1. Daniel Spatucci
114 Hemlock St, Clifton, NJ 07012, Home (973-272-2897), Cell (551-655-7899), dspatucci@verizon.net
Personal Summary
Experienced professional with over 14 years of operational experience including daily oversight of balancing and settlement of
stock options and purchases, reconciliation processes, and approval of reports for custody/vault. Additional experience
supervising a team of analysts and providing training in all aspects of operations, custody and vault services, and security
information.
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. Currently handling 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 the course of Oracle, STAR, Rumba and ServiceWorks cases with specific benchmarks.
• Research and resolve corporate/client account discrepancies.
• Monitor and maintain weekly processing numbers for senior management reporting.
• Trained new employees onsite and in Nashville, TN.
• Maintain an open line of communication between our Plan Administration partners and various
Transfer Agents for all Journals, DWAC transactions and receipt of shares. Work closely with reconciliation team in an effort
to ensure successful transactions.
• 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
• Performed daily reconciliation process between mutual fund companies and UBS via the National Securities Clearing
Corporation (NSCC) & the Securities Industry Automation Corporation (SIAC).
• Provided support to all UBS Financial Services Branches by 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.
• Reconciled and reported on trade and Fedwire general ledgers as well as processed all branch-related requests.
• Met productivity goals and benchmarks including ways to improve individual productivity.
• Worked with reconciliation department on any out-of-balances.
.
Pershing LLC (A Bank of New York Mellon Company) Jersey City, NJ
Supervisor of Custody/Vault October 2007 – May 2009
• Reviewed and approved daily balancing reports for Non-Safekeeping. Processed Safekeeping/Margin Memo Exception
Reports.
• Ensured OLCA PIC list for Clearance drops in order to avoid potential financing issues.
• Verified all Service Center requests were handled on a daily basis. Ensured that staff processed all exception reports.
• Took initiative in developing new ideas regarding the vault process. Developed Service Center solutions for internal vault
requests.
• Assisted senior management in weekly meetings to enhance productivity.
• Served as key administrator for quarterly audits.
• Oversaw and successfully executed a certificate reduction project in addition to managing the development of associates in the
vault area.
• Mitigated in-depth exception issues and determined efficient and effective solutions.
• 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.

2. Supervisor – Security Information Department September 2005 - October
2007
• Participated in testing Single Point-of-Entry enhancements to PROM and Gloss systems.
• Worked extensively to troubleshoot international issues regarding Gloss.
• Trained associates on more effective ways of utilizing PROM and Gloss.
• Monitored trade queue for foreign trades.
• Performed daily reconciliation and prepared development reports.
• Main contact of the Security Information Department for the Gloss application.
• Maintained daily interaction with the International Settlement and Clearance departments as well as correspondents who dealt
with trades that settled in foreign locations.
• Responsible for the handling of Gloss setups, updates, corrections and CUSIP swings.
• Monitored all Gloss trade fails and settlement locations for any updates and corrections.
• Worked with BNY’s iNautix Technologies in Single Point-of-Entry. This project enabled the main database (PROM) to also
add the securities on Gloss. Was an integral part in the testing and error mitigation of the new system.
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.
• Researched and created CUSIP numbers for large safekeeping reports.
• Participated in quarterly audits, monthly statements, Bond Exchange projects and month-end pricing.
• Was responsible for providing telephone-based client services.
EDUCATION
Saint Peter’s College Jersey City, NJ
Bachelor of Science, Business Management
TECHINICAL SKILLS
MS Outlook ● MS Office (Word, Excel, Access, PowerPoint) ● Lotus Notes ● Dynacom ● Net Exchange ● BrokerView ● Gloss
Reference Available Upon Request