Ann Marie Bloom
Cheektowaga, NY **227
Home Phone 716-***-**** Cell Phone 716-***-****
Email: abhs53@r.postjobfree.com
OBJECTIVE
To secure a responsible position that will utilize my strong Management,
System Security, Risk, and Compliance skills, ensuring compliance and key
risk indicators, with established guidelines and regulations and the
provision of quality, timely and accurate service. Also, assess current
processes, procedures and automation levels to determine opportunities for
implementing changes and for automating manual processes to increase
efficiency and control costs. I will bring with me 30 years of experience,
and share that knowledge professionally.
WORK HISTORY from August 1979 to Present
Marine Midland Bank and HSBC Bank USA, DPB Securities Operations & Support
(formerly known as Trust Operations)
Securities Operations & Support OIC, responsible for staff of 25
individuals in the absence of the SVP.
Contingency leader - maintained plan on in-house Paragon application;
developed contingency site at the HSBC Depew Mortgage Center; held
quarterly disaster recovery tests with the bank, and semi-annual disaster
recovery tests with SEI Corporation, the Trust Accounting system vendor.
Auditors - be compliant with the Banking regulations for all aspects
of each function within the department. Communicate with Auditors when new
regulations are in place to ensure all areas are informed. Meet with the
businesses and Auditors to agree to the terms of the regulations being put
into place on the daily activity performed within the department.
Procedures - write new procedures, maintain current procedures, and
incorporate any compliance regulations where necessary.
Training - ensure assigned personnel are properly trained and cross-
trained in the processing aspects of jobs within the department. Provide
management direction to foster effective selection, development, and reward
of subordinates while contributing to initiatives in support of the Bank's
Affirmative Action policy.
Systems Control Group Manager, Systems Administrator, responsible for staff
of 2.
Access Coordinator - responsible for creating, maintaining, and
managing all system access utilized by the Domestic Private Banking area
consisting of over 700 users. Responsible for resetting passwords,
performing entitlement reviews on a quarterly and annual basis, assisting
users with access issues, and performing reviews of access violations on a
daily basis. Created and maintained profiles for three important sides of
the Domestic Private Banking business-the Trust Accounting System with SEI
Corporation, In-House Desktop System (RMDesktop), and HSBC applications, to
be used for new-hires, and individuals changing positions within the
department.
Client Website - Co-project Manager developing the site with the
Private Banking Information Technology Group. Worked with the businesses
to ensure all aspects of the site were in compliant with banking
regulations. Assisted in creating a Client Registration Form to be
completed by the client, and signatures of the clients verified prior to
allowing access to their accounts. Oversee client access setups are
created correctly. Manage the 800# for client use to assist with passwords
and inquiries relating to their access. Issue broadcast messages to over
2,000 website clients when new features are added, when issues arise with
site information, and when maintenance is being performed.
Liaison - act as prime contact with vendors regarding any systems-
related issues and requests from internal and external clients for new
functionality or enhancements to existing products, services, client
statements or reports. Resolve exceptional items or unusual problems
within Private Banking.
Reporting - prepare monthly reports for Senior Management and various
regulatory reports by building queries and working with SEI Corporation,
and complete special projects and requests pertinent to the businesses as
assigned.
Ann Marie Bloom
Work History cont'd
Domestic Private Banking Middle Office, responsible for staff of 6; input
all requests received from the client to their accounts using the SEI Trust
Accounting Systems, and wire systems. Responsible for closing accounts.
Oversight - as manager, ensure all input is 100% accurate. Deal with
questions from the Domestic Private Banking businesses which include
Custody, Investment Management and Trust; assure all cutoffs are met for
Money Market Fund trading.
Compliance - perform a compliance check on every request received
from the businesses using banking regulations. Signatures from the client
and from the Relationship Manager must be verified using HSBC in-house
systems (VI Client and Signature View applications). Verify client
callbacks are performed on any cash or asset transactions that are greater
than $250,000. Ensure appropriate personnel are signing off on requests.
Maintenance on clients' accounts must be requested only through direction
from the client.
Approvals - ensure the approval performance is utilized using the SEI
Customer Stratastation application for all disbursements, transfers,
receipts, and maintenance; wire approvals are performed through in-house
systems (HSBCnet and GPS).
Domestic Private Banking CIF Middle Office, responsible for staff of 2;
input all Private Banking Checking and Savings maintenance requests
received from the client to their accounts using the Customer Information
File system. Requests include name and address changes, product changes,
grouping (consol) changes, Relationship Manager and Service Office changes,
and account closings.
Oversight - as manager, ensure all input is 100% accurate. Deal with
CIF questions from the Domestic Private Banking businesses.
Compliance - perform a compliance check on every request received from
the businesses using banking regulations. Signatures are verified using in-
house systems (VI Client and Signature View applications). Callbacks are
required on client-directed account closings.
Investment Management Review, responsible for staff of 2; manage client-
directed trades with brokers.
Oversight - as manager, ensure all trading is entered accurately.
Staff works with outside investment advisors, and enters trades using the
SEI Trust Accounting System and the Prudential Platform.
PROFESSIONAL EXPERTISE
Software: Microsoft Office - Proficient in Microsoft Word, Microsoft
Excel, Microsoft Access
REFERENCES
James J. Krajewski Robert F. Ward, Consultant
Private Banking Information Technology Domestic Private Banking
Operations
1 HSBC Center, 17th Floor 1 HSBC Center, 17th Floor
Buffalo, NY 14203 Buffalo, NY 14203
Barney Agate, VP Barbara Caldwell, Trust Officer
Guardian Trust M&T Investment Management
Group
7 Hanover Square 716-***-****
New York, NY 10004
Joanne Faircloth, Custody Trust Officer Christopher Wenger,
Account Representative
Domestic Private Banking SEI Investments
1 HSBC Center, 17th Floor Wetlands 2
Buffalo, NY 14203 Oaks, PA 19456