Customer Service Representative

YOLANDA RUDOLPH

Chicago, Illinois ***** * *** – *12.8146 * *******@*****.***

- SUMMARY-

Self – motivated Finance Professional with proven combined experience as Customer Service Representative and Relationship Representative in Equities and Fed. Interact effectively with personnel at all levels within the organization and brokerage community. Recognized for the ability to determine priorities, schedule work flow and meet critical deadlines. Committed to internal and external customer satisfaction, respond promptly to inquiries and requests.

Responsible for monitoring a conglomeration of accounts totaling over $200 billion in assets from Fortune 500 companies and other high profile clients.

– PROFESSIONAL EXPERIENCE –

THE NORTHERN TRUST, Chicago, IL

Analyst/CPOS-WMTS-Distributions/Gifts 2016-Present

Gifts-Facilitate the transfer of securities through several methods for gifts to charities and individuals

Unitrust-Valuate accounts quarterly & annually; update payments to beneficiaries

Unitrust-Review valuations processed by other team members

DAF-Donor Advised Fund -Process cash transfers and submit grant recommendations

Train partners on Gifts and Unitrust

Provide assistance with issue resolution for front office and the leadership team

Research and resolve exceptions

Assist and support partners and the leadership team whenever needed

Securities Technical Coordinator 2006-2016

Physicals Securities Team

Researched and assigned faulty exceptions to the team and assisted with resolution.

Distributed work to the team; proofread certificates, bonds and notes for accuracy and verified and approved wires, PST's and OIT's.

Prepared and distributed management reports that are a snapshot of previous day statistics.

Performed internal audits to ensure that all activity was processed within policies and guidelines.

Communicated with internal partners, DTCC and Transfer Agents.

Deposited physical certificates for custody/book entry.

Checked registered holders and of certificates using OFAC/SIC Systems.

Processed saving bonds, corporate actions and transfer exhibits.

Inside Trade Relationship Representative

Effectively interacted with the various trade processing teams to ensure accurate and timely settlement of security transactions.

Managed conflicting priorities and multitask functions in a fast-paced team environment.

Responsible for effective communication with team members, relationship team and partners to ensure missing trade information was received and processed in a timely manner.

Identified problem trends, efficiency enhancements, and making recommendations for process improvements.

Daily collaborated with investment managers regarding client account activity and informed managers of any exceptions and proposed steps for resolution.

Used intraday reports to investigate and correct errors that could impede settlement.

Cross trained on other functions to develop expertise and to provide coverage as needed.

Used analytical skills to research and resolve exceptions and prepared correcting entries including reversals and rejects.

Assisted manager in updating policies and procedures.

Prepared status reports and volume analysis for the unit.

YOLANDA RUDOLPH 773-***-**** *******@*****.*** Page 2 of 2

Inside Trade Relationship Representative, Continued

Trained new staff on Northern proprietary systems, including setting-up trades, DTC systems to verify brokers pending securities, how to research pending trades and to check security positions.

Responded and investigated all internal and external clients’ inquiries.

Audited security action transactions such as sell-fails, reversals, trade collateralization, and options ensuring resolution and compliance with bank procedures.

Monitored exception resolution ensuring corrections were made within appropriate time frames.

Responsible for managing the workflow of six team members.

CHICAGO STOCK EXCHANGE, Chicago, IL 1998-1999

MAX Customer Service Representative

Researched and resolved trade and price discrepancies canceled and opened orders, verified status via phone and/or terminal.

Served as a liaison between order room personnel and floor members.

Researched status to ensure MAX orders received execution when entitled.

Verified cancellations and that specialist properly handled cancel/change orders not found.

Provided information and documentation to surveillance and/or floor officials to resolve floor disputes.

Accurately processed daily ex-dividends and stock splits utilizing VAX terminal.

SCUDDER KEMPER INVESTMENTS, Chicago, IL 1990-1998

Trader Assistant/Small Order Clerk (1990-1998)

Assisted five traders in Equity Department; interacted with brokers; investigated and resolved Equity trading discrepancies between trading desk and back office operations.

Executed orders for 10, 000 shares and under using dot machine.

Gathered and relayed research information from multiple brokerage firms to Equity Traders.

Tested new market data and mainframe systems.

Complied and distributed overview of daily trading activity and open balances to Portfolio Managers and Analysts.

Verified staff’s personal transactions to ensure code of ethics compliance.

Obtained security prices for Mutual Funds Accounting Department.

- EDUCATION -

ROOSEVELT UNIVERSITY, Chicago, IL Bachelor of Science – Finance

-TECHNICAL EXPERIENCE-

CISC SIC PBS STS OIT PST OFAC

-PROFESSIONAL RECOGNITION-

Gold Celebrate Great Award

Northern Trust Awards

Medallion Award

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