Financial Advisor

New York

Miguel Marcial

Phone: 973-809-0826                                                   74 Herman Street, Garfield NJ 07026                    Email: mxmarcial@gmail.com

Dedicated and motivated professional with a strong education and background in Finance, Accounting and Business Analysis.  Years of successful experience consulting on multifaceted projects and facilitating positive working relationships with wide range of clients, front office, compliance, risk, operations, change and product management personnel.  Consistently recognized for outstanding contributions to the bottom line.  Solid reputation for resolving complex issues.

___Areas of Expertise___

·         Project Coordination
·         Process Improvement
·         Strategic Planning
·         Training & Team Building
·         Quality Assurance
·         Risk & Control Mitigation
·         Client Relations
·         Trade Support
·         Records Management
·         Data Analysis & Reporting

·         Microsoft Office Word, Excel, PowerPoint
·         Front to Back Office Reconciliation
·         Errors & Remediation

·         Broadridge, IMPACT, DTC, FED
___Recent Experience___

BARCLAYS – New York, NY                                                                                                                                                          2008 to 2018


Prime Broker – VP/AVP Middle Office Repos/Bonds/Equities/Options                                                                   2015 to 2018

·         Proactively identified opportunities for risk mitigation by having a thorough understanding of the front to back office processes

·         Worked closely with change and product management partners in order to prioritize solutions that will enhance operational controls and straight through processing that will improve client experience

·         Reviewed internal risk MIS metrics reporting that highlights operational risk within our processes and provided strategic/tactical solutions to mitigate them

·         Proposed solutions by tapping into the tacit knowledge of various global teams such as stock loan borrow and corporate actions in order to drive operational efficiencies for all stakeholders in lifecycle of trade

·         Managed repos, outright bonds, equities, and option products to ensure the business as usual service is of high quality for both clients and internal/external stakeholders

·         Became a reliable resource of knowledge and escalation with regards to trade matching, settlement, trade capture process, and reconciliations (front to back office/intersystem)

·         Worked on continuous improvement of the settlements portal functionality for client reporting of pre-matching/fails management tool with Barclays IT, Broadridge IT, and settlements

·         Engaged team members into lean and agile methodology approach and planned meetings for objectives that will drive ideas for innovation

Prime Broker – Equities & Bond Middle Office/Client On-Boarding Analyst                                                          2010 to 2015

·         Provided trade support coverage to hedge fund clients for repos, outright bonds, equities, and options

·         Communicated effectively with clients and liaise with stock loan borrow and settlement teams to settle US Domestic trades

·         Reconciled trade capture, corporate actions, dividends, and interest between our front to back office systems

·         Worked with hedge fund client administrators and IT teams in order to create and test trade file samples per Barclays’ PB trade file specifications

·         Performed connectivity testing for all new Prime Broker clients being onboarded to ensure trade files were successfully received in Barclays front office systems

·         Helped improve trade file specification requirements by incorporating system logic that auto generate values which can be derived from trade details

Prime Broker – Risk Management Analyst                                                                                                                           2009 to 2010

·         Prepared local and global MIS for distribution to management that highlighted execution broker/market settlement efficiency ratios

·         Developed an equity, bond and repo trade fail market risk report for prime broker unit to illustrate what the liabilities would be for Barclays/PB Client if a counterparty undergoes bankruptcy in the wake of financial crisis




Treasury Operations Analyst                                                                                                                                                     2009 to 2009

·         Helped to start up a new operations claims unit group for TMPG fails costs

·         Trained new staff members, oversaw testing and implementation of new claims system

·         Maintained detailed reports from all the brokers regarding failed trades which met the $500 minimum claim threshold

Prime Broker Operations Analyst                                                                                                                                            2008 to 2009

·         Developed a price delta day over day report where the client position on security price changed in excess of 5%

·         Price delta report was useful tool for PB Margin team to understand where there could be a liquidity shortage during the 2008 financial crisis

·         Performed trade capture, option exercises and wire payments

Merrill Lynch – Paramus, NJ

Private Client Group Intern                                                                                                                                                         2002 to 2003

·         Financial advisor intern who help prospect new clients via phone/mail

·         Provided institutional financial products to Fortune 500 companies based on cash within the Balance Sheet that generated $50 million AUM for our institutional money market business

·         Assisted in bringing in new home mortgage refinance leads that resulted in cross selling of other financial retirement products


Seton Hall University – South Orange, NJ                                                                                                                              2005 to 2008

Master of Business Administration – Finance

Fairleigh Dickinson University – Teaneck, NJ                                                                                                                       2001 to 2005

Bachelor of Science – Finance

Languages: Fluent in both English and Spanish


2006 to 2008

Master's Finance at Seton Hall University

2001 to 2005

Bachelor Finance at Fairleigh Dickinson University



Financial Advisor at Morgan Stanley

2008 to 2018

Vice President of Operations at Barclays

  • Updated 3 years ago

To contact this candidate email mxmarcial@gmail.com

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