Thomas Zafiris

Strategic, resourceful authority in post-trade processing, clearing and settlement—with progressive record of accomplishment on the Broker-Dealer side of the business in global markets. Extensive knowledge and experience in supporting equities and corporate fixed income securities, conducting analytic assessments, and providing exemplary service to clients and stakeholders. Proven partner in not only supporting existing processes, but improving them, to achieve positive outcomes in terms of greater efficiency, increased capacity, and lower costs. Industry Knowledge: Clearing (NSCC, ACT), Settlement (DTC), Institutional Trade Processing (ITP), FINRA & SEC rules and reporting Technical Skills: Process Reengineering, Project Lifecycle (Analysis, Business, Testing, Requirements), Microsoft Office Suite: PowerPoint, Excel, Word; Front to Back Trade, Systems Flow Management Expertise: Leadership, Team Building, Mentoring, Governance, Risk Management, Subject Matter Expert (SME) FINRA Licenses (Active): Series 24- General Security Principal, Series 27-Financial and Operational Principal, Series 99- Operational Professional and Series 7-General Security Representative