JP MORGAN 04/18 - 08/18
Tax Compliance Analyst
Daily correspondence with various banking teams on all commercial banking issues.
Working knowledge of various JPMorgan internal systems, Client Central, Document Information Management System, Taxport, IRS Website, and SharePoint.
Reviewed W8, W9, CRS forms, updated tax regulatory operations issues and risk management repository.
Experience in FATCA reporting and Irish Deposit Interest Retention Tax validation project.
Documented all client and banking team inquiries and requests on sharepoint tracking system.
Bank of New York Mellon 02/17 - 04/18
EFX Client Onboarding Analyst
Daily correspondence with FX sales teams (US, UK, ASIA) for all new accounts and existing bank clients.
Working knowledge of Bloomberg, FX ALL, 360t, Trading platforms.
Responded to inquiries for all new user set ups for various trading channels.
Acted as a liaison between clients and hedge funds for all new deal codes for various trading platforms.
Performed account remediation including the revision of documents and control agreements
Monitoring of account opening and client provisioning
Provided monthly metrics to senior management for new account activity.
Responsible for all day to day matters for the regulatory onboarding operations and Dodd Frank requirements for all international bank clients.
Escalation of all complex issues to the appropriate departments for resolution in a timely manner.
Citigroup Private Bank 09/12 - 03/16
Client Onboarding KYC Oversight Analyst
Performed the onboarding of clients for Citigroup Global Markets with the focus on trading products, Equities, Fixed Income, FX Derivatives.
Ensured sales and service teams abided by internal CPB polices and external regulations and controls (AML, KYC, Volcker Rule)
Daily review of compliance with account standards, Title and Address, Signers, Asset disposition and transfer fees, Account status, Tax certification, Entity documentation, Investment objectives, Supervisory approvals.
Periodic fiduciary reviews of closing and managed accounts and supported the pre and post acceptance fiduciary team as needed.
Daily maintenance and tracking of all tax forms (W8&W9) for managed account openings and recertification, logging daily tax team validation findings, communicating tax form deficiencies and expirations to sales and service teams.
Escalation on a periodic basis to senior management for supervision to ensure FATCA standards and requirements are met.
Interfacing extensively with high net worth LATAM banking teams that involve remediation projects for all expired tax forms and missing documentation.
Citigroup Global Custody/ International Trade Support Analyst
Responsible for all timely Fixed Income, FX Currency/Equity ADR processing in Citibank SEI internal system (Settlement& Clearing)
Daily monitoring and reconciliation of all failing and unmatched trading positions.
Strong working knowledge of Pershing NETX360 Trading system
Daily Correspondence with front office, Private Wealth Managers, various brokers and custodians to resolve any trade discrepancies
Mitigated risks and exposure for all foreign market activity.
Banco Santander, New York 02/11 - 08/12
International Settlements/P&S Specialist
Responsible for the accurate settlement of Equities and Euro-clear trades
Responsible for daily clean ups of fails COD and COR and balanced the in-house mode system.
Balanced entries submitted by trade support versus the bank and prepared fed wires for daily payments.
Responsible for setting up delivery instructions for customer trades.
Constant contact with trade support and traders on aged fails to avoid buy-ins.
Processed corrections for any discrepancies through ADP for troubled failed items
Balanced pair-off customers versus trading accounts and troubled trade support on any trade breaks.
Monitored firm’s web (GEM) systems for rejects and troubled their respective country.
Processed FX trades and new accounts through ADP and purged any new trades
Deutsche Bank, Jersey City, NJ 01/07 - 03/10
PWM Fails Management/Trade Support Consultant
Daily correspondence with brokers and custodians on pre-match and failing trade issues (ADRS and fixed income products)
Confirmation of all international settlement instructions with brokers to ensure timely settlement of trades in various markets (CA, DE, UK, IE, FR, BE, CH, NL, IT, ES, DK, SE and EUROCLEAR)
Working knowledge of DTC settlement process and FX payment /money market confirmation via (Chips Fedwire Swift) and provided timely resolution of all non-receipt of USD and Foreign currency payments.
Daily reporting to Front office and senior management on all outstanding, failing trade discrepancies
Provided cross training to the DB India team on Unmatched/Failing trades and on all external custodian failing trades.
Claims Control Analyst
Daily correspondence with custodian banks and private clients
Researched all client inquiries about claim issues in a timely manner
Working knowledge of various systems, DTC ADP, Gloss System (Euro clear settlements) and DB internal systems GEAC DB Comp
Provided extensive training for DB Mumbai for claims control process.
Goldman Sachs, Jersey City 06/06 – 11/06
Institutional Equities Trade Support/Fails
Provided daily maintenance in the post settlement process for equities, fixed income and convertible products
Directly assisted and provided resolution to all essential Institutional client inquiries, price breaks, commission adjustments, trade date and settlement date issues in a timely manner.
Established a professional relationship with the fails management and control team to acquire essential information to resolve open fail issues.
Updated team leaders with regard to the improvement of the reporting process of open aged failing items.
Confirmed trades with Private Wealth Managers and Prime Brokers.
Strong working knowledge of DTC settlement process system, and various other Goldman Sachs Trade Management systems, (Smartex, Spl, Gemr Reporting System)
Provided management with a daily reverse prime brokerage report.
Created/maintained materials for marketing department
Microsoft Office, ACT, ONESOURCE, DMS, NETXPro360, Alert, Global oasis, CIF, GOLDTIER, Liquidity Direct/FX Console
St. Francis College, Brooklyn, NY- Bachelors in Political Science