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Microsoft Office Sales

Bronx County, NY
March 09, 2018

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Albert J. Abad

Cell: 917-***-****


Career Objective: Seeking a KYC analyst position with a respectable organization, to utilize 30+ years of analytical experience and excellent project management and administrative skills. I am able to take on a leadership role with the ability to resolve all funding discrepancies while ensuring a timely settlement with limited risk and cost to the Firm.


TD Securities New York, NY August 2010 – June 2017

Team Lead Operations Client On-boarding officer

Team lead, reporting directly to Client on-boarding group manager. Responsible for allocating all new client reference data to staff.

Subject matter expert for KYC process flow implementation into KYC platform (GoldTier).

Completed quality assurance reviews for all new clients as well as renewals for completeness and accuracy of the client record.

Through the GoldTier initiative, participated in building the system’s AML/Compliance documentation matrix.

Subject matter expert in proper documentation requirements for multiple entity types such as Registered IA’s, Broker-Dealers, Insurance companies, state agencies and various other counterparty types.

Liaised between AML and Compliance teams to solve any issues that may arise with regards to new clients, renewals as well as OCC mandates.

Participated in updating policies and procedures per for the reference data team.

Assisted in hiring, training and evaluation of Client On-boarding team

Responsible to ensuring settlement instructions fed properly into the downstream systems.

Subject matter expert in addressing system issues for multiple product systems, such as (Wealth scape) for equity trades, (Impact) for Fixed income, (Global EPSCIB) for Funding, etc.

Assisted in analyzing the daily exceptions report and addressed all trade breaks.

Conducted KYC review on all high, medium and low risk client’s irrespective of counterparty type.

Lehman Brothers, Inc. Jersey City, New Jersey July 1994 - Oct. 2008

Senior Analyst, Tri-Party Operations

Balanced, reconciled, and collateralized all of the Municipal, Corporate and Equity Tri-Party trades in an effort to fund the firm.

Provided intraday updates to the funding desk to maximize efficiency in trade allocations.

Pledged and released DTC collateral intraday manually or to Magic’s system to meet the various needs of the firm.

Analyzed complex client profiles and prioritized trades based on acceptable collateral types.

Developed and enhanced methods for tracking changes and balancing trades on a daily basis.

Reconciled security prices and rating differences internally and on the custodian bank’s system to potentially reduce funding costs.

Verified Commercial paper ratings that were updated by JP Morgan Chase.

Worked close with contract financing and the banks to ensure proper set up of accounts in our system as well as in the bank.

Created daily MIS reports for senior management.

Allocated Federal Reserve Term Securities Lending Facility trades.

Performed nightly closing of business trade balancing and algorithmic allocation of over $200 billion in trades.

Able to perform in an unsupervised capacity in correspondence with sales, trade support, and communication with all external contacts.

Lehman Brothers, Inc. New York, NY June 1989 - July 1994

Senior Clearance Analyst, Domestic Clearance Operations

Utilized various mainframe screens to monitor and facilitate trade activity and settlement.

Received and delivered via Depository Trust Company.

Balanced firm to daily DTC settlement.

Maintained customer safe-keep positions.

Handled reorganization notices for customer and firm inventory.

Produced failed analysis reports for sales force and traders.

Oversaw the clearance of institutional trades relating to commercial paper, government agencies, money markets, corporates, municipals, and ADRS.

Working knowledge of CONI and RIPS.

Processed 144A securities as well as foreign physical securities.

Assisted in all other aspects of Clearance Physical & PTC.

Worked closely with all other departments in the firm to ensure proper maintenance of all outright and repo activities.

Balanced end of day cash sheet.


Skilled in the following systems: Microsoft Office Suite, Right Fax, Global EPSCIB, Impact, Morcom, Prime OFAC, NFS -ARI, Loan IQ, Calypso, ION, GoldTier and the BONY BDC system, Dealogic, On-base, IBS Insight.

Knowledge of USA PATRIOT Act section 312 and section 326, BSA and SEC regulations, FINRA Rule 2111/SMMP, QIBS, FATCA, Dodd Frank, as well as various foreign regulatory institutions and regulations.

Excellent time management, multitask and reprioritization skills.

Detail oriented.

Excellent organizational skills.

Excellent professional communication skills (both written and verbal).

MTS System, Magic’s System, Chase BDAS System, ADP System, Excel, Word, Outlook

Education: University of Santo Tomas - Manila, Philippines

Graduated: Bachelor of Science in Commerce - Major in Business Administration

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