Management Vice President
Resume:
Robert Silfen
New York, NY, 10128
Email: ************@*****.***
EXPERIENCE
HSBC Securities, Inc., New York, NY March 2011 to
May 2012
Client Liaison Group - Vice President
. Managed a team of client-facing service providers in a pressurized, time-
sensitive business environment
. Managed a portfolio of hedge fund and high net worth private banking
client relationships for the Global Markets & Banking division
. Proven track record of completing complex documentation for structures
including hedge funds, third party lenders, special purpose vehicles,
mutual funds, insurance companies, UCITS, bank trusts, and pension funds
within a tight deadline
. Performed AML, Legal, and Credit due diligence with respect to authority
and capacity for client's who trade Derivatives, FX, Fixed Income, and
Equities
. Fielded inquiries regarding status of agreements, specific trade terms,
and policies
. Worked with outside counsel to resolve complex ISDA issues such as ERISA
and Tri-Party Control Agreements
. Conducted mid-year and year-end performance evaluations
BlackRock Financial Management, New York, NY September 2000
to March 2011
Global Client Service Group - Vice President (April 2006-March 2011)
Client On-Boarding
* Facilitated New Account Openings, Custodian Transfers/Mandate Changes,
Terminations, Account Mergers, and In-Species/Asset Transfers
* Accounts coordinated consisted of all divisions in the firm including
institutional, retail, and sensitive high net worth private clients
across all investment platforms
* Managed the business and operational risk inherent in all account work
transactions while acting as an escalation point for the Account
Management Team
* Responsibilities included being a liaison among portfolio managers,
account managers, clients and custodian banks to ensure accuracy of
operations, meanwhile striving to minimize risk and provide the highest
standard in quality client service
* Instituted trade routing communication via SWIFT (Society for Worldwide
Interbank Financial Telecommunication) to meet requirements of clients,
custodial banks, and external parties
* Coordinated the preparation of necessary legal documentation for the set-
up of exotic global markets for BlackRock funds
Merger Specific Responsibilities
Partnered with the technology coordinator, consultants, and M&A
professionals to ensure a smooth integration of two companies to one
cohesive platform
Facilitated the upload and validation of trade routing, and reconciled
asset positions prior to the "go live" date for various phases of the
merger
Created management reporting and participated in merger specific training
for new satellite offices, including London, Tokyo, and Melbourne
Alternative Investment Operations (September 2000-April 2006)
Responsible for advising professionals in the portfolio management areas on
procedures for clearing and settling fixed income, derivative, and equity
transactions
Performed daily cash management reporting and balancing for Hedge Funds
Tracked compensation claims and settlement management reporting
Maintained client relations with Prime Brokers and Custodian banks
Handled cash and settlement failed trades reconciliation
Providing operational support to clients, custodians, and accounting agents
Worked on the reconciliation of cash on a daily basis, daily processing of
subscriptions and redemptions
Advised portfolio management on available cash balances and settlement
fails
Researched and resolved discrepancies between the firm's records and the
custodian's banks records
Prudential Investments, Newark, NJ December
1998 to September 2000
Portfolio Administrator
. Liaison between the custody bank and five managed portfolios
. ?andled the reconciliation of all outstanding settlement issues for
portfolio accounts
. Advised counterparty on trade related issues
. Reconciled fail report for payments dealing with settlements of
trades
. Tracked suspense and pending settlements for trade related issues
. Processed corporate actions, splits, exchanges 144a, calls, tenders,
mergers, warrants, and payments
. Experience includes corporate and treasury bonds, high yield and
emerging markets bonds, equities, and mortgage backed securities
. Produced custody reports monthly to reduce outstanding portfolio
differences
. Processed inquiries on inaccurate payment for trades
. Utilized Bloomberg to verify corporate actions and principal and
interest payments
. Cash management handling paydowns, cash and lieu, and failure to
register with SEC
. Continuing education in Corporate Actions, Derivatives, Introduction
to Securities
Education
University of Delaware Newark, Delaware
May 1998
B.S. Finance
Dean's List, Fall 1995
Activities
. Studied abroad in France; concentration in international management
. Business Student Association
. Delaware Special Olympics
Computer Skills
MS Office (Excel, Word, PowerPoint), Aladdin, SWIFT, SQL, Bloomberg
References Available upon request
.
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