Financial Service Services
Resume:
Phil Messam
Toronto, Ontario
M6J 3R8
Email address: ad5ose@r.postjobfree.com
HIGHLIGHTS OF QUALIFICATIONS:
Over 10 years experience in the Securities Industry, particularly as it relates to Stocks and Bond Settlement and Dividend Interest Payment
Bachelor of Arts Degree: Political Science and Administrative Studies, Minor in Economics
Demonstrated experience dealing with inquiries regarding Trade Settlements
Proven organizational, analytical, communication and problem solving skills
International Settlement Experience
Options Settlement Experience
Buy-in administration and execution
EMPLOYMENT HISTORY
TD Bank Financial Services
Trade Input Officer August 2013 - April 2014
Toronto, Ontario
Input Trade instructions received from client and investment managers
Advise client of discrepancies in Trade settlement
Coordinate Fx funds to cover US dollar trades
Set up Trades settling in European and other Foreign Markets
Transfer funds from client account relating to private giving for charitable organization.
Kingsdale Shareholder Services
Toronto, Ontario
Client Care Agent March 2013 - June 2013
Proxy Solicitation and Client reporting
Contacting Topholder client to advise of upcoming Corporate Actions
Solicit Shareholder-unitholder proxy voting information
Adhere to standard client contact protocol
Thai Yoga Massage Practitioner December 2011 to present
CIBC Mellon
Toronto, Ontario
Equity Settlements Officer March 2001 August 2010
Trade settlement officer -Treasury bills, Government of Canada Bonds and Stocks in CDN & US currency
Advise client service officer of discrepancy in trades with broker
Contract Broker for unreported trades
Contact Lending department regarding short position on client Sales
Liaise with other departments to resolve outstanding unsettled trades
Execute after 4 settlement of large value trades
Report to Treasury Department failed large value trades
Options expiry settlement
Buy-in administration and execution
Stock transfer/legend removal
Pre-settlement matching processing
RBC Dominion Securities
Toronto, Ontario
January 1993-June 2000
Senior Equity Settlement Officer:
Assist Equity Settlement department in compliance with management expectations
Train new employees and assist in providing direction to staff
Report to Executive Officers trades failing valued at over half million dollars
Attend to special or difficult settlement deals with Trading Desk and other Brokers
Execute Buy-in on the Toronto Stock Exchange and New York Stock Exchange
Liaise with other department to resolve outstanding unsettled trades
International Settlements Officer:
Contact counter Party to confirm instructions prior to delivery;
Balancing of Firm Foreign Currency and Stock Holdings
Posting of Foreign Currency Funds to clients account
Execute Buy-in against Brokers in Foreign Countries
Equity Fails Officer:
Report to Executive Officers Trades Failing valued at Half Million Dollars
Liaise with other Department Personnel to resolve outstanding issues.
Issue Buy-in Warning and post Buy-in
Resolve differences Re: Stock price, Commissions, Share Quantity and Settlement Dates
Follow up on all trades outstanding beyond settlement dates
Expediter:
Ensure delivery of stock on appropriate settlement date
Direct participant and Client Trade Settlement through CDS/BBS Eltra System
Attend to after 4 settlement of large valve or late reported trades
Verify that physical stocks are in negotiable form prior to delivery
Analyze Canadian Depository Transaction Reports And DP reports to verify correspondence with Company’s internal records
Prepare CDS envelope for Physical Stock delivery to Brokers.
Midland Doherty
Toronto, Ontario
Dividends Officer: Oct 1988 - Jan 1990
Balanced record date position for cash dividend
Research and monitor trading activities in client and house account to determine dividend eligibility
Analyzed transaction report to confirm settlement of claims through CDS book base system
Balanced Broker clearing accounts
EDUCATION
Bachelor of Arts Degree
May 1986
University of Winnipeg
Major: Political Science and Administrative Studies
Minor: Economics
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