FRANKLIN MORALES JR.

64 Lindbergh Lane 917-569-2067

New City, NY 10956 fmorales7@optonline.net

Operations Officer

HSBC INVESTMENTS (HALBIS), New York, NY 2006-2008

Trade/Sales Support – Operations Officer

• Managed and reconciled a portfolio with 2 Billion in assets under management for
Global Emerging Market Fixed Income and Equity, OTC, Exotics and Option
trades.
• Work with Administrators and Custodians on a daily basis.
• Provided sales breakdown from the client to the settlement area.
• Verbally confirmed all Global Emerging Market Fixed Income and Equity, OTC, Exotics
and Option trades done within 24 hours both internationally and domestically.
• Processed payments on settlement date for all Equity option trades.
• Acted as liaison between trading, sales and settlements area. Resolved discrepancies prior
to settlement (i.e. made sure that the correct Euroclear, Cedel, and DTC accounts were
being used prior to settlement for all Fixed Income and Equity trades).

Merrill Lynch, Princeton, NJ 2006-2006

Trade/Sales Support
• Acted as liaison between trading, sales and settlements area. Resolved discrepancies prior
to settlement (i.e. made sure DTC/and financial Funds accounts were being used prior to
settlement in the Charles River trading system).
• Assisted in the conversion from Charles River to the Black Rock trading system.

JP Morgan Chase, New York, NY 1987 – 2006

(Formerly Manufacturer Hanover and Chemical Bank)

Senior Derivative Analyst (2003 – 2006)

• Supervise team of six swap analyst in the processing of rate swaps and forward rate
agreements.
• Liaison with middle office to facilitate timely and accurate processing of the derivative
products.
• Oversee daily manual rate reaffixing process to ensure accurate fixing into front office
system.

Senior Billing Analyst (1998 – 2003)

• Handled 125 relationships with 40,000 financial accounts.
• Confirmed Fixed Income (corporates and munis), OTC, Exotics and Option Trades and
billed the client according to their fee schedule.
• Posted receivables and made sure that payments were properly made.

Trade/Sales Support (1992 – 1998)

• Provided sales breakdown from the client to the settlement area.
 • Verbally confirmed Fixed Income (corporates and munis), OTC, Exotics and Option
trades done within 24 hours for global emerging market.
• Swapped series with brokers. Assigned series to trades.
• Acted as liaison between trading, sales and settlements area. Resolved discrepancies prior
to settlement (i.e. made sure that the correct Euroclear, Cedel, and DTC accounts were
being used prior to settlement).
• Evaluated the bank’s position in the emerging market trading area.
• Responsible for getting prices for the month end market to market price testing.
• Managed all phases of the emerging market’s confirmation unit.
• Maintained language on emerging market confirmation letters according to current
market practice (ISDA Master Agreement).
• Participated in special projects as well as investigation of unidentified incoming
counterpart documentation.

Work Coordinator (1987 – 1992)

• Organized previous days work. Distributed work to proper personnel
• Handled 1099 inquiries for MHSC & CSI
• Handled safekeeping inquiries
• Ensured customers received their activity and safekeeping statements
• Ensured proper documentation was sent to customers and returned completed
• Provided monthly reports to management about missing documentation

MILITARY DUTY

United States Army National Guard 1984 – 2007

Combat Support Battalion – Active Duty
• Section chief for special electronics repair
• Provide upper chain of command with mission information on repaired equipment
• Served In OIF 3 From November 2004 to January 2006

EDUCATION
LaGuardia Community College, Queens, NY

SKILLS
Microsoft Word for Windows, Excel, ADP, Charles River, Oasys, AS400, Fluent
Bi-Lingual Spanish

REFERENCES
Available upon request.