B. P. Battles

CELLPHONE: 817-***-**** EMAIL: bpbattles06@gmailcom

ADDRESS: Bedford, TX 76021

SENIOR COMPLIANCE AND BROKERAGE ANALYST

FORWARD-THINKING ADVOCATE AND STRATEGIST

ABILITY TO CUT THROUGH A PROBLEM AND "MAKE IT HAPPEN"

Highly technical analyst, with "big picture" vision and ability to work

with management, staff, and clients to convert complex requirements into

actionable project plans. Strong team-builder, assembling and managing

cross-functional teams to deliver projects on time/budget, despite

aggressive timelines. Problem solver consistently recognized for improving

infrastructure performance, availability, maintainability, and scalability

in rapid-growth environments.

TD AMERITRADE INCORPORATED, Fort Worth, Texas, 7/2007 - 5/2011

BROKERAGE OPERATIONS ANALYST

Key Initiative: Processed Corporate Actions for both mandatory and

voluntary events related to all securities for Client accounts.

Responsibilities consisted of a range of processing activities including

routine to highly-complex transactions. This included daily interpretation,

monitoring, scrubbing, reconciliation, notification of corporate actions

and posting entitlements.

Managed TD Ameritrade's securities holdings with Depositary Trust, Clearing

Corporation, & Foreign Depositories; such as Merrill Lynch, Cannacord

Capital Inc, & TD Waterhouse Canada).

Communicated pertinent information regarding current voluntary

reorganizations (i.e. rights offering, warrant exercises, tender offers,,

dividends, symbol changes, splits & spin-offs.

Reviewed all relevant documentation including offering materials,

prospectus, and letters of transmittal, as well as materials from

depositaries and other information sources.

Reconciled cash and stock balances daily and investigating aged items.

Established & maintained productive working relationships with Depositary &

Custodial Executives & Department Managers to provide consultation on

training & performance development needs.

Trained new Voluntary Reorganization Associates in the realm of corporate

actions

Key Achievements:

Conceived innovative notifications for upcoming corporate reorganizations

via TD Ameritrade's client account

Employee of the Quarter Runner-Up (FY 2011; First Quarter).

Led team in three different states to convert the second largest corporate

reorganization (rights offering) that converted

over 30 million in clients assets.

BURR WOLFF TAX SOLUTIONS, Houston, Texas, 1/2006 - 12/2006

SR. COMPLIANCE ANALYST

Key Initiative: Managed and audited business personal property taxes for

Fortune 100 & 500 companies in the Midwest Region to identify tax saving

opportunities.

Mitigated conflict issues appropriately & effectively with Federal

Agencies, State Governments, & Appraisal Districts regarding property tax

liens on owned & leased business personal property.

Responsible for calculating & filing of annual value renditions to all

regions of the country.

Insured the prompt paying of the tax bills as they are received from the

various taxing jurisdictions.

Assisted the support data for the personal property tax filings & performed

asset scrubbing.

Researched business personal property tax research to verify sales & use

tax rate calculations.

Created tax jurisdiction specific charts to track personal property tax

changes, reporting requirement changes or updates, due dates, special form

requirements, & other related issues.

Mapped & setup Corporate PTS/STS system for new filing.

Analyzed data to verify accuracy of leased, dispose, & rendered assets.

Key Achievements:

Successfully identified and resolved logistical issues, resulting in 43%

cost reduction.

Promoted to Senior Compliance Analyst after six months in position.

Assigned to lead special project to convert business personal properties

tax for Fortune 100 client from competitor.

...continued

B.P. BATTLES + PAGE 2

EMAIL:

bpbattles06@gmailcom

HCAD (Harris County Appraisal District), Houston, Texas, 5/2005 - 1/2006

BUSINESS PERSONAL PROPERTY APPRAISER I

Key Initiative: Performed duties involving the functions & activities

associated with the appraisal of assigned classes of properties including

inspection, data collection, & analysis regarding appraised values.

Represented the Chief Appraiser & the district in the informal & formal

protest hearing process.

Received & processed rendered values on vehicle & personal property taxes.

Performed auditing & basic field appraisal work on industrial & business

personal properties to include inspection & data collection for accounts

totaling over 38 million, by using the three approaches to value: cost,

sales (market), & income.

Trained in the application of the Texas Property Tax System procedures, &

techniques in order to exercise broad discretion regarding appraised

values.

Assessed 4000+ small businesses to large corporation accounts using the ad

valorem technique.

Used GIS maps to locate property, determine property-taxing jurisdictions,

& to verify property ownership.

Communicated with property owners to educate & resolve business personal

property issues.

Key Achievements:

Substantially improved productivity of appraised assets of new and

existing businesses while reducing operational

cost.

ADDITIONAL EXPERIENCE

Founder, Alpha Elite Basketball Academy 1/13 -

present

Seasonal Athlete, Nike, Incorporated 11/11

- 3/12

Internship, LogoWear Incorporated 1/02 --

5/03

Bank Relations, Wells Fargo Bank 2/01 -

8/01

Consumer Relations, RadioShack Incorporated 1/00 -

12/00

EDUCATION

Bachelor of Science in Business Administration (BSBA) + Texas College,

Tyler, Texas

AREAS OF EXPERIENCE

Medallion Stamp Certified Bloomberg DTCC

PTS/PBS

BPTE Appraiser Certified ML Markets

BOSweb/BOStelnet

Loan Officer Certified JP Morgan Access eSignal

FRED (Mutual Fund Database) Corporate PTS (Tax Software)

FACSYS

Microsoft Office Applications Opti-Web KANA

Loanet

ACHIEVEMENTS/COMMUNITY SERVICE

Member, Alpha Phi Alpha Fraternity Incorporated

Member, Students In Free Enterprise, Texas College

Member, Student Government Association; Texas College

Student Assistant Basketball Coach, 2001 Texas College Women's Basketball

Team

Sports-Information Director, 2003 Texas College Women's Basketball Team

Mid-Cities Basketball Association 2011 Coach of the Year 13U Division

Member, Fellowship Church (Grapevine)

Volunteer, AWANA (Youth Church Program)

Volunteer, Habitat for Humanity

Volunteer, Special Olympics

Volunteer, Adopt-A-Highway

Volunteer, Go To High School Go To College, Alpha Phi Alpha Fraternity,

Incorporated

REFERRALS AVAILABLE ON REQUEST

Contact this candidate