Mark M.

Melzl
Mark@Melzl.net 732-672-1109 Old Bridge NJ 08857 Professional Summary Senior Manager highly proficient in all aspects of in Equities and Listed Equity Derivatives:
Extensive experience with Wall Street firms: o o o o o o o Credit Suisse Societe Generale Bear Stearns J.P. Morgan Alliance Capital Mgmt E*Trade Donaldson Lufkin& Jenrette Merrill Lynch Royal Bank of Canada Refco Charles Schwab & Co

Extensive experience with Vendor Software: Sunguard / U2 Fidessa Longview Portware Latent Zero Advent Eagle Investment systems Charles River Development Financial Technologies Neovest Swapswire Pinks

Designing & writing the functional specifications for the U2 Replacement MAVen for Credit Suisse close work Front end traders, LCD (Legal & Compliance) mid office developers as well as back office transaction management teams. Previous engagements have offered the possibility of working with multi country teams in UK ( Merrill ) Paris ( Societe Generale ) Asia ( Merrill ) as well as employees onshore here in the US. Having spent several decades within the brokerage business I have learned not by reading but by hands on action. Supervision of 40 Traders and 50+ development resources. Regulatory reporting experience within systems designed, OATS, Rule 92, Rule 5131

EXPERTISE
o Listed & OTC Equity & Equity Derivatives, Straight Through Processing, Cross Border Trading, Global Corporate Actions,. Project Management, Middle Office Operations, Prime Brokerage, Compliance, Risk Management, OPRA symbology initiative, OATS, TRACE, Reg NMS, Rule 92, Rule 5131, Reg M, Capacity Code, ACT, AML, SOX, Basel II, STP, DMA, OMS, FIX, Security and Account Master and Portfolio performance metrics.

REGISTRATIONS: Finra / NASD Series 7, 63, 4, 12, 24. NFA; CTA (Commodity Trading Advisor) Professional Experience

Credit Suisse Cash Equity trading Sr Equity business analyst - consultant

Sr Business Analyst MAVen project. o o

March 2010 to present

o o o o o o

Designed and documented ( BRD & Graphical) complete replacement for Sunguards U2 product. Written specifications from the point of view of the o Front end user, o Mid Office Help Desk o Back office recon o Compliance o Supervisory Covered all existing markets in a like for like manner: o Equities, Pink sheets OTC, ETFs and Cross Border (Canada) Acted as a general liaison between trading desk requests and developers constraints Worked with Compliance to design monitoring platforms for large trades, and short sales. Product was built within the SDLC phase approach Incorporated internal crossing engines and algos into the new system Product was rolled out on time and at budget, U2 was retired.

Societe Generale Compliance

Sr Equity Derivatives Review - consultant o o o o

November 2009 February 2010

ITEC compliance reporting review project to check for deficiencies in existing reporting structure. Covered Equities, Listed Derivatives, Fixed Income 35 reports covered, from blue sheets to custom control room reports. Reports were remediated, and the ensuing audit was passed.

Merrill Lynch Equity Derivatives

Sr Equity Derivatives - consultant o o o o o o o o

September 2007 September 2009

Merrill Lynch (pre BAC) covered listed derivatives (US) as well as OTC Derivatives in Europe & Asia. Contributed to the Domestic instrument master ( Hydrogen) Wrote and contributed to the OTC (US) version of swapswire and sat in the review of the international swapswire configuration panel. Contributed to the OPRA symbology initiative to re calibrate Merrills Security Master Worked with compliance to prior to any changes being made that would have firm impact. Worked closely with the trading desk and back office to eliminate principal and agency reporting issues. Worked closely with the Convertible fixed income trading desk to resolve TRACE report timing issues Worked on the EAGLE Charles River High net worth project implementation.

Bear Stearns Derivatives

Sr S M E Derivatives front end design o o o o o o o - consultant

June 2007 September 2007

Listed Equity / Index derivative SME for design of the proposed new front end for Bear Stearns option trading. Inspired the front end design for Internal IAs (institutional) as well as client facing FAs(financial) Held weekly meetings with management on status and design, and elicited feedback. Held weekly compliance structure and risk meetings. Met with Wire frame and development as well as front end traders on layout and design details. Designed single leg and multi leg capabilities with STP criteria and risk controls. GUI design was completely signed off with green light to move into development stage when Bear stopped trading.

J.P. Morgan Derivatives

Sr Derivatives Business Analyst - consultant o o o o o

August 2005 June 2007

Direct market access (DMA) implementation of the NEOVEST subsidiary. Designed flows and did functional documentation on DMA client to street equity derivative movements Flowcharted the old ( pre DMA ) and the new DMA systems to highlight potential risk scenarios and bottlenecks with in the JPM trade flow architecture Met with compliance weekly to work on the reporting aspects of DMA, and review different risk scenarios. Neovest DMA went live and replaced the JPM batch processing and is still successful today.

JP Morgan ~ Fixed income Sr Business Data Analyst Latent Zero Fixed Income Implementation Sr fixed income data analyst consultant
o o o o o o Consolidated and normalized five internal fixed income accounting systems. Integration of the consolidation of the new normalized systems into the new Latent Zero FI database Consulted with o Front end trading desks Portfolio management Compliance Reporting Designed back end reporting structure that was different for traders than it was for compliance Worked with vendor flows to accept both Bloomberg and Reuters feeds into the same trade plant Worked across regions (US & London) to normalize the data for dual usage

Mark M. Melzl

Royal Bank of Canada NY NY

Vice President SME Global Equities & Derivatives o o o o o o

January 2004 August 2005

o o o

Managed the U.S. Product Control Team (team of approx 9 15 people 10 Reports) Prepare formal month-end price testing review with intra-month ad hoc pricing where appropriate Daily interaction with traders, sales, Middle Office and other infrastructure groups (legal, compliance, regulatory, accounting policy) as well as client facing and external prime brokerage connections. Active role in new system development (front and back end systems), enhancements and implementations Ensure continued compliance with Sarbanes-Oxley control requirements Manage the project team for enhancements to legacy systems. Gather requirements from front end users (typically the trading desks), create business requirements documents, map out technical flows, and then turn them over to the technology teams for development. Manage outside consultants and members from other groups. Responsibility areas include: Equity Execution Services area, specifically including: Order Desk, P&S, DVP / RVP Account Support (Institutional Services & prime brokerage), UIT trading support, Options ( Equity & FI ), swaptions and settlements as well as stock loan and prime desks. Muni and corporate bond operations, Government bond operations, Futures and Options operations. Ensure that technology, compliance and senior management are involved to the extent that the finished product is properly conceived, documented, and adheres to all current rules and regulations.

Alliance Capital Management (ACMC), NY

o o

October 2001 December 2003

Senior Business Analyst SPARK ACCOUNTING Options / Corporate Actions EAGLE Implementation Alliance capital EAGLE project was designed to replace all legacy systems and trader interfaces I was assigned to work on the complete Cash equity & listed derivative initiative o Documenting traders existing work flows desk backend system to system o Documented reporting necessary for compliance and management reporting on trades and positions o Finding redundancies and conflicts in data o Map out new flows for Equities, corporate actions, short sales, stock borrow, security master, pledged instruments, single stock futures and cross border multi asset trades. Designed screens in Eagle STAR for order entry, and reporting, and worked with database development teams on the fields necessary for PACE repository of data.

Financial Technologies International (FTI), NY (now Golden source) February 2000 September 2001
Senior Project Manager E-Trade Corporate Action Implementation Specialist - Consultant o o o o E*Trade chose FTI for their STP model. Initial project was for cross border international trades and would then be expanded domestically I led a team to rollout to 12 separate countries that brought the E*Trade/ FTI trading model to affiliates Project involved coordinating o Onshore and offshore developers o Outside vendors ( Reuters and Dow jones and other reference data entities ) o Team members spread across 5 time zones and three countries o Managed the book of work, and the project plan o Hired and in once case removed resources o Interfaced with ETrade management, FTI management as well as foreign affiliates Became conversant on different rules and regulations for cross border trading in different countries. Project terminated abruptly due to location on September 11, 2001

o o

Refco Futures Inc, NJ

Sr Business Analyst o o o o Consultant

November 99 February 2000

Sr BA worked on MBS, ABS Government trading desk to write detailed specification for external interfaces. Met with compliance bi-weekly with concerns, and reporting issues. Worked with traders and developers directly Project cumulated with the purchase and integration of Lind Waldock futures through our interfaces.

Pfizer Corporation, NY / Hoffmann La-Roche, NJ Consultant

o o

March 99 October 99

Project Manager for the Y2K remediation effort involving Clinical Data Operations. Included: reviewing existing software/ hardware structure for compliance; mapping out certification plans with existing system vendors / Directors; design and implement project plans for contingency change implementations; design and structure SAS / Y2K testing certification lab.

Mark M. Melzl

Donaldson Lufkin Jenrette, NY Consultant

o o o

March 1998 March 1999

Brokerage Consultant for the Emerging Markets Division responsible for Quality Control and Year 2000 Compliance testing. Y2K procedures required code background as well as attention to detail and the ability to work within an IT corporate structure. Second phase, certification team assigned to the rollout test of the B.O.L.T (Bond On Line Trading ) online web based fixed income / Bond-Trading system with total return and scenario type analysis, as well as portfolio optimization models.

Graphfax Corp., NJ President

o o o o o

1988 1998

Founder and President of this start up financial software services firm. Responsible for investment and investor relations in the start up phase, Directly responsible for software design and marketing to the retail investor as well as to Brokerage/ Commodity houses for use on a managed account basis. C++ quantitative trading programs were developed based on empirical models of credit and market behavior from historical data, and the resulting predictive programs (statistical and simulation-based) are copyrighted and patent pending. The software has been reviewed and approved by RJ OBRIEN, Rosenthal Collins, LFG Market Brokerage, and Fox Investments for client suitability.

Charles Schwab & Co, NJ Vice President Branch Manager

1979 1988

Joined Charles Schwab & Co. in the Millburn office in an entry-level position and promoted to Supervisor of Trading within one year. Further promoted the following year to Branch Manager of the Red Bank office. After a three year expansion/ turnaround, was promoted to the Millburn office as VP Branch Manager, second largest office on the East Coast. o Conceived the trading desk concept in 1983, and implemented ACD telephone systems (Rolm) within the office. o Turned the Red Bank NJ office from a satellite office to a Schwab Presidents Club winner in two years. o Improved the Millburn office ranking within the branch system from 79th to 13th within 10 months.

COPYRIGHTS, PATENTS AND PUBLICATIONS 25 separate copyrights for Tradestation Systems, (C++) and indicators and paint bar studies. 1994 Published the Technical guide to selling index spreads in the options market 1995 Published the Technical guide to selling index spreads in any market environment 1996 Published the Tradestation Cookbook, 1997 Published the Tradestation cookbook vol. 2 Publisher of OEXFAX & the Spread Wizard nightly fax / email services 1994 - 1998 2004 Copyright Your Best Option ~ currently published Amazon EDUCATION Union College / Rutgers University, Newark, NJ BBA 1979 1982

Mark M. Melzl