Management Customer Service

Kimberly C. Bent

************@*****.***

*** ******** **. #**, ******, NJ 07050 • 973-***-****

QUALIFICATIONS SUMMARY

10+ years of Buy-Side Investment Management experience spanning Mutual - Institutional - Hedge Funds and Wrap

Accounts demanding strong organizational, technical, and interpersonal skills. Confident and poised in interactions with

individuals at all levels. Professional appearance, strong work ethic and highly motivated. Detail-oriented with the ability

to work in high-pressure, fast-paced environments. Qualifications include: Middle Office Trade Support Management, Staff

Performance Review, LVTS Support & Training, Customer Service, New Fund Launches, Transfer-In-Kinds, Custodian

Conversions.

RELEVANT EXPERIENCE

• Oversaw daily Trade Support functionalities including: resolution of trade discrepancies, amendment processing,

review of trade capture, execution upload to Accounting system, accurate trade feed to custodian banks & prime

brokers, broker security allocations via Oasys, New account Set-up in all systems, New Broker Set-up in all

systems, New Security Creates in Trading System, ALERT maintenance, Domestic & International Settlement,

DTC Affirmation, SWIFT Messaging.

• Supported Equity securities including: Domestic & International, Derivatives, Treasury Bills, and Spot FX deals.

EMPLOYMENT HISTORY

AMERIPRISE FINANCIAL (formerly J&W SELIGMAN & Co.), New York, NY 8/2007 -

5/2009

Lead Business Analyst

• Supported LVTS Trading Application and Electronic Trading connections for portfolio managers, traders, and

investment operations group with approximately 149 portfolios and $19b in assets under management for US,

Europe, and Asia Markets.

• Directly involved in the Longview 2000 to LVTS OMS upgrade including test case preparation, UAT & QA testing,

data collection and analysis, training and application maintenance in accordance with financial guidelines and

regulatory procedures.

• Obtained business requirements from business and system users; performed UAT & QA testing on all business

requirements and report enhancements; wrote specifications; created report mock-ups; wrote and modified stored

procedures using SQL for Sybase; created database tables; documented new processes and procedures.

• Participated in the LVTS to Charles River conversion; Received Charles River training and provided support to the

Traders and Portfolio Managers during the transition period.

• Administered LVTS user training to all investment and operations staff.

QUANTITATIVE MANAGEMENT ASSOCIATES, LLC, Newark, NJ 9/2001 – 8/2007

Associate Manager – Middle OfficeTrade Support (7/2005 – 8/2007)

• Managed and provided leadership to direct reports in Middle office trade support operations.

• Provided cross-training for backup support; maintain staff scheduling; conduct annual employee reviews.

• Created and maintained Trade Support Standard Operating Procedures in compliance with Sarbanes Oxley.

• Worked with internal departments and external clients on critical projects and new initiatives.

• Directly involved in the PMIS to Eagle Star Accounting system conversion including test case preparation, UAT &

QA testing, data collection and analysis, training and application maintenance in accordance with financial

guidelines and regulatory procedures.

Team Lead/Supervisor – Middle OfficeTrade Support (5/2004 – 7/2005)

• Supervised, trained, and tracked personal development of direct reports within trade support operations.

• Oversaw daily Trade Support functionalities including: resolution of trade discrepancies, amendment processing,

review of trade capture, execution upload to Accounting system, accurate trade feed to custodian banks, broker

security allocations via Oasys, New account Set-up in all systems, New Broker Set-up in all systems, New Security

Creates in Trading System, ALERT maintenance, Domestic & International Settlement, DTC Affirmation, SWIFT

Messaging.

Senior Operations Associate – Middle OfficeTrade Support (9/2001 – 5/2004)

• Supported five traders and twelve portfolio managers on a quantitative desk with over $22b in assets under

management comprised of domestic and international equities and futures within Mutual, Institutional, and Hedge

Funds.

• Provided data integrity check between portfolio management and trading systems; daily report distribution; trade

discrepancy resolution including amendment processing; end of day trade processing reconciliation for accuracy; ad

hoc portfolio rebalance requests; systems training and new product launches.

MERRILL LYNCH INVESTMENT MANAGEMENT, New York, NY 1/2001 – 9/2001

Senior Equity Operations Specialist

• Supported seven traders in the Merrill Lynch Quantitative Advisors investment group with approximately 45

portfolios using the Merrin MacGregor Trading System.

• Insured adequate trade discrepancy resolution; domestic and international trade settlements; domestic and

international corporate action processing; process and confirm FX and Futures transactions; instruct future variation

margin movement.

• Corporate action processing included: Cash & Stock Mergers, Spin-offs, Stock Splits, and Dividend Reinvestments.

• Served as primary operations liaison between Custodians, Brokers, and Fund Accountants.

PRUDENTIAL GLOBAL ASSET MANAGEMENT, Newark, NJ 6/1998 – 12/2000

Senior Equity Operations Specialist (4/2000 – 12/2000)

• Supported eight portfolio managers and three traders in the Prudential Quantitative Management investment group

with over 65 portfolios and $35b in assets under management.

• Coordinated daily report distribution; trade discrepancy resolution including amendment processing; execution

upload to Accounting system.

Equity Operations Representative – Value/ Global/Growth (6/1999 – 4/2000)

• Supported five traders and thirty-two portfolio managers on an active desk with over $22b in assets under

management and daily volume exceeding 550 trades comprising $115m in domestic and foreign equities.

• Provided data integrity check between portfolio management and trading systems; daily report distribution; trade

discrepancy resolution including amendment processing; end of day trade processing reconciliation for accuracy; ad

hoc portfolio rebalance requests; systems training and new product launches.

• Served as primary liaison between US and London trade support teams.

Portfolio Accountant (6/1998 – 6/1999)

• Provided customized daily cash reports to equity portfolio managers and traders.

• Performed and maintained daily cash reconciliation and Excel macros for 16 multi-currency portfolios.

• Reconciled weekly and monthly foreign and domestic custody proofs for share and market value discrepancies

including any share or price differences causing a NAV or Basis Point impact.

EDUCATION & TRAINING

Keller Graduate School of Management of Devry University, Oakbrook Terrace, IL 4/2003 – 8/2005

M.S. Information Systems Management

The College Of New Jersey, Ewing, NJ 9/1994 – 5/1998

B.S. Concentration in Finance, Minor Economics

Actuate e.Report Designer Professional Version 9, Woodbridge, NJ 3/2009

Sybase: Fast Track to Adaptive Server Enterprise 15.0, New York, NY 11/2007

QUALIFICATIONS & SKILLS

Contact this candidate