Management Manager

Clifford H. Jackson

** ***** **** *********, *.Y. 10538, Home Tel. # 914-***-****,

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

Mutual Fund Accountant and Middle and Back Office Operations Specialist

with extensive experience administering and managing processes that support

portfolios, asset management, hedge funds and other areas of financial

services.

. Extensive compliance and regulatory reporting and onboarding

processes.

. Experience pricing all types of securities including, international

and domestic equity, fixed income, muni and money markets through the

use of Bloomberg, IDC, Reuters, Portia, JJ Kenny and other pricing

sources.

. Managing and posting general ledger, corporate action and dividend

entries into various portfolio management systems such as Premier,

Pam, Kondor, Portia, Geneva and Aladdin.

. Managed and executed trade support and trade settlements of

international and domestic short-term, equity and fixed income

securities through, DTC, Euroclear, and cedel and fed wire. As well

as investigating trade fails with broker counterparties.

. Updated all SMF and security set ups for various asset management and

mutual fund as well as hedge fund environments. Setting up the cusip

numbers, posting coupon entries and setting up issue dates as well as

pay schedules and resetting of coupon payments and proper coding.

. Confirmed settlements of domestic and international trades with many

counterparties and brokers.

. Reconciled many security, cash and position reconciliations for hedge

funds, mutual funds and asset management firms

Sumitomo Mitsui Trust Bank- Hoboken, NJ March 2014 to

September 2014

Global Settlements Department

Global Settlements Administrator/Consultant

. Responsible for daily trade settlements via swift messaging in the

Norwegian, Denmark, Switzerland, Sweden, Australian and New Zealand

Markets

. Processing the receipt and relaying of 548 swift messages detailing

the trade status of equity and fixed income securities.

. Settlement of trades via Global Plus custodian system and GTX of all

545 and 547 swift messaging confirming trade settlements

. 1940 Investment Company Act and 1934 SEC Act Financial reporting on a

semiannual and annual basis for the Sumitomo Life Portfolio and other

mutual fund clients, as well as accounts in the private banking

division.

. Daily P & L processing for hedge fund clients in the private banking

sector.

. Responsible for updating fail trade status from MT548 swift messaging

in Global Plus and informing relationship managers for the respective

markets, as well as the trade support and client servicing teams.

. Daily interface with the custodian banks settling trades via Euroclear

and GDS settlement processes.

. Interface with GCS ( Global Clearing Settlement) Processes as well

GSCC( Government Securities Clearing Corp) in the settlement of

government and fixed income bonds.

. Reconciliation and processing in Global Plus all client related

receivable and payable amounts via swift 900 and 910 messaging to

cover buys and sells in the aforementioned markets.

. Daily distribution of swift MT599, 395 fx transactions to the global

fx units as well as disseminating swift MT599 Corporate actions

activity to the corporate actions department.

. Responding to queries from the client serving, trust department and

tax re-claim area's involving custodian bank correspondence.

State Street Bank(IFS Division)- N.Y. N.Y. February 2013

to August 2013

Investment Management Operations Analyst/Consultant

Transfer Agent Dept.

. Processing all subscriptions, redemptions and transfer requests for

clients invested in hedge Funds.

. Daily use of ISS System to administer the transfer of moneys for

onshore and offshore clients through feeder accounts.

. Interfacing with clients who are major commercial and investment

banks receiving and analyzing subscription agreements, redemption

requests, trust documents as well as addendums to sub agreements and

W9 forms.

. Creation of new investor clients in ISS, ensuring that all AML and

compliance requirements and OFAC Reporting has been satisfied.

. Verification and analysis, as well as stamp processing of all

documents received and verification of authorized signatories.

. Processing of all wire transactions in and out of hedge funds as well

as verifying bank instructions in the form of ABA acct#'s, local agent

bank and acct. number, beneficiary's of the transactions and location

where the monies will be transferred to.

. Processed 1940 Investment Company Act quarterly semi-annual and

annual financial reports as well as financials for hedge funds

managed by JPM, Barclays and Morgan Stanley.

BCP Securities- Greenwich, CT October 2012

to January 2013

Settlements and Reconciliations

Operations Analyst/Settlements Administrator/Consultant

. Processing and confirming all Euroclear and DTC fixed income and

equity transactions with counterparties.

. Investigating trade fails for the Emerging Markets and Latin American

Trading Desks, and administering the pre-matching process of

euroclear settlements.

. Daily use of the Pershing Custody System, posting trades for

euroclear and DTC Settlements, as well as putting in Euroclear,

Clearstream/Cedel instructions in counterparty and client accounts.

. Confirming all euroclear transactions in Bloomberg with counterparty

as far as trade detail and euroclear and DTC Instruction. Working

directly with the traders to confirm trades and make sure that

compliance and regulatory processes are satisfied.

. Reconciliation of hedge fund client payable and receivable balances

with Pershing and counterparty websites.

. Responsible for monitoring all TRACE and FINRA and compliance

reporting with brokers and counterparties ensuring that positions are

reconciled on each side of the market.

. OFAC Processes for all transactions in jurisdictions related.

. Daily bond reconciliation on Excel spreadsheet of Pershing and

counterparty bond positions.

. Settlement of fixed income and government bonds through GSCC and GSC

clearing processes.

. Weekly bond and equity position reconciliation for trader client

accounts on a calendar year to date basis. Using Excel spreadsheets

and Bloomberg to verify the calculations

. Also processing broker settlement instructions in the euroclear and

DTC Markets on ALERT.

. Processing DTC Confirmations via Bloomberg and sending them to the

counterparty.

. Mandatory and voluntary corporate action processing on fixed income

and equity securities, including stock splits, tender offers,

reorganizations as well as mandatory calls and other processes.

Depository Trust Clearing Corp (DTCC)- New York NY

March 2012- to July 2012

Global Corporate Actions Dept.

Global Corporate Actions Administrator/Consultant

. Responsible for processing International and domestic corporate

actions in conjunction with the use of DTC terminals.

. Processing and validating all of the announcement details on mandatory

and voluntary corporate actions through the use of the WAVES Corporate

Actions System.

. Accessing class action documentation from legal entities as well as

consent solicitations from companies and transfer agents to advise

clients as to their options in these type of corporate action events.

. Administering all Put Tender options, mandatory and voluntary, on

corporate bonds using DTC terminal access to obtain expiration,

payable dates and rights to retain or tender client holdings.

. Responsible for all conversion processing of Corporate bonds to common

stock, cash or combinations thereof, detailing the conversion rate and

price of the underlying common stock and conversion detail.

. Extensive interface with transfer agents, investor relations areas,

extensive use of Bloomberg, Edgar, Telekurs, legal websites and

various other websites to obtain corporate action information.

. Processing all Cash and stock dividend detail as well as record, ex

and payable dates. Verifying and validating this information with the

transfer agents as well as the issuers.

Alliance Bernstein- White Plains, N.Y. October 2010-

July 2011

Trade Support & Settlements

Settlements Administrator/Consultant

. Responsible for quality control and oversight of all domestic and

international equity and fixed income settlements via DTC, Swift,

OASYS, Euroclear and GDS.

. Provided support for the transitioning of Alliance Bernstein

settlement system to settlement system in PUNE.

. Extensive use of OLRS and SSM Reporting and settlement systems

reviewing trade fails as well as primary and secondary custodians,

swift messaging, BIC codes and DTC identifiers and confirmations

. Detailed use of ALERT researching custodial and settlements

information as far as equity trade issues in domestic and various

international markets.

. 1940 Investment Company Act financial statement preparation for the

BOSS Accounts.

. Daily update of excel spreadsheets delineating quality control and

question and issue scenario's as far as the daily operations of our

settlements and trade support teams.

. Settlement of fixed income and government bonds through GSCC and GSC

clearing processes.

. Use of Bloomberg for corporate actions and the use of BOSS researching

trade issues and hedge fund client accounts.

. Month end KPI Reporting composing statistical data through the use of

Microsoft PowerPoint critiquing the trade support and settlements

teams through the use of pie charts, and administering a gradation of

their performance.

. Verifying corporate actions on equity and fixed income securities,

stock splits, stock and cash dividends, cusip changes and

acquisitions.

Bank of New York - New York NY October 2006 -

January 2008

Asset Management/Middle Office

Portfolio Administrator/Consultant

. Middle Office Trade settlement specialist, interfacing with trading

desks to process and confirm all fixed income, equity and corporate

actions transactions.

. Use of Aladdin Portfolio Management system to confirm Asset Back,

Government, corporate, mortgage back and other fixed income securities

with corresponding broker and counter parties.

. Daily reporting of transactions potentially related to OFAC guidelines

. Assisted and helped merge BONY Accounting and portfolio Management

system to Alladin.

. Managed the process and used Bloomberg in setting up in security

master, Muni's, corporates, commercial paper and government

securities.

. Attached S& P, Moody and Fitch ratings from Bloomberg and other

sources to all commercial paper, muni, corporate and fixed income

securities. This process occurred after reviewing the issue date,

accrual date, coupon and other characteristics of various products

that were being traded including hybrid securities.

. Investigated all trade fails with corresponding brokers involving

fixed income, corporate, FNMA's, GNMA's, Treasury Bills and equity

securities settling via DTC, Fed wire and other forms of domestic and

international settlement.

. Confirmed counter party Fx spot and forward hedge transactions

including foreign futures transactions and emerging market

transactions.

. Reconciled bank and position reconciliations for the fixed income and

short term desks in conjunction with custodians.

. Settled all of the aggregate net settlement of fixed income and equity

issues.

. 1940 Mutual Funds Act Quarterly, semi-annual and annual reporting for

mutual fund clients.

Viking Global LLP - Greenwich, CT June 2006 - July

2006

Portfolio Administrator/Consultant

. Trade support specialist for settlement of domestic and international

equity trades working directly with the trading desk.

. Managed the use of Access database in reconciling daily equity and

bond trade position differences between the executing and prime

brokers

. Managed collateral management of OTC and derivative trade products

. Uploading all trades to eight prime brokers and reconciling P&L on a

daily basis detailing collateral exposure

. Daily correspondence with prime brokers and traders in the settlement

of equity and fixed income securities

GlobeOP Financial Services - Harrison NY June 2004 -

May 2006

Associate

. Managed the servicing of Hedge Funds such as Precept, Putnam, Aslan

and FiveMile Housatonic Portfolio's.

. Liaison and interfaced with the Investor relations group documenting

and processing all subscriptions and redemptions for Hedge Funds

. Daily input into Kondor Portfolio management system of cash flows,

repo's, swaps, equity settlement and domestic and foreign government

acquisitions.

. MBS Allocations executed through Broad ridge and factor updates on

TBA's

. Extensive use of Geneva Accounting system.

. Reconciled daily cash and position reports, as well as mutual fund

accounting and 1940 Investment Company Act Reporting.

. Reconciling collateral statements of repo's and reverse repo

transactions

. Interfacing with Salomon Brothers Citigroup the custodian for the

portfolios, accessing daily cash and securities reports from their

website to administer the reconciliation process.

. Daily input of margin call movements between the repo, Primary broker

and derivative accounts.

. Interfacing with the CSM group setting up bonds and options in the

Kondor System

. Daily pricing of bonds, foreign currencies, equities, and options.

Lord, Abbett & Co. - Jersey City, NJ April 1999 -

May 2004

Trade Support Specialist/144A Admin/Corporate Actions Pricing

Specialist( Mandatory & Voluntary corporate Actions)

. Processed partial calls on Municipals, Stock Splits on Equities, and

mergers.

. Managed fixed income portfolios and trade support and worked directly

with the trading desks in the Domestic, international and emerging

markets.

. Settlement of all equity, fixed income, money market and cash trades.

. Executed warrants, rights, tender offers.

. Liaison to brokers, custodians, transfer agents and traders for

institutional and mutual fund portfolios.

. Managed Trade settlements involving corporate bonds, preferred, high

yield securities and other fixed income products.

. Executed all corporate actions involving fixed income products

including conversions and posting in Portfolio Management System (PAM)

of all high yield and convertible bonds.

. Pricing of equity, corporate bonds, municipals, government bonds and

foreign currencies. Using several vendors such as Interactive Data,

Bloomberg, JJ Kenney and other sources to determine closing bid and

mean quotes on the various securities.

. Reconciled Monthly assets of institutional and mutual fund portfolio's

between Pam and the respective custodians.

. Managed all legal and 144a Securities registrations. Extensive

correspondence with issuer's, in-house and outside counsel for the

issuer as well as transfer agents.

. Composed representation and other legal documents to satisfy

securities registration requirements.

. Executed corporate governance issues involving proxy solicitation and

administering responses to Board of Directors meetings via ISS.

Bank of Switzerland (UBS AG) - New York, NY

July 96 - Dec. 98

INVS/Private Banking Division - Senior Portfolio Accountant/Administrator

. Liaison between marketing officers, portfolio managers, custody

settlements, sub custodians and broker dealers.

. Administered and processed all transactions into Premier and Portia

Systems on behalf clients in the private banking sector.

. Managed portfolios in excess of one billion dollars, reconciling

all security and dollar differences between Premier and Chase

Manhattan.

. Mutual fund accountant for equity and fixed income portfolio's,

with daily NAV Calculation.

. Mutual fund and sweep process manager for thirty funds in excess of

two hundred million dollars. Administered investments into these

funds on behalf of our clients and reconciled Premier and vista

fund differences.

. Composed subscription agreements with international "off-shore"

funds for many of our clients.

. Reviewed and audited month-end financial statements with the use of

Access Database.

Signet Financial Services - New York, NY May 93 - July

96

Blanchard Group of Funds - Investment Administrator

. Managed international and domestic trade support (equity, fixed

income and derivatives).

. Detailed calculation and review of net asset value of our mutual

funds.

. Compliance Reporting as far as NSAR's,Annual and Semi-annual

reporting, and 1940 Investment company and SEC 1934 act regulatory

compliance reporting.

. Executed multi-currency operations and cash management

transactions. Portfolio reconciliation's with sub-advisors and

performance measurement calculations on a daily basis.

. Administered global settlements, extensive client reporting,

portfolio composition, expense schedules, broker and portfolio

manager correspondence, and administered trade detail to custodian

banks.

Other experience:

OCE Information Technologies- N.Y. N.Y.

Oct 2008 - Oct 2009

Commercial Sales Representative

. Responsible for selling and processing requests for commercial

printers, copiers, fax and MFP Equipment.

. Responsible for teleprospecting between 300 to 500 clients per week.

. Daily on site visits to new and existing clients

. Servicing customer base of 400 present and future clients with daily

record keeping with the use of Excel spreadsheet updates.

. Daily updating and record keeping of client portfolio's through the

use of OASIS Data base.

. Interfaced with financing division in order to organize and complete

credit applications, purchases and buy-outs for our clients.

. Responsible for telemarketing and client servicing from mailings to

periodic visits to our client base.

SKILLS:

. Microsoft Word, Microsoft PowerPoint, Excel, Access, Works,

Professional Write, Premier, Portia, DST, Pam.

EDUCATION:

. B.A. Political Science and Sociology, State University of New York at

Buffalo

. Cum Laude Graduate

References will be supplied upon request.

Contact this candidate