Senior Broker Transfer Representative

SHEELA J. THOMAS

**** *********** ***, ****** ****, TX 76262 - 720-***-**** (C) - **************@*****.***

Summary

Skilled financial professional with 12 years of Brokerage Operations and 8 years of secondary

marketing in mortgage backed securities experience. Back-office operations expert excelling at

interfacing with team members at all levels to meet and exceed organizational goals. Operates

well in a highly-competitive environment in which leadership skills are the key to success.

Highlights

Goal-oriented Analytical

Reliable Inspiring team leader

Excellent communication skills Excellent time management skills

Flexible People-oriented

Accomplishments

Created strategies to develop and expand new procedures. Successfully trained new Broker

Transfer operations specialists.

Experience

Curian Clearing LLC Jackson National Life March 2004 to July 2014

Senior Broker Transfer Associate

Denver, Colorado

Responsible for incoming/outgoing transfers of client assets via ACATS and non-ACATS

procedures. Review and approve transfers in compliance with NSCC and SEC rules and

guidelines. Ensure departmental compliance with Curian Clearing procedures, New York

Stock Exchange Rule 412 and other governing agency regulations. Provide support to

internal and external sales managers with issues related to the transfer of brokerage

accounts. Handles complicated and escalated issues from Care and advisors. Experienced in

daily settlement of brokerage account transfers. Team Lead support for all Broker Transfer

functions. Provide overview of Broker Transfer to high level management, periodic

presentations to Curian Care Team. Project lead for the ACAT Shorten Cycle. Implemented

the SIC process for verification of possible hits for physical certificates.

Aurora Loan Services/Lake Shore Staffing February 2003 to August 2003

Funding Analyst

Aurora, CO

Conducted comprehensive review of closed mortgage loan files submitted to investors for

purchase. Certified all documents are completed properly and comply with state and federal

laws and regulations.

Merrill Lynch January 2000 to August 2002

Funding Administrator/Broker Transfer Rep

Englewood, CO

Responsible for the timely initiation and verification of high net worth trust/retail account

transfers from and to other financial institutions. Ensured departmental compliance with

Merrill Lynch's procedures, New York Stock Exchange Rule 412 and other governing agency

regulations. Thorough knowledge of margin, options, mutual funds, limited partnerships,

government issues, and foreign securities in order to complete transfer of assets. Monitored

daily work assignments to ensure accounts are processed to standard procedures. Reviewed

transfer instructions from Trust officers and receiving firms to reduce exposure and or

liability to the Firm. Supported team members by accepting additional processing volumes

during peak processing periods developed working relationships with representatives from

other firms to improve the transfer process. Extensive document/account review,

processing and verification, follow-up for problem resolution with other financial

institutions, other Merrill Lynch operating area.

Hewitt Associates May 1997 to March 1999

Benefit Consultant

Lincolnshire, Illinois

Presented medical, dental, 401K, pension, separation and retiree benefits to clients. Liaison between managed care, medical offices, clients and Hewitt to resolve any and all discrepancies regarding benefit coverage's and claims. Liaison between union management and participants, setup retiree benefits and modeled retirements. Counseled employees for annual and mid-year enrollment, modeled services for perspective clients. Trained new employees and ensured performance standards were met for company goals. Resolved

payroll, billing and claim issues.

PNC Mortgage Bank September 1991 to December 1995

Senior Staff Coordinator

Vernon Hills, Illinois

Coordinated the daily workload for the Clerical assistants, senior assistants and Specialists to insure that mortgage loan documents are in compliance with GNMA/FNMA rules and regulations. Performed audits on staff's and temporary employees in order to monitor the quality of work and to identify possible areas of improvement. Assisted management in preparation of monthly reporting package, performance evaluations, and special projects, conducted staff meetings, delegated responsibilities among staff and insured deadlines were met, hired and trained new employees. Worked with management to update training modules for various functions within department. Liaison between Mortgage Bank, Mortgage professionals and GNMA to resolve any document discrepancies/issues.

United Bank of Denver July 1988 to August 1991

Mortgage Pool Account Specialist

Denver, Colorado

Ensured loan documents are in compliance with GNMA/FNMA (Government/Federal National Mortgage Association) rules and regulations. Billed and Prepared analysis statements for customer accounts. Suggested new rate changes in accordance with market fluctuations. Cross-trained with security vault representatives on various safekeeping responsibilities.

Interviewed new applicants and trained new employees. Troubleshooter for a special conversion project to edit loan documentation process in Minneapolis, MN. Established good working relationship with mortgage companies, bank officers, attorneys and co-workers.

Education

Rose State College

Basics: Business

Midwest City, OK, USA

Coursework in Business

Tarrant County Jr College

Basics: Business

Ft Worth, TX, USA

Coursework in Business

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