GERALD J. GRAHAM

Jamaica, NY *****

abgoaq@r.postjobfree.com 917-***-****

PROJECT MANAGEMENT CLIENT SERVICES TRUST OPERATIONS

OPERATIONS CONTROL RECONCILIATION SERVICES

Highly accomplished and motivated financial services professional with experience in back office operations. Operations

background in the following aspects – Global and Domestic trade settlements, Corporate Action Entitlements, Asset

Management audit exceptions. Proactive in analyzing and resolving control issues while ensuring management oversight.

Proven ability to produce work that is highly organized and auditable. Effective communication skills with Senior

Management and Key Stakeholders. Strong interpersonal skills and business acumen to effectively build and leverage

relationships. Aptitude to adapt to new systems and established procedures as required.

AREAS OF EXPERTISE & SKILLS

• • •

Project Management Corporate Action Entitlements Escheatment /Abandoned Property

• • •

MIS Reporting Mutual Fund Omni Reconciliation Investigations, Exceptions/Resolution

• • •

Asset Recovery 401(k) Conversion recordkeeping MS Office, Pivot Tables, Vlookups

• • •

Settlements/ Fail Control Non Custodied - Alternative Investments Bloomberg, MS Outlook

Professional Experience

Morgan Stanley - Mutual Fund Operations - Consultant - Jersey City, NJ Mar 2013 – Present

• The Mutual Fund Reconciliation process included reconciling all sub-accounted mutual funds and networked

fund families. Tasked as Subject matter expert and escalation point for complex inquiries raised by the offshore

team.

• The key objective is to ensure the recordkeeping applications (DST Vision, Surpas/RAPS) reconcile with the

fund transaction activity and that the effectiveness of controls are performed accurately and timely.

• Supervised and managed the offshore team’s various intraday and end of day exception control activities as

well as compiling metrics for analyzing the risk and business needs for Senior Management.

• Proactively escalated issues, concerns and trends to management in written and verbal communication

reporting.

• Capacity to effectively collaborate across multiple operational area s.

Bank of Montreal - Fixed Income Operations - Consultant - Toronto Canada Nov 2011 - Jan 2012

• Single point of accountability for the ADP/IMPACT Fixed Income P&I activities.

• Performed data analysis in support of work plans and execution of Coupon/Interest work activities.

• Documented activities, including static data, reconciliations and operations support on segment of project

plan.

• Recommended process improvements for the day to day work stream.

Wells Fargo - Alternative Investments - Consultant - Remediation Project - St Louis, MO May 2011 - Aug 2011

• Assisted in the asset review and suitability of over 4500 alternative investments for Non-

custodied Assets.

• Secured information and offering documents (PPM’s) from Investment Issuer/Sponsors for

firm’s new guidelines.

• Investments included: Private Company Equity, LP’s, LLC’s, non-traded REIT’s.

Citibank NA - Consultant Project Lead - MSSB Pre-conversion Cleanup - New York, NY Apr 2010 - May 2010

• Identified and processed multistage voluntary and Mandatory corporate action

events; tender offers, stock splits, reverse splits, bankruptcies, charter dissolutions, etc.

• Document the information source and processed the physical securities to the relative

exchange agent on behalf of the safekeeping clients .

Daiwa Secs America - Audit Control Group - Consultant Project Mgr. - New York, NY Apr 2003 - Mar 2010

• Successfully managed the firm’s participation in the Multilateral Brady Warrant netting facility sponsored

by EMTA.

Sean Peters Page 2

• Performed data analysis and historical reconciliation of Brady settlements in Euroclear and

EMCC inclusive of

Inter-dealer broker’s trade capture and clearance. Successfully entered into multiple multilateral netting agreements.

• Responsible for ensuring dividend income processing, trade reconciliation, Corporate Actions, 180 Liability notices.

• Realized savings of over $75M dollars in Net Capital Reserve Charges.

Gerald J. Graham Page 2

State Street Bank - Advisory Services Group (ASG) - Consultant - Jersey City, NJ Oct 2004 - Feb 2009

(Concurrent consultant position with Daiwa Securities)

• Provided functional support for all MIS reporting needs for the Advisory Services Relationship Manager with

emphasis on failed trade flows, position reconciliation, cash management and aged exception resolution.

• Supported identification of issues and risks.

Bankers Trust/Deutsche Bank - Advisory Services Group - Consultant - Jersey City, NJ Mar 1998 -

Sep 2004

• Responsibilities included researching/resolving inquiries from Bt Investment Management division and fund

accountants involving trade settlements coupon/principal payments, overdrafts and corporate action entitlements .

Wachovia Mortgage Co. - Consultant Project Manager - Winston Salem, NC Apr 1997 –

Feb 1998

• Directed staff of (6) consultants in support of the Construction Mortgage Accounting Group.

• Accountable for the resolution of conversion exceptions due to duplicate recording of fees and expenses posted

to existing loans and the Main Operating DDA account ledger.

• Developed formalized MIS reports to monitor the size, scope and progression of team productivity for Wachovia’s

internal audit group. Improved internal controls.

Citibank NA Global Operations (WWSS) - Consultant - Toronto Canada/Tampa Florida Sep 1996 - Mar 1997

• Performed operational duties for high-profile Investment Advisors in the Global Emerging Markets.

• Resolved audit inquiries related to settlements, income and corporate action entitlements through Citibank's sub-

custodial network. Managed large amounts of data and created ad hoc MIS reports as required.

Bankers Trust - Global Securities Services (GSS) – Consultant - Jersey City, NJ Jul 1994 - Aug 1996

• Operations specialist within the Americas (Brazil) settlements group.

• Performed intraday/next day trade reconciliation, conducted root cause analysis, ensured timely corrections.

• Emphasis on trade flows, position reconciliation, and exception resolution. Improved operational efficiencies.

• Corresponded with Advisor Services of changes/risks in local market practices.

NationsBank - Domestic/Global Trust Operations - Consultant - Dallas, Texas Nov 1992 - Jun 1994

• Operations Specialist involved with NCNB/NationsBank conversion investigations.

• Interactive with Investment Managers, Brokers and Custodians to improve settlement information flows and

resolve transaction inquiries on the AMTrust legacy system. ADR/ORD Conversions - Special Project

Shearson Lehman Brothers - Income/Corporate Actions - Consultant - New York, NY Jan 1992 - Nov 1992

• Member of task force on research recovery project recovering stock/cash dividends.

• Realized over $550,000 in cash and stock dividends.

Merrill Lynch 401(k) Operations - Consultant - Somerset, NJ Jul 1990 - Aug 1991

• Performed audits on data converted over from prior record keepers, data collection for 401(k) loans,

operational procedures set up for new plans and audit support.

• Assisted administrators in projects to convert data in order to transfer records

from prior 401(k) recordkeeping companies, identify 401(k) data discrepancies and make corrections

where needed.

Goldman Sachs International Operations - Consultant - New York, NY Jan 1990 -

Jul 1990

• Responsible for daily settlement/fails management within Euroclear Operations.

Merrill Lynch International Operations - Project Manager - New York, NY Apr 1981 - Jan 1990

• Managed and coordinated staff of (21) consultants and (6) clerical staff.

• Reported to Department Managers with full accountability for Custodian Bank audits

• Position required ability to solve key, long standing problems and to lead and motivate consultants to

achieve high levels of productivity in resolution of broker dealer inquiries and internal suspense accounts.

• Analyzed and balanced the firm’s ledger versus all Global Custodian Bank records, relating to all security

products, multiple entities and currencies.

EDUCATION: Hunter College - New York Institute of Finance

Professional References furnished upon Request

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