Customer Service Front Office

Michele L. Brady

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

Tel: 973-***-****

Middle office professional with 17 years of experience in prime brokerage/trading operations seeking an associate position where I can ensure the highest level of client services and operational support.

Proficient with Microsoft office

Excellent written and verbal communication skills

Ability to multitask in a fast pace, high volume environment

OBJECTIVE

SUMMARY OF

QUALIFICATIONS

EXPERIENCE UBS WEALTH MANAGEMENT, Weehawken, NJ,

Trading Operations Support Analyst-Consultant 08/17- 03/18

Liaison between Front-Office and other departments (Branch operations, Money Manager etc..) in solving daily operations issue

Notify Front Office immediately in case of any discrepancy in a position in the internal system that could lead to uncontrolled risk.

Transaction processing, Booking and reporting of all trades executed by the Front Office desk/Traders

Providing Level 1/Level 2 support by responding to reports of problems via Phone and E-mail

Continually develop product and system knowledge, to ensure processes and controls are in place to minimize operational, settlement and market risk

Allocate institutional orders to client sub accounts

Process post trade date corrections and cancel / re-bills.

Work with back office to actively monitor settlement exceptions, ensuring timely settlement

Act as a contact for Institutional traders regarding billing, settlement discrepancies and trading errors

Coordinate Buy-in and Sell-out processes between traders, operations, and clients.

Coordinate with new accounts group to open and maintain Institutional client sub-accounts

UBS WEALTH MANAGEMENT, Weehawken, NJ,

Operations-Alternative Investments- Consultant 08/14- 07/17

Execute subscriptions, redemptions and transfers in the firm’s private placement funds (hedge fund, fund of funds, managed futures, private equity)

Enter buy, sell, & cancel orders in various trading systems

Confirmed on a monthly basis for all trades to be executed had the proper FATCA W9/UK cert forms on file

Timely and accurate settlement of executed trades and cash transactions

Resolve daily trading discrepancies with fund administrators and brokers

Position and cash reconciliation with fund administrators

Manage the operational relationship with fund managers, fund administrators and brokers

Reviewed ultra-high net worth client accounts for any indication of Indicia

Completed several FATCA remediation projects to ensure all the proper FATCA required documents were on file as well as required for any third party funds

UBS WEALTH MANAGEMENT, Weehawken, NJ

Operations- Alternative Investments 11/03- 10/13

Catered to high net worth and ultra-high net worth clients, within our 3rd party and proprietary hedge funds by making sure paperwork received was in good order.

Reviewed and processed Investor Applications, Redemptions, and Transfers forms for Public and Private Fund offerings. Worked with clients and the field to cure document deficiencies.

Determined eligibility for clients investing in Hedge and Managed Futures Funds.

Provided excellent customer service to Financial Advisors, Customer Service Associates and Fund Administrators.

Exceptional team player

Detail oriented; required consistent performance in order to meet the monthly trade deadlines.

Executed over 600 trades monthly involving subscriptions, redemptions and transfers into various funds.

Balanced trade totals of over 400 trades and coordinate month end closing with fund administrators.

Monitored the process of paying sales commissions to Financial Advisors.

Serviced Financial Advisors and CSA’s with various questions regarding paperwork, deadlines, and any problems they may be encountering.

Assisted both Financial Advisors and CSA’s on how to use UBS' automated subscription system. Questions would vary on how to use the system, problems they were having such as not being able to move forward, getting errors when approving application as well as providing technical assistance when navigating through the system.

Documented all incoming calls averaging 25 to 60 calls per day. Provided management on issues and topics. Data was used for management to review issues, staffing, and action needed.

UBS WEALTH MANAGEMENT, Weehawken, NJ

Managed Futures – Fund Admin 7/97-10/03

Reviewed ongoing Due Diligence for over 25 Managed Futures Funds.

Managed department project list on a weekly basis and recorded any updates and or new projects

Worked with Discretionary Account Committee to approve discretionary accounts for Futures investments. Upon receiving account details, information was provided to counsel and either approved or denied.

Prepared monthly revenue reports for management to review

Processed trailing commissions for Financial Advisors over several million dollars

Created various spreadsheets for General Partners on monthly basis such as closing spreadsheets for subscriptions, redemptions and transfers

Maintained inventory for prospectus's for all funds. Worked with outside vendor is additional inventory was needed

Responsible for wiring funds for assets raised to General Partners

Executed trades for Financial advisors for several hundred accounts on a monthly basis

EDUCATION Verona High School

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