1. WAYNE SCARPITTA
886 Grand Blvd., Westbury, NY 11590  516-477-0443 
wayne.scarpitta17@gmail.com
DIRECTOR / MANAGER – OPERATIONS / CLIENT SERVICES
Advisory Services / Client Relations / Process Improvement / Reports / Financial Services /
Derivatives / Staff Management / Structured Products / Account Management / Contractors
Senior operations and financial services professional with proven organizational, project management,
communications, team building and leadership skills. Expertise, leveraging systems evolution, to support
decision-making and guide process improvement. Managed account platforms for JPMorgan Clearing,
Corp. (JPMCC), Bear Stearns Securities Corp., Prudential Securities and others. Can contribute
immediately by:
 Consistently improving and streamlining operational systems and processes
 Creating and launching support teams, providing assistance to retail sales managers
 Effectively evaluating and solving customer needs and challenges
 Developing and deploying in-house training programs for new sales staff
 Preparing well-received reports and presentations for all levels of leadership and
management
Excellent communicator, relationship builder and coach. Managed the successful production and rollout of
Consultants Edge™ an investment consulting, asset allocation and proposal solutions program with full
cash flow planning capabilities.
CAREER HISTORY & SELECTED ACCOMPLISHMENTS
Manager, Investment Advisory Group, JPMorgan Clearing Corporation. Recruited in 2008 to improve
and support company’s management reporting and information flow. Oversaw all managed account
platforms offered to JPMCC clients. Served as main point-of-contact and escalation manager for larger
accounts.
Played key role in successful account integration. JPMCC faced transfer of more than 100,000 Chase
Wealth Management accounts from Fidelity Investments. Assumed responsibility for integrating 40
additional third-party money managers onto proprietary trading and reconciliation systems. Managed
accounts separately, collaborating with their managers. Successfully completed project in one year.
Collaborated on proprietary online corporate action application. JPMCC faced risk & liability issues
by manually entering client instructions.Identified need to automate operation, enabling clients to self-
enter their elections. Worked with product management IT and JPMCC operations team, creating
application, which transferred risk and liabilities associated with corporate actions to end users.
Streamlined operations and client transition processes.JPMCC sold Registered Investment Advisory
Business to RBC – Royal Bank of Canada. Was retained to service 250 separate third-party money
managers. Ran new clients through vetting process and integrated into company systems.Alltrades made
with their own brokers got overnight uploads, rapidly integrating products with JMPCC.
Coordinated high-volume quarterly rebalancing events. JPMCC faced quarterly rebalancing events
of Chase Wealth Management accounts.Process required daily bridge lines with traders, IT and vendors
to monitor associated daily trading and reconciliation. Events were successfully processed over five
consecutive trading days,with an average combined weekly trading volume of more than 1million trades.
Associate Director of Advisor Services, Bear Stearns Securities Corp., 1995-2008. Invented and
launched the support team, providing both operational and navigation assistance for Relationship
Managers, Registered Investment Advisors and participating Separate Account Managers. Oversaw
department’s Error account, identifying more than $1M in erroneous transactions.

2. WAYNE SCARPITTA PAGE
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Drove new line of business revenue increase. Bear Stearns required management for newly-created
Advisory Service. Accepted position as Operations Manager. Recruited eight staff to handle all aspects
of the business.Team serviced all 40+ Registered Investment Advisory firms that cleared their business
through Bear Stearns. Unit registered an 18% revenue growth.
Assistant Vice President, Prudential Securities, 1987-1995. Managed, trained and mentored staff of
seven account managers, supporting Prudential’s 60 correspondence firms. Implemented in-house training
program for new Relationship Managers still in use today. Developed and maintained strong professional
relationships with firm principals, operations managers and compliance officers.
Implemented and put in place in-house training program. Prudential Securities was adding new
correspondent firms to the company. Coached team of seven account managers on how to provide
excellent service. Initiated in-house training program to rotate new Relationship Managers across various
operations departments better understand each area’s functions. After three to four week rotations,new
managers were better equipped to step into their client services roles.
Supervisor, Discount Brokerage Dept., Barclays Bank of New York, 1985-1987. Direct supervisor over
a staff of four. Managed more than 200 client contacts. Spearheaded all aspects of operations and trading,
including orders entry, new accounts and cashiering. Prepared monthly profitability reports for management
and C-level meetings.
Developed managerial approach to Client Service. Barclays Bank NY looked to improve client
service support.Recruited as Supervisor, Discount Brokerage Department, administering a staff of
four. Position, which included all aspects ofoperations and trading, provided a better understanding of
industry from a client perspective.Acquired a better skill set, leading to future success in managing
entire departments.
Customer Service Representative, Merrill Lynch, Pierce Fener & Smith, 1983-1985. Reconciled positions
and balances for more than $1M. Monitored accounts and troubleshot all issues that arose. Ensured client
satisfaction by providing directions to clients, regarding the resolution of such problems.
EDUCATION, LICENSES & VOLUNTEER WORK
Received a BBA Degree in Insurance from Barnard A. Baruch College, CUNY
FINRA Series 7 and NASD Series 63 and 24 (Principal/Supervisor) Licenses
Volunteers at the Holy Family Parish Summer Festival
Boy Scouts of America Camping Mentor