Process Analyst

Adrian Coard

*******@*********.*** 917-***-****

EXPERIENCE

*/**** – 7/2009 DEUTSCHE BANK SECURITIES INC.

Class Actions Analyst /Supervisor -

* Coordinate group assignments & report to manager

* Maintain control of all class action expirations & deadlines

* Submit instructions to vendors for all pending & future class actions

* Allocate class action payments to client & proprietary firm accounts

* Daily Internal control & suspense account reporting, balancing & reconciliation

* Submit instructions & research payments through Clearstream, DTC & Euroclear

* Utilize internal accounting system (ADP) to process & research client & firm account activity

* Receive physical checks, process deposits & allocate funds for client & firm accounts

144A Securities Analyst /Supervisor

* Respond to broker & client representative e-mail & telephone inquires, research account

discrepancies

* Receive client instructions & submit documentation to third party agent

* Conduct Group development, monitoring, training & staffing

* Book entry & certificated transfers & exchanges

* Settlements processing through multiple clearinghouses

* Inter & intra department account reconciliation

* Internal control & suspense account reporting

* Coordinate FOREX payments for foreign securities

Domestic & International Mandatory & Voluntary Reorg Analyst

* Disseminate corporate actions information to affected clients

* Accept, verify, validate & process client instructions

* Process book entry & certificated transfers & exchanges through bank agents, brokers &

clearinghouses (DTC, Euroclear, etc.)

* Inter & intra department account reconciliation

Major achievements:

Set-up & monitor overseas corporate actions operations & staff training

Write departmental P&P’s for both Class Actions & 144A groups

Attract new business based on vale added 144A processing

Supervise staff of 144A & Class Actions areas within department

10/1996 – 5/1997 BEAR STEARNS COS. INC.

Sr. Mandatory Reorganization Analyst-

* Process book entry & certificated exchanges (i.e. forward/ reverse splits, mergers etc.) through

bank agents, brokers & clearinghouses (DTC, Euroclear, etc.)

* Process bond redemption payments (P&I) & research

* Inter & intra department reconciliation

* Utilize ADP, DTC Clearstream & Euroclear systems to process & research client & firm

account activity

EXPERIENCE

04/1994 – 10/1996 OPPENHEIMER & CO.

Sr. Mandatory Reorganization Analyst-

* Processed book entry & certificated exchanges (i.e. forward/ reverse splits, mergers, spinoffs,

etc.) through Clearinghouses (DTC, Euroclear, etc.), brokers & bank agents ( AST, BONY)

* Processed bond calls (F/C & P/C) & redemption payments (P&I)

* Processed reorganization related dividend payments

* Inter & intra department reconciliation

* Utilize ADP & DTC systems to process & research client & firm account activity

Major achievements:

Processed 12 month backlog of mandatory exchange processing in two weeks

Instituted new policies & procedures to eliminate backlogs & errors

WATERHOUSE SECURITIES

04/1992 - 04/1994

Sr. Mandatory Reorganization Analyst-

* Process book entry & certificated exchanges (i.e. forward/ reverse splits, mergers, spinoffs,

etc.) through Clearinghouses (DTC, Euroclear, etc.), brokers & bank agents ( AST, BONY)

* Process mandatory mergers & exchanges affecting client accounts through

* Maintain SEC Aged Transfer compliance

* Inter & intra department reconciliation

Major achievements:

*Processed backlog of mandatory exchange processing in two weeks

*Research, monitor & clean –up all outstanding physical Aged Transfer items

10/1987 – 04/1992 DEAN WITTER REYNOLDS

Jr. Mandatory Reorganization Analyst-

* Process book entry & certificated exchanges (i.e. forward/ reverse splits, mergers, spinoffs,

etc.) through Clearinghouses (DTC), brokers & bank agents ( AST, BONY)

* Conduct Bond Partial Call Lotteries

* Process Bond calls (F/C & P/C) & redemption payments (P&I)

* Process reorganization related dividend payments

* Inter & intra department reconciliation

* Utilize ADP & DTC systems to process & research client & firm account activity

SYSTEMS & PROGRAMS

ADP, DTC, Euroclear, Bloomberg Financial terminal; Microsoft Excel, Word & Powerpoint

SOCIAL AFFILIATIONS

1995 – 2006 Boy Scouts of America – Cubmaster of Pack 281 Bklyn, NY

2000 – 2002 Police Athletic League – Baseball Coach

1994 – 1996 Police Athletic League – Baseball Coach

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