Manager Operations
Resume:
Dennis Michael Norton
Apartment 2F
Brooklyn, NY 11238
Email: **********@*******.***
QUALIFICATIONS
Financial industry associate with extensive middle/back office
experience that includes knowledge of international & domestic
financial instruments including, fixed income, OTC derivatives,
Foreign Exchange & Equities. Capable of communicating effectively with
all levels of staff, including Portfolio Mgrs, Traders & officers in a
timely & professional demeanor regarding any problems/solutions that
may occur during the life of a financial transaction.
EMPLOYMENT
4/2012-present Abine, Incorporated
Research Associate /DeleteMe Analyst
Researches & monitors assigned accounts, regarding
confidential information being shared & tracked over
the internet.
Generates opt-out requests to 3rd party vendors,
confirms opt-out requests are completed in a timely
manner.
Works with the engineering team regarding overall
client experience recommending improvements.
Provides & informs clients of Abine's software
products & services.
8/2010-present Delaware North Company @TDBankNorth
Garden
Finance & Operations Associate-Boston Bruins/Boston
Celtics
ensures the accurate accounting of all
transactions, including both payroll and
disbursements of monies throughout building.
Receive cash from each department reconciles and
completes necessary crystal reports under the
direction of Operations Manager.
Willingness to adhere to all regulations,
compliance, and
procedures as well as guidelines pertaining corporate rules
reconciles all daily cash/credit dealings in amounts
exceeding $100k
7/2005-6/2008 Columbia Management Group
International & Domestic Trade Ops
Analyst- Team Lead
Assist both Portfolio Managers & fixed income traders
with trade support and settlement issues in both the
domestic and foreign markets including OTC
derivatives, treasuries, credit & equity instruments.
Entering & confirming of hedge fund, fixed income,
equities, derivatives & various other instruments
into the internal trading and accounting systems,
including trade ticket production & reconciliation of
posted activity. Including Hedge Netting on all FX
spots/forwards.
set up and coding of all clients (new and existing)
in regards to exceptions within dealer agreement.
worked directly with Charles River Vendors (via phone
or in person) regarding any changes/updates to CRD
Trading Platform.
Communicated with Portfolio Managers, Compliance &
middle/back office personnel ensuring all trades for
accuracy, allocations and were in compliant with
dealer agreements restrictions.
Involved directly with CRD developers and compliance
team regarding Charles River trading platforms coding
& testing for new and existing accounts according to
both internal/external rules and regulations set in
place.
5/2001-7/2005 JP Morgan Invest LLC
Operations Specialist/Trade Processor-due to promotion
Reviewed and analyzed all mutual fund/equity trade
activity
Maintained & reconciled clients accounts through the
NSCC and Fundserv.
worked directly with the compliance department
regarding irregular account activity.
Trained new employees and performed evaluations.
Assistant Fixed Income Trader
Processed fixed income trades on both the sell and
buy side.
handled all rejected/unsettled trades within a given
time to protect both the investor and JP Morgan.
Kept ongoing professional relationships with both the
high-profile individual investors as well as
Institutional clients.
9/1998-5/2001 Brown & Company (bought out by JP Morgan Invest LLC)
Mutual Fund Representative
Processed cash dividends and re-investments
Researched & Processed 12b-1 & dividend allocations
Played a vital role in the mutual fund
department's conversion team
ACCOMPLISHMENTS
While at Columbia Management, created departmental procedures directly
related to the life cycle of all trades, decreasing the failed
trading status by 60 percent limiting Columbia's exposure to any
monetary losses.
Implemented guidelines @JPMorgan Invest newly created Mutual Fund
department, reviewing & establishing dealer agreements with fund
families prior to offering live with active trading within these
families.
OTHER SKILLS: Bloomberg,Front Arenas, S.W.I.F.T/BIC, OMGEO Alert,
Charles River Trading Platform, Crystal Reporting, SSB
InSight, ILX, FundServ, DTCC, and various MS Office
programs. DST Mainframe, TA2000 Desktop, SIS (Securities
Industry Software)
EDUCATION Salem State University, Salem, MA
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