Manager Microsoft Office

Linda S. Simpkins

** ******* **. *., ***** *H East Orange, NJ 07017 646-***-**** ***********@*****.***

PROFILE

Thirty years of Government Securities and Settlement administrative management experience;

Can meet demanding time goals: Able to pull together and manage all aspects of a complex project. Remain calm and work under demanding conditions; Ability to work creatively and effectively with staff; Good eye for detail; well organized;

Perceptive and sensitive listener: Skilled in assessing needs; Strengths in recognizing, analyzing and solving problems; Strong interpersonal and communication skills; experienced manager; ability to work effectively with CEO’s and high level staff.

WORK EXPERIENCE

Brown Brothers Harriman & Co 07/07 – 01/16 (New York Specialist Trade Settlement)

Mandatory/Voluntary Corporate Actions:

Responsible for mandatory/voluntary corporate actions custody functions related to securities for all company accounts,

Ensured that voluntary corporate actions are communicated timely/accurately to

the portfolio manager,

Helped with the assessment of the effectiveness of corporate action

controls/tolerances used in applying those controls,

Responsible for processing basic mandatory/voluntary corporate action events for the Global Markets; this includes the daily interpretation, monitoring, scrubbing, and notification of corporate action events,

Ensured procedures/processes are accurately documented and updated.

ADR settlements

Receives - Free via Courier:

Checked OFAC website for potential OFAC violations;

Checked Thompson Financial Securities Information Center (SIC) for certificate validity;

Sent instructions to Information Management (SMF) to set up security id’s as required;

Manually processed in Sonic;

Balanced reports against mail log;

Reviewed DTC and Financial Information Incorporated (FII) for possible corporate action data. Cleared to Corporate Actions New York as required.

Receives - Versus Payment Over the Window (OTW):

Reviewed certificate for negotiability;

Reviewed Sonic for turnarounds;

Verified if certificate is not registered in a U.S. Broker’s name, check Thomson Financial Securities Information Center (SIC) for certificate validity.

Deliveries:

Reviewed deliver queue for open trades;

Reviewed custody position inventory for registration code for withdrawal of certificates;

Processed withdraw from vault in Sonic;

Prepared delivery bills for all OTW and NSCC delivers – free and versus payment;

Accessed NSCC Envelope Settlement System function (ECSP);

Transmitted incoming proceeds form to GFT on OTW deliveries;

Reviewed all data for accuracy and clear to supervisor for signature;

Cleared certificates which require splitting or re-registration to Transfer Specialist for further processing;

Prepared correspondence for delivers which need clarification of instruction, client paperwork or certificate details.

Physical Transfer In:

Reviewed certificate or DTC for transfer agent;

Reviewed certificate for negotiability (includes Medallion Guaranty);

Reviewed pricing history for insurance;

Prepared check requests and review for accuracy;

Sent authorized check requests to GFT for check issuance;

Prepared transfer letters for courier items and memos for OTW transfers;

Processed entries in CAS Miscellaneous System (EC1H) for check offset.

DTC Transfer In:

Reconciled registration format for standard address display, i.e. name, street address, city, postal code, state or country and taxpayer id if required;

Entered required data in DTC’s Night Withdraw Data Collection (NWT1) function;

Processed DTC transfers in Sonic on the following business day.

Transfer Return:

Processed Pend Out and Pend In in TCS for de-restricted and newly issued clean certificate;

Generated security movement tickets in Sonic;

Prepared returns for deposit into DTC or vault.

DTC Deposits:

Reviewed DTC system for eligibility;

Applied Medallion Guarantee, Cede & Co assignment and NY State Tax Waiver to reverse of certificate or attached stock/bond power.

Department Proof:

Compiled debit and credit entries passed by Corporate Actions New York and Trade Settlement New York;

Recorded figures in department proof sheet;

Reconciled TCS entries passed by Corporate Actions New York and Trade Settlement New York against End of Day view in TCS On-Line System.

State Street Bank

(Formerly Deutsche Bank & Bankers Trust Co.) Operations Specialist (1987-2004) Promotion

Preparation of corporate actions/reorganizations;

Organization of physical deliveries (local and out-of town);

Processed trade settlement and clearance items for DTC;

Repo, Swap, DK & Round Robin Processing;

Prepared deposits and withdrawals for the Depository Trust Company;

Checked deliveries for correct customer instructions;

Liaison between the broker and account administrators;

Preparation of Commercial Paper items, receivables and deliveries;

Preparation of all time cards reporting to the HR Dept.;

Prepared volume reports on a weekly basis;

Prepared pay down sheets on Private Placement items;

Provided up-to-date account balance reports via Excel;

Coordinating back office functions with custodians;

Prepared client wire requests;

Supported manager in supervising four (4) employees assuring prompt and accurate; completion of all daily activities;

Corporate Actions;

Assisted with year-end audit and reconciliation.

Delivery Clerk (1986-1987) Promotion

Corresponded with account administrators;

Distribution of physicals securities to various paying agents;

Prepared, edited and completed all correspondence;

Provided administrative support for two senior managers;

Responsible for all aspects of inventory control.

SOFTWARE

DTC, Polaris (Government Securities Software) BONY System, Main frame, Safeguide,

Operating - Microsoft Office, MAC, Word Perfect, Outlook, Lotus Notes

EDUCATION/CERTIFICATE

Certificate: Global Anti-Money Laundering

Certificate: Global Sanctions Training

Certificate: Principles Compliance: Part 1 & 2

Notary: State of New York

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