Risk Manager To Whom it May Concern, My name is Joshua Michael F. and have worked in the financial industry for over 20 years. Holding such positions as Broker, Trader, Broker Services, Broker Customer Service Desk manager and Error Coordinator (risk management). Over the past 10 years I have dealt with primary training of Financial Advisers to use propriety software at such notable firms such as Morgan Stanley and AllianceBerstein. During these last ten years, I was heavily involved in Risk Management, correcting trades on institutional accounts (100MM and up) and then following up with the research and dedication required to implement fixes to avoid these errors from occurring in the future. This involved setting up global conference calls with our Asia-Pac team, Australia and the United Kingdom, along with working with a multitude of departments and people not limited to, Trading, Settlements, Legal and IT. During these times, I had to work with Sales for client notification along with providing an adequate fix and response to retain the client and to provide assurances so this would be avoided in the future. Typically an error could not be in a client's account after settlement (T+3 depending on what exchange the security traded on) Typically allowing me at the most three days to catch the trade and correct the error, with an SLA of approximately 1 week to determine how it occurred how we would correct it going forward and notify sales so they could reach out to the client with the correction. Client's would have to be notified prior to settlement. My Goal would be to locate a position in an up and coming bank or established bank working in either broker services training and/or monitoring a call center or risk management. Currently I hold a Series 7 and am able to work with a multiple of individuals and personalities to come together for a common goal along with having a sense of ownership in the task at hand from start to finish. I am looking to move back to the Caribbean, I lived in Belize during 1999 through part of 2000 in the Cayo District. Sincerely; Joshua Michael F. | 
