MARIO A.

ARNERO

54 04 SW 20th Avenue E-mail Address:

Cape Coral, Florida 33914 MARIOARNERO@YAHOO.COM
Business Phone (239) 540-8296

OBJECTIVE:
A responsible position in management or consulting wherein my organizational abilities and technical
skills
Will be utilized to their full potential.

MANAGEMENT EXPERIENCE AND AREAS OF WORK EXPERIENCE:

Successful management career as Cashier and Vice President of Operations and Management
Consultant associated with Brokerage, Banking, Trust and Registrar and Transfer and Mutual Fund
Companies. Replace department managers through COO by giving senior management time to find
the right person for the position. Support Middle Office, Operations and Finance. Working in the
following areas: Mutual Funds, Clearance, and Settlements Domestic & International, Equities,
Bonds Muni/Corporate, Government Ginnie Mae, Freddie & Fannie Mae Products, Treasuries, Fixed
Income, Dividends, Principal and Interest, Transfer, Legal Transfer, Stock Record, Buy-Ins, Fail
Control, Institutional Accounts COD/COR (International /Domestic), Global Custody,
Reorganization (Corporate Actions), Bank Loans, Balancing, Purchases and Sales (P & S), Trade
Support, Checks/Wires and ACH Processing, 401K Payments and Securities, Interpersonal skills with
Clients and Personnel , Auditing of Operations, Support System and Security Conversions. Managed
155 employees encompassing entire Brokerage Operations. Low employee turnover, productive
office morale, competent trainer, leader, and developer of manpower. Supervised all employment
activities, including recruiting.

Employment History:

7/08 to 2/09 Wachovia Securities Inc., St. Louis, MO, Mutual Funds
Direct Transfers; Set up B-50’s, Coordinate with India on customer transfers on
transfers and exchanges. Research rejected items with India, Branch Offices, Mutual
Fund companies and Brokerage firms.
11/07 to 5/08 RBC Dain Rauscher Inc., Minneapolis, MN, Fail Control & P & S
Interact with Banks, Brokers and Middle Office on trade issues (DK’s). Compare
trades on Ex-clearing and CNS- RTTM, Reconcile differences on Corporate and
Municipal Bonds and UIT products. Research and identify bookkeeping and
suspense accounts issues.
2/06 to 7/06 Wachovia Securities Inc., Trade Support Middle Office, Consultant
1/05 to 6/05 Support Government Trader’s Ginnie & Fannie Mae and P & S dept.
with trade discrepancies Interact with Banks and Brokerage firms on trade issues.
Process trade corrections into the BETA System.
3/04 to 12/04 Mellon Registrar and Transfer Services, Ridgefield Park, NJ, Consultant
Employee Stock Options: Insure that employees of different companies exercise
options by buying and selling stocks in the right company plan. Research all
exercise transactions that are not in balance. Research and Correct Buy and Sell
Trades, Cash, Checks and Fed Wires differences. Insure that various house money
accounts are in balance with the company they represent.

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Mario Arnero

9/03 to 2/04 State Street Bank & Trust, Boston, Business Analysis, Consultant
Interact with Global & Domestic Custody Operations to provide testing and
quality assurance of the SunGard, Global Plus System Conversion. This
project includes the creation of scripts, running simulated tests and the
analysis of test results and coordination and resolution of open issues.
5/01 to 8/02 JP Morgan Chase, Houston, TX, Trust Operations, Managing Consultant,
Trust Operation, Section Manager
Manage the day to day operations of the following departments: Corporate
Actions, Class Actions, Asset Set Up, Taxes, and Proxies with a staff of 45
Employees and 4 Assistant Vice-Presidents. Supervised consultants and numerous
Temporary staff. Attend senior management meetings and coordinate with the
SunGard’s, Global Plus System Conversion team.
10/00 to 5/01 Deutsche Bank, Jersey City, NJ Business Analysis, Consultant
Consultant to the Global Custody and Trust Department to provide testing and quality
assurance in the development and implementation of the SunGard Global Plus System
Conversion. This project includes the creation of test cases, running simulated tests
and the analysis of test results, along with the coordination and resolution of open
issues with the Technology Department and business end users. Support the Security
Operations in the conversion.
2/00 to 10/00 JB Oxford & Co., Los Angeles, CA, Project Manager, Consultant
Set up Stock Record Department and reconcile daily and aged differences. Process
Securities set up in the Securities Master. Prepare for a Systems Conversion from S I
S System to the S E I System.
9/99 to 2/00 First American National Bank, Nashville, TN Consultant
Mutual Funds: Reconcile Cash and Shares, Research Trade discrepancies, Transfer items,
Dividends and Capital Gains differences.
6/98 to 8/99 UBS/ Warburg Dillon Read, Stamford, CT, Consultant
Reconcile foreign and domestic trades with strong contact with banks and brokerage
firms. Support the following areas: Trade Support, Fail Control and Clearance and
Settlements, Ginnie & Fannie Maes, Dividends and Domestic & International
Corporate Actions. ADP System
3/98 to 6/98 Citibank, ADR Department, New York City, Consultant
Year 2000 Project, Script writing, Screen Testing, Reviewing Procedures and
Security flow for ADR Securities, Pre Releases, Clearing and Settlements. Citi ADR
System.
10/97 to 3/98 Chase Mellon Shareholder Services, Registrar and Transfer Company
Ridgefield Park, NJ, Managing Consultant, Project Manager
Reconcile the following areas: Control Books, Dividends, Reorganization/Capital
Changes, Processing flow, Staffing and Management. Manage the aged
reconciliation differences.
4/ 97 to 10/97 Wheat First Butcher Singer, Glen Allen, VA. Consultant,
Mutual Funds: Reconcile Cash and Shares, Research Trade discrepancies, Fund
Source, Transfer items, Dividends and Capital Gains differences.
3/97 to 4/97 National Bank of Alaska, Anchorage Alaska, Managing Consultant
Advise Senior Management on issues within the following areas of Operations: Trade
Support, Clearance & Settlements, Custody, Dividends, Corporate Actions, and

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 Reviewing Operations Organizational Chart.

Mario Arnero

2/97 to 3/97 Key Clearing Corp., Cleveland, Ohio, Managing Consultant

Manage the brokerage firm day to day business as its Chief Operating Officer and
Director of Operations. Manage staff of 156
10/96 to 2/97 Hilliard (JB), Lyons (W.L.) Inc., Louisville, KY, Managing Consultant,
Project Manager
Managing the brokerage firm day to day operations of Hilliard, Lyons and reporting
to the Senior Partner. Managed 102 Staff and Consultants. BETA System.
9/96 to 10/96 E. D. & F Man International, Chicago IL. Consultant
Reconcile the following areas: Fails Control, Buy-ins, Aged Suspense Items, Trade
Differences (P&S). Processed Receives, Delivers with DTC and balance daily. BETA
System.
6/96 to 9/96 ING Bank/ING Baring Securities, - N.Y., Consultant
Stock Record Reconciliation of Foreign and Domestic Settlements at Custodians and
Euro clear within the following areas: Corporate Actions (Intl. and Domestic)
Dividends, Fixed Income, Fannie & Ginnie Maes and Cash Differences. Prepare
excel spreadsheets. ADP System.
10/95 -6/96 USAID, Coopers & Lybrand, Capital Markets Project - Bucharest, Romania
Deputy Team Leader, Managing Consultant
*Developed a Depository/Clearing and Settlement Corporation to support the
secondary OTC trading market. Support the mass privatization of 5,000 companies
program and ensure timely effective implementation of project activities. Coordinate
high-level meetings with US and Romanian Government Officials, Banking,
Brokerage and National Bank of Romania officials. Support the funds clearing
through the National Bank of Romania. Coordinate through the National Securities
Exchange Stock, Trade support, Corporate Actions, Proxy, Transfers, Wire Funds
Balancing, Customer Service, Clearing and Settlements with Blotter balancing and
Custody. Support the IT team with the Systems Conversion of the Depository and
Clearing Settlements.
*Developed a Registry and Transfer Corporation to support the Romanian Securities
Market. Supported the national agency for privatization to establish a company
Shareholders list. Transfer all shareholders and over 16 million client records to the
new System Conversion for the Registry and Transfer Company. After conversion
balance shareholders list to security records positions. Connect brokers, banks and
depository to the Registry and Transfer Company. Establish the following units
shareholders list, clients and depository reconciliation, transfer, distribution of mail,
reports, statements etc., customer service, corporate actions, Worked with Securities
Exchange Commission to establish a Registry/Transfer and Depository/Clearance
and Settlements Companies. Support the IT team with the Systems Conversion of the
Registry and Transfer Company.
8/95 - 10/95 SEI Trust Co. Wayne, PA, Managing Consultant
Advise Senior Management on issues with the following areas of Operations: Trade
Support, Clearance & Settlements, DTC, Custody and Systems.
5/95 to 8/95 Newbridge Securities, New York City, Consultant
Research and Balance DTC and Suspense Accounts. Support ADP System
Conversion.

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Mario Arnero

2/95 to 5/95 Fiduciary Trust Co., New York City, NY, Managing Consultant
Advise Senior Management of International Departments on issues with the
following areas: Trade Support, Clearance & Settlements, FX, Euroclear, Fail
Control, Cash and Custodian Reconciliation. Support Premier Systems Global Plus,
System Conversion.
10/94 to 2/95 Citibank, Consultant
International/Domestic ADR Corporate Actions and Dividends.
2/94 to 10/94 Baring Securities Inc., Managing Consultant
Advise Senior Managing Director of Global & Domestic Operation on issues with
the following departments: Auditing, Operational Controls, Compliance, Systems
Conversion, Stock Record, Reconciliation, Settlements, Ginnie & Fannie Maes,
Dividends and Corporate Actions (Domestic/International) and Trade processing
with International custodians.
5/87 - 2/94 J&W Seligman Trust Company, Banking Officer, Vice President
Seligman Securities, Inc. Brokerage, Cashier
Managing the International & Domestic day to day operations for both Companies
Prepared allocated and distributed office operating budget, Managed all Security
Processing Departments and Custody, Process mutual fund trades and custody for
401K Department, Executed audits of financial and operational areas. Train and
retrain, hire and dismiss personnel. Structure work assignments for maximum
efficiency and customer service. Balance Cash and Suspense Accounts. Coordinate
with ADP System Conversion from the Brokerage to the Trust Company.
6/84 – 5/87 Bradford Trust Company, Boston, MA - Mutual Fund Clearance and Security
Processing, Consultant, Project Manager
Process and balance Mutual Fund differences, all DDA checking accounts, Stock and
Cash Dividends, Corporate Actions
Coordinated the company sale to Mellon Bank with Senior Management
Bradford Trust Company, New York - Brokerage, Government, Municipal and
Unit Trust Clearance, Consultant, Project Manager
Process day-to-day Government Ginnie Maes, Fannie Maes, Municipal, Unit Trust
and Equity Trades, Research Balance, Recover and Process all Transfers and Legal
Transfers. Coordinate System and Security Conversions of small and Mid-sized
Brokerage Firms and Trust Operations to Security Pacific Bank involving assets in
excess of 105 Billion, Stock and Cash Dividends, Corporate Actions.
1/84 – 6/84 Marks Allen & Co., New Jersey, Vice President, Operations Manager
Managed firm day-to-day operation of Governments, Municipals, Cash accounts,
Dividends, Corporate Actions. CRI System.
6/83 – 1/84 J. B. Hanover & Co., New Jersey, Operations Manager
Managed firm day-to-day operations, Ginnie Maes Fannie Maes, Municipals,
Corporate and Equities and cash accounts.
1/83 – 6/83 Marine Midland Bank, New York, Consultant, Project Manager,
Research, Balance and Process DTC, Treasuries Equities, Fixed Income,
Governments, Customer Receives and Deliveries, Reclaims, Suspense accounts,
Dividends, Cash, Stock and Corporate Actions. Staff of 125 Consultants.
2/82 – 1/83 Bank of America, Los Angeles, California, Consultant

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 Research, balance and recover Cash and Stock Dividends, Corporate Actions.

Mario Arnero

5/81 – 2/82 Chemical Bank, New York, Securities Operations Manager

Managed Customer Service, Fed Wire, Receive and Deliver of Government
Securities, Proof & Control Area, research and balance all departments, Staff of 65
8/80 – 5/81 Paine Webber & Co, New York, Consultant
Research and Balance all daily and aged stock record breaks
6/74 - 8/80 Community Investors, Brokerage, Cashier
Responsibilities and duties were primarily comparable to that of Hertz Warner & Co.
2/63 - 6/74 Hertz Warner & Company, New York, Brokerage
Assistant Operations Manager, Vice President
Managed all Back Office Operations
Managed 155 employees
Cashier Managed the day to day cashiering.
System Conversion from RCA to ADP System.

Additional Information:
Education:
1/70 – 6/76 Suffolk County Community College
Degree in Criminal Justice

Skills: Microsoft Word - Excel, ADP, BETA, and DTC Systems