MARIA ISABEL FRIAS

Norwalk, CT 06851 mif1@me.com R: (203) 586.3022 M: (917) 567.8055

VICE PRESIDENT HEAD of OPERATIONS & CLIENT RELATIONS INVESTMENT BANKING INTERNATIONAL FINANCE
Recognized for ability to diagnose and resolve any encountered trade-related issues.
PROFESSIONAL PROFILE Assiduous and analytical, with in-depth comprehensive experience in Anti-Money Laundering/ Know Your Customer policies/procedures and trade operations, from inception to settlement. Incorporate astute knowledge of in-house on-boarding and regulatory compliance/requirements with proven ability to perform timely investigations of suspected irregular business practices and collaborate to amend problems. Demonstrated success analyzing/clarifying complex transactions and implementing resolutions substantiated to reduce trade fails. Areas of expertise and applied skills include: Fail Control/Trade Reconciliation Internal Control Implementation International Settlements Custody Implementation KYC (Know Your Client)/AML (Anti-Money Laundering) On Boarding Monthly/Financial/Performance/Trend Reporting Operations/Counterparties Liaising Problem/Crisis Identification/Resolution Regulator/Project Management Trade/Cash Management Payments Systems (SWIFT, CHIPS, FEDWIRE, ACH Foreign Exchange (FX) Emerging Markets Latam Securities Sovereigns Structured Products Derivatives Fixed Income/Credit Bloomberg Murex Toms Omgeo FX All Market Axess Kondor SAS QuickBooks Credit Commander Proprietary Software (DB Ticket/XOL) LexisNexis Bankers Almanac Microsoft Office (Word/Excel/PowerPoint/Outlook/Access) EMPLOYMENT HISTORY FalconView Capital Partners, LLC Stamford, CT Vice President Head of Operations & Client Relations 09/2009 06/2011

(Private firm that provided services to sophisticated institutional, corporate, and sovereign clients based principally in emerging markets, with a particular focus on Latin America. The majority of clients were financial institutions, companies, and non-U.S. ultra high net worth individuals based primarily throughout Latin America.)

Spearheaded operations for Holding Company with six direct reports and accountability for trade-related activities/cash management needs, including Anti-Money Laundering screening. Ensured accurate tradeprocess implementation in promotion of fail-free settlements on complex structured deals and ascertained alignment between operating infrastructure/internal business strategies. Prepared monthly/financial reports that maintained compliance with Broker/Dealer cash-flow requirements imposed by CIMA/FINRA. Provided support to CEO/CIO in day-to-day business operations. Promoted from Assistant Vice President 12/2010 Launched FalconViews domestic and Cayman Island offices, piloted all necessities to accomplish task, including: liaising with vendors, negotiation of subleases for office/IT equipment and methodically organized move-in phase that culminated in an on-time/30% under-budget completion. Settled 283 transactions comprised of structured, Latam securities, with a notional value of $400 million that contributed $50 million generated P&L, with a 2% fail-rate.

MARIA ISABEL FRIAS

mif1@me.com R: (203) 586.3022 M: (917) 567.8055

EMPLOYMENT HISTORY Continued Deutsche Bank Securities, Inc. New York, NY Associate 01/2008 08/2009

Brought on board to evaluate and resolve Latam account backlog via incorporating fluency in Spanish to effectively communicate with and establish relationships among clients, custodial accounts and their trade support staff. Assisted sales desk and customers with indicative asset pricing and handled complex ad-hoc projects in need of resolution. Superintended Latam Structured Notes pricing via Bloomberg and settlement of transaction executed by NY and Global Equities Derivatives Team. Revamped KYC on-boarding procedures for London and Amsterdam counterparts, which expedited the elimination of backlog for 76 active Latam accounts that ensued in generating $10 million in additional revenue. Pivotal in Deutsche Bank partaking in $193 million Highway Securitization deal to support construction of toll-road project that contributed to total revenue produced. Diagnosed/resolved manual in-put problems with DB Ticket that prohibited proprietary system trades proper settlement via delineation of numerous erroneous/unnecessary steps identified. Results included elimination of kickbacks and minimizing settlement errors from 90% to less than 5%. Santander Investment Securities, LLC New York, NY Associate 06/1999 01/2008

Supported New York/Madrids Fixed Income Sales teams; liaised with trading desks/prime brokers and processed all Latam local market products transacted by sales. Confirmed transactions, ensured timely trade settlement, resolved trade discrepancies/breaks and performed P&L attribution/reconciliation. Promoted from initial role of Administrative Assistant 2004. Created Middle-Office Procedures Manual for transactions (CLP, CLF/CLP, Chilean CCS, CLP/USD Libor, Brazilian CDI swaps, swaptions, options and FX swaps) booked utilizing Murex that succeeded in decreasing booking error rate by 60%. Team participant instrumental in organization and management of conferences in Mexico and New York. Attendees exceeded 600 international (Europe, Latin America) and domestic participants who included executive management, government officials and institutional/ hedge-fund investors. EDUCATION
Bachelor of Business Administration (BBA) Pontificia Universidad Catolica Madre y Maestra Santiago, Dominican Republic

PROFESSIONAL LICENSES
FINRA Series 7 63

FOREIGN LANGUAGES Spanish Fluent Portuguese Conversational

VOLUNTEERISM Director of Education Coastal Patrol Cadet Corps 2004 2009 Designed enlisted personnel/specialty class manuals for 75+ cadets and created lesson plans for the calendar year. Procured recreational sponsorships via marketing the Corps dedication to Brooklyns youth and served as the point-person for cadets/parents extra curriculum activities.