Quality Control Assurance

STEPHEN C. MINCHELLA

*** ******** **., *********, *.J. 08846

Voice: 732-***-**** / E-mail: *****@*******.***

CAREER EXPERIENCE:

**/**/** - */**/09 Settlement Representative, Morgan Stanley, Asset

Transfer Group ( Walsh Associates )

Account Transfer Services Department - Mutual Funds

. Processed Re-Registration letters from NSCC ACAT rejects, where

transferring requested shares from Customer Brokerage Accounts and

House accounts to the receiving Contra Broker were not processed.

. Prepared and presented the completed letters with accurate data to

the Mutual Fund companies. Monitored the status of each letter

daily to ensure the settlement of shares with the receiving Contra

Broker in an acceptable time period.

. Addressed and resolved follow-up issues with Contra Firms, Mutual

Fund companies, Internal Departments and Branch offices within

Morgan Stanley, regarding shares that did not transfer. After

confirmation through DST Vision, Advisor Central or a phone call

that the shares were transferred the related Mutual Fund Fails are

then closed.

1/04 - 9/30/08 Brokerage Service Representative, National Financial

Services, (Veritude, A Fidelity Co.)

International Settlements Department - Equities and Bonds (3/08 -

9/30/08)

. Status Pending and Failed Trades, Domestic and EuroClear, to assist

in the settling of trades.

. Booked Multi-Currency Trades for Correspondents without access to

the NFS Trade Application. Adjusted trade data as requested by

Correspondents to accurately reflect trade as booked at Local

Market level.

. Processed USD Wire Payments for settled trades. Informed Management

of pending wire payment items needing approval. This process also

involved assisting the Reconciliation Dept with researching inquiry

items.

Mutual Fund Transfers Department - Mutual Funds (8/07 - 3/08)

. Researched and resolved Non-ACATS Transfer out-of -balances using

internal break sheets. This process involved corresponding with

Fund Companies and Transfer Agents to obtain the related transfer

documents.

. Verified the origin of each transfer position through DST Vision,

Advisor Central, or with the Fund, utilizing internal Securities

database applications. As necessary, the Third Party that submitted

the Transfer request is contacted.

. The final process is the verification of the transfer documents,

including any follow up with Internal Operations departments, prior

to booking the transferred shares to the customers NFS Brokerage

account.

Client Services Department - Mutual Funds (12/06 - 8/07)

. Processed daily CDSC & Asset requests, via internal Web

application, DST Vision & Advisor Central. This process informed

the Correspondents the results of the CDSC fees prior to trading

Mutual Fund positions.

. Researched and responded to Correspondents Worthless Securities

requests in a timely manner.

Product Management Department - Mutual Funds (2/06 - 12/06)

. Processed daily CDSC & Asset requests for various share classes,

via internal Web application, DST Vision & Advisor Central. This

process informed the Correspondents the results of the CDSC

requests via BRIO Database interface with FBSI, prior to the

trading of Non Fidelity and Fidelity Mutual Fund positions.

. Assist department with scheduled Corporate Actions through quality

control of data input prior to trading.

Trade Corrections Department - Mutual Funds (1/06 - 2/06)

. Processed DST Vision & Advisor Central transaction documents from

daily Non-Fidelity Trade Oversight Report to distribute to Audit

Department for review. This process informed Management of any

potential correction issues.

Fail Control / Buy-In Department - Fixed Income (8/04 - 1/06)

. Researched and resolved Buy/Sell Fixed-Income DTC trades past

settlement date. Reduced financial exposure to the firm, and the

aged fail volume. Communicated daily with internal departments and

Contra Brokers to achieve these goals.

. Updated department MIS recap report daily for distribution to

Management. This report reflected variance/progress in resolving

past settlement trades by comparing prior day dollar amounts broken

down by type of Security.

. Processed ACAT reversals for fail to receive/deliver past

settlement date trades requested internally & externally.

. Issued Muni Close-Outs daily to Contra-Brokers, this involved

contacting the Contra-Brokers.

STEPHEN C. MINCHELLA (cont'd)

Page 2

P & S Department - Fixed Income (6/04 - 8/04)

. Contacted Brokers for verbal comparison of daily current Fixed

Income Trades (Municipal, Government Bonds, CD's).

. Updated Trade Engine to accurately reflect the verbal/written trade

comparison.

Mutual Fund Order Room - Mutual Funds (1/04 - 6/04)

Prepared, verified and submitted instructions via Email and Fax to Fund

Companies for processing of Non-Fidelity Mutual Fund 401K Share Transfers

for Networking and Omnibus Accounts. Verified accuracy of the completed

Share Transfers by the Fund Companies via Fund Company Websites and

Database clean-up.

. Processed daily CDSC Fee & Free Asset requests for various share

classes, via DST Vision & Advisor Central. Responded to

Correspondents via Database interface, prior to the trading of Non

Fidelity Mutual Fund positions.

9/02 - 11/03 Quality Assurance Representative, SBLI, USA. (

Consultant Project )

Quality Control/Proofreading of Individual Insurance policies for

registered and approved States. Compared the approved master policies

against policies formatted and printed from new software, for final review

and approval.

Payroll Representative, InterPay, Inc. ( Agency )

Daily fulfillment of appropriate payroll checks and related reports for

mailing or courier to employer for distribution.

Verified that any exception reports or special fulfillment requests were

processed accurately.

Benefits Representative, Maximus. ( Agency )

Process involved answering all incoming questions related to the

application process, and the product, to inform members of how to proceed

with Family Care benefits.

Pharmacy Services Representative, Medco Health Solutions. (

Training Program )

Answered calls to refill customer prescriptions to be processed and mailed

by automated Pharmacy. Responded to questions regarding coverage, benefit

status and general questions.

6/96 - 7/02 Dispute Resolution Representative, Providian Financial.

(6/01 - 7/02)

Detailed and accurate analysis, and decision making to resolve

customer/merchant Visa & MasterCard disputes in conjunction with Merchant

Banks. The process involved review of customer correspondence,

verification of account documentation, contact with Merchant Banks, to

submit requested for support documentation to Merchant Banks.

Check Management Representative, Providian Financial. (3/00

- 6/01)

Verified customer processing fees and deposits received to new account

information.

Daily balancing and depositing of these funds to initiate new credit cards.

Researched and responded to Merchant banks with support documentation to

resolve customer processing fee disputes.

Quality Control Specialist, Providian Financial. (5/97 -

3/00)

Quality Control of in-house fee-based & non-fee based customer letter

batches. Verified accuracy of component insertion, print quality, letter

text, content & format, using established criteria, before fulfillment.

Vendor data file preparation and Quality Control of daily and weekly

customer vendor letters.

Updated daily statistical data to "Vendor MIS" and "Quality Control MIS"

for review and distribution.

Print Services Representative, Providian Financial. (6/96

- 5/97)

Print and File management including batching and initial Quality Control of

in-house fee-based & non fee-based customer letters, before component

insertion and mailing. Update and distribution of "In-House Tracking

Report ".

SKILLS: Windows NT, Rumba mainframe databases, Microsoft

Excel/Word, Microsoft Outlook, and Intranet Applications.

EDUCATION: Rowan University, (formerly Glassboro State College) Bachelor

of Arts, Major in Communications.

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