Management Project

NaToya Fuller, ****@***.***, 708-***-****

EXPERIENCE

Heitman (Real Estate Investment Management)

Public Securities

Trading Administrator (Contractor/Temp) 2015- Present

Duties and responsibilities include:

Work with all parties involved to ensure the timely and accurate settlement of all trades

Work with global trading desks to ensure that the cash is in line for all accounts managed

Ensure that all trade files are processed and sent appropriately at the end of the trading day

Reconcile trades to broker confirmations at the end of the day for our Japanese clients and send reconciled trade report to client daily

Work with Portfolio Management team to ensure that all applicable Proxies are voted timely and in line with policy

Coordinate the processing and recording of all voluntary and mandatory corporate actions

Assist in the preparation of monthly and quarterly reports for distribution to clients and or their trustees

Track and resolve all trade errors.

Jump Trading, LLC

Trade Support & Clearing Operations

Equity Clearing Analyst 2013-2015

Duties and responsibilities include:

Source and process locates to facilitate short sale trading activity for the firm, which includes verifying availability of easy to borrow, hard to borrow, and threshold securities. Apply locate share allocations amongst trade groups according to previously set hierarchy based on PNL. Contact prime broker and stock loan counterparty with management service level agreements (MSLAs) for additional requests and market information surrounding securities.

Review and manage self clearing DTC settlement projections as part of portfolio finance management. Ensure that any projected sells or fails are covered with stock loan borrows, buy cover, or long buy positions.

Reconcile CNS fail control account to manage compliance of Reg 204 and RegSho.

Monitor CNS and other settlements throughout the day in DTC and ShadowSuite.

Communicate and process cash and stock dividends/splits corporate actions.

Process and reconcile end of day DTC and NSCC entries.

Communicate to Accounting the actual end of day settlement figures.

Confirm FX and metal net settlements, give up and rolls with brokers.

Confirm and process Futures broker trades

Northern Trust Hedge Fund Services – (Omnium/Citadel Solutions)

Global Fixed Income & Clearing and Settlements

Second Vice President 2012-2013

Duties and responsibilities include:

Develop, test, and implement new SWIFT settlement locations across in all markets (NA, EMEA, and APAC) for all custodians of 3rd party clients. Effectively communicate with IT during the user assessment. Identify all applicable code development for the various SWIFT tag messages.

Manage the daily trade processing of trade settlements by 3rd party clients in production

Assist in the development of a scalable, controlled and transparent settlement process.

Liaise directly with clients to onboard new client business by establishing SWIFT connectivity and trade processing solutions to meet their settlement needs.

Accurately define business requirements for IT projects and enhancements for internal and external system applications.

Business Unit Control

Second Vice President 2011-2012

Duties and responsibilities include:

Daily P&L Production and Reporting for each of the 3rd party businesses

Monitor Daily P&L Estimate process

Monthly Price Testing of all investment positions

Monthly FAS157 leveling

Interact with clients to resolve P&L estimate vs actual differences on investment positions such as options, credit default and interest rate swaps

Interact with middle office and Knowledge Management for trade setup and booking

Work directly with external auditors to ensure accurate valuation

Consistently look to streamline and automate the reporting and price verification process with the use of technology

Global Clearing and Settlements

Settlements - Associate 2010-2011

Duties and responsibilities include:

Work with PF Desk, MOTS, CSEC Client Service, Counterparties to ensure timely settlement of all activity

Correspond with Counterparties and internal groups to validate failing trades

Balance internal accounts to external clearing systems (ie NSCC, DTC, FED, etc)

Manage trade comparison for ID, RTTM, NSCC trades

Compile value adding metrics for trend analysis and system performance evaluations

Participate in group projects and issue resolution that are related to the team's management of Citadel Investment Group’s self clearing/custody clearing businesses

Stock Loan Operations – Associate 2007-2010

Duties and responsibilities include, but are not limited to: Manage all processes related to daily stock loan settlement:

oContract compare with counterparties

oMark to market pricing

oreturn of borrowed and loaned securities

onew stock borrow and loan activity

oLoanet and DTC system balancing

Assist with the fee/rebate processing

Track and monitor contracts that are hedged with the OCC (Option Clearing Corporation)

Monitor credit limit threshold with all Stock Loan counterparties

Work with stock loan counterparties in completing the quarterly audit confirm process

Act as liaison between Portfolio Finance Desk and counterparties to resolve breaks and ensure timely resolution and settlement.

Work on group projects to enhance manual processes and aid in developing new procedures as the business grows.

Perform other related duties as required

Federal Home Loan Bank of Chicago – Financial Information

Special Projects and Systems Implementation - Project Coordinator 2005-2007

Responsibilities included assisting in the user support automation projects from project initiation through detailed analysis, implementation, testing, user procedure writing, user training and finally successful implementation into the user environment. This included the following responsibilities:

o Provided detailed support analysis, workflow analysis, requirements definition, project scope and specification documents for projects.

oPreparation of project plans, network diagrams, and periodic communication and presentation of project status to original requestor and management.

oEstimated project activities, review/revision of cost/resource estimates, and in the creating of plans for user acceptance testing.

oReconNet and AssureNET software - Design reconciliations and implement phases of the project, providing recommendations on requirements and direction on issues. Manage UAT processes.

oPreparation of training manuals and in the development for the completion of the user test plan and acceptance test criteria.

oDeveloped the policies and practices which surrounded systems.

oDetermined and obtained necessary tools, equipment, and non-people resources to perform the tasks in the project plan. Coordinated with management regarding such items needed as hardware allocation, test regions and any additional resources.

Simplified accounting job function.

Created procedures from accountant user perspective.

External Reporting - Advanced Accountant 2004-2005

External Reporting for the Investment Portfolio included the following:

oOriginal Face – Par Amounts compared to clearing agent for the banks Mortgage Backed Securities, Collateralized Mortgage Obligations, Hedged bonds, and various Government agencies

oPledged Securities Reconciliation

oReporting of securities sold during accounting period

oFAS 91 reporting

oPrepare Investment Templates for Internal and External Audit that includes Leverage Reporting

oYield analysis on Investments

oPar value reconciliation

oInvestment Cash Flow analysis

Month-end close reconciliation of general ledger. Process based on GAAP guidelines.

Variance analysis of financial data.

Bank of America Equity Partners 2000-2004

Officer Intermediate Financial Analyst

Created matrix slides for Board presentation that modeled Funds based on industry, risk rating, and Fund size.

Evaluated Fund sectors such as Venture Capital, Leverage Buy Out, Middle Market Buy Out, Real Estate, International, and Special Situation.

Risk and performance ratings models for 500 equity funds.

Percentage ownership models based on first take down dates.

Fund Family evaluations. How the top ten Fund families (book and commitment exposure) performed.

Quarter models on capital call versus return of capital and revenue return.

Prepared revenue schedule resulting from cash transactions as well as stock sales gains and losses.

Prepared and analyze financial statements and reports for semi-annual and annual review for Board of Directors' meetings.

Managed month-end close process of general ledger and updated quarterly valuations.

Wrote memos that detail the financial events for cash distributions from General Partners.

Provided direction on allocating the proceeds and the accounting entry to be processed according to GAAP guidelines

Analyzed stock and hedge settlement gains and losses.

Liaison for accounting department for corporate tax issues and projects.

Managed and train analysts for annual 1099 process.

Performed ad hoc projects.

Variance analysis of financial data.

Northern Trust Bank 1999-2000

Portfolio Accounting Analyst

Analyzed account portfolios for defined benefits and defined contributions corporate clients.

Created and evaluated Net Asset Valuations (NAVs) for mutual funds, guaranteed insured contracts and company stock accounts on Fund 1 and Trust Systems.

Prepared, audited and analyzed monthly and annual statements on Management Reporting System.

Evaluated account price fluctuations in relation to financial markets on a daily basis.

EDUCATION

Roosevelt University, Chicago, IL

Master of Business Administration in Management

Graduation Date: May 1999 G.P.A. 3.25

Illinois Institute of Technology, Chicago, IL

Bachelor of Science in Business Administration in Finance

Graduation Date: May 1996

Honors: Deans List for five academic semesters

LICENSE

Series 7 – June 2014

CONTINUING EDUCATION

Executive Enterprise Institute – Certificate of Completion

Derivatives: FAS 133

Business Objects – Certificate of Completion

(RD110) Crystal Reports XI R1/R2 Report Design I: Fundamentals of Report Design

SKILLS

Eze OMS, Axys, Loanet, DTC (Depository Trust Company – Omgeo Alert, CTM, TradeSuite, DTC Settlement Web and Web Portal), Oasys, Shadow, ICE PTMS & ACT, CME Front End Plus, SS&C, ReconNet, AssureNet, Summit, Crystal Reports (Report Design), Investran, Insight, Passport, Microsoft Office (Excel, Word, Access, Power Point) and Microsoft Works.

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