initiatives.
• Expedite DK Reclaims, global trade instructing and prepays, and local/global settlements.
• Throughout career, performed final balancing of Loanet to DTC. Assist buy ins/billing.
• Money loss prevention strategies, adept at reduction/elimination of operational problems.
• Accounts/house/securities: research, contra correspondence, reconciliation and adjustment.
• Throughout career, in addition to attending to primary tasks, have seized every opportunity to
obtain cross-training, ensuring during staff absences, smooth and seamless operations!
• Incoming/outgoing recall, loan terms, paperwork, reporting. Assist the traders.
• Very familiar with international and domestic stocks, fixed income corporate/municipal bonds,
Options, Option assignments, Repos, and U.S. Government/U.S. Treasury: bills, bonds, notes.
Technical Competencies
ADP, Beta, Bloomberg, Cage/Phase 3, DTCC, DAS Trader, Equilend, Euro clear/Clear stream,
Global One/Ktek, I Boss, I-Delta, Loanet, MS Excel/Word, some Intelliclear/Swift experience.
PROFESSIONAL EXPERIENCE
Westor Capital Group, Inc. (Perm) (Attained Series 99 Operations Professional) 2012 – 2013
Trade support/input, P & S, settlements, securities ops, wires, DRS / DWAC’s, new accounts.
• Performed trade support to NYC and other region traders. SIPC is trustee (202) 371-8300.
• Trade input, P & S cancel/corrects, ensuing settlements, and management reporting.
• Portfolio administration, funds transfer, trade clearance and compliance monitoring.
• Client service and communication, escalation when necessary
• Implemented the trade input streamlining by approx 35% and resulting ease of settlements.
• Managed trade entries, confirmations, settlements, very few fails, new accounts on boarding.
• Streamlined, made more efficient by 25% new accounts on-boarding and procedures,
especially good timing as implemented when expansion occurred!
• Reconciled daily cash trade positions, and reviewed broker recaps and confirmations.
• Used DAS Trader, I-Boss, Google Docs, some usage of Intelliclear operating system.
Ralph Michael DeMayo continued.
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2. • Receive, prepare, send, and check status update of client and/or firm wire requests.
• Prepare, send daily MS Excel reports to an overseas client of their many a/c’s trades activity.
• Process, apply, and balance out to firm and from client entries: handling fees from stock cert
DRS and DWAC deposits, cash wire processing fees, and executed trade commissions.
The Home Depot, Jericho, NY (Permanent part time) 2011 – 2012
Bad securities industry job market, netted great interviews but no job in recession 2010
- 2011
Professional consulting projects that were thankfully available, as permanent positions were
scant:
Bank of America/Merrill Lynch P, F, & S: (2nd
round Randstad agency talent) 2007 – 2009
Global/Domestic stock loan operations cash dividends department full two year consultant.
Deutsche Bank, Inc.: (RSVP agency) 2006 – 2007
Senior stock loan operations long term consultant, extensive trade support.
ADP Clearing (Constantin agency E*Trade summer help) summer 2006
Volume stock cert count and share/$ reconciliation to expedite an audit. Stock transfer duties.
Safra National Bank of NY: (Bacharach Group agency) 2005 – 2006
Middle Office securities operations and middle office trade support consultant.
Daiwa Securities: (Xcitek consulting group agency) Spring to
Autumn 2005
Spring to Fall stock loan operations summer help consultant - Structured transaction group
Wachovia Bank: (Randstad agency) (Pre Wells Fargo) 2004 – 2005
Senior stock loan operations, trade support consultant, Stock Loan Control Dept.
EDUCATION
• 2013 Acquired currently valid Series 99 Operations Professional title (finra.org, broker check)
• New York City Institute of Finance, NY, NY – Finance and brokerage operations courses.
• New York City Institute of Finance, NY, NY – Series seven examination classroom course.
• Nassau Community College, Garden City, NY.
ADDITIONAL SKILLS: http://www.linkedin.com/in/ralphdemayo/
• Highly motivated, bottom line, results oriented proactive team player with excellent problem
solving, communication abilities who will make many positive contributions to your end results.
• Global/domestic trade instruction, various settlements, and account/stock/$$ reconciliation.
• Problem solving and problem initial non occurrence strategies, multi tasking, buy- in’s,
recall/loan terminations, DTC and/or Loanet: procedures, transactions, and balancing.
• Money loss prevention strategies, adept at reduction/elimination of operations problems
• Proven record in maintaining operating budgets, always strive to increase revenue goals.
• Process improvement projects input and participate in new business initiatives.
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