Brooklyn, New York 11203
To excel with a promising financial institution that has promising opportunities for advancement and growth.
CUSTOMER SERVICE 12/14 – Present
. Heavy customer service inquiries
. Ensure all payments are made and processed.
. Discuss proxy voting rights with customers.
. Advise share holders on various stocks
. Discuss financial terms with customers.
. Update all client complaints and opinions.
. Work with the accounting department to ensure payments are made.
. Provide proxy statements to customers.
JP MORGAN CHASE
CONSULTANT - Trade Support Specialist 04/13 – 12/13
Assist with processing account and security transfers during extremely high year-end volume.
Assist with extremely high year end volume by processing account and security
Build relationships with internal and external clients.
Engage in investigations and resolve issues as needed.
Request BINs from various custodial banks which are then sent to MUMBAI for processing.
Settled trades with various clients and resolved issues.
Processed funds as they came in on settlement date.
Liaised with MUMBAI on out standing cases.
Consultant - Stock Transfer Recon. 07/12 – 03/13
Liaise with internal settlements desk to make sure trades settle on time.
Prepare and distribute month end analysis report for management
Work directly with Relationship Managers to help build client relationships.
Balance in house client accounts on funds received/paid out.
Opening and Closing of tickets daily through internal systems.
Work directly with the call center on client needs.
Responsible for daily input of trades/spread sheets in excel
Escalate and resolve discrepancies daily.
Heavy reconciliation projects.
TD Bank 08/11 – 05/12
Consultant - Wealth Management/Free Receipts
Prepared and processed ALL free receipt trades for clients.
Worked diligently with the Client Representatives on client’s estates.
Settled/cleared all trades based on reports from BONY
Settled and prepared ALL DTC and Mutual Fund items.
Liaised with administrators on all failed items for middle office.
Worked closely with the relationship managers on client’s trades.
Prepared daily report on open/closed trades for management.
Liaised with BONY on daily reconciliation report.
Made sure ALL account reps received their estate val reporting’s.
Consultant – Client Service Rep GED Equity Settlements
Confirm all Derivative OTC /VARSWAP deals w/clients Internal/External
Responsible for the daily OTC Cash reconciliation process
Liaise with middle office on daily resolution on all trade fails.
Responsible for booking and confirming all DTC and DTCC trades
Responsible for all Physical Assignments which settle through DTC/DTCC
Liaise with Stock Loan when borrowing shares.
Liaise with back office to ensure trades are booked properly and accounts are set up properly.
Responsible for processing and settling Interest rate,Vanilla and Equity Swaps.
Liaise daily with traders and sales desk
Monitor and settle all trades on value.
Process all cash movements and over see settlement with our Cash and Margin dept.
Confirm/Settle and process all Blackrock trades.
Prepare weekly fail report and confirm open deals with our London Branch
Responsible for balancing the accts in ADP
Responsible for all pay/receives within the accts.
Verify and pay monthly Variance Swap OTC cash payments and confirm all OTC expiry trades on expiration date.
Pershing Securities, LLC
Consultant - Settlements 02/04-09/05
Booked, amended and settled all International and Domestic trades.
Responsible for confirming and settling of all DTC/DTCC trades.
Responsible for ensuring all shares have been moved and cash paid to clients.
Liaised with Stock Loan on all PENDING trades.
Monitored all cxl’d and amended trades within the HUB que.
Liaised with brokers and traders in Europe and US
Liaised with various counterparts on all deals such as pricing, day counts and Interest rates.
Prepared weekly analysis report for London and upper management.
Reconciled all cash breaks.
Liaised with the FED and DTC on all physical trades.
Reconciled and confirmed all Future settlement trades.
JP Morgan Chase 05/03- 02/04
Responsible for the settlement of all Latin American markets.
Liaised with clients on all Physical trade settlements.
Confirmed all DTC/DTCC trades with London branch and US clients.
Prepare and send wires to perspective counter parts.
Liaison with brokers and traders on all future trades.
Laision with counterparts on all fail /settled trades.
Prepare weekly analysis report for London and upper management.
Reconcile all cash breaks.
Mizuho Corporate Bank 05/02-04/03
Reconcile Fed and Chips Accounts to ensure proper booking
Responsible for confirming all DTC trades with clients.
Responsible for confirming/settlement of Mexican and Brazil markets.
Liaise with cash/management on all o/s trades
Analyze trade positions in portfolios for daily P/L calculations
Reconcile and investigate discrepancies in payable accounts.
Assisted in bank reconciliation between 3 banks due to merger.
Calculated daily portfolio values for inflow and outflow on margin requirements.
Reviewed and reported on daily swap and futures operation closing information
Responsible for daily bank C11 internal P/L report.
Responsible for daily trade reconciliation between Tokyo and New York.
Assisted traders in exercise, expiration and assignments of options.
Dresdner Kleinwort Wasserstein Securities 11/00-04/02
International Settlements Administrator
Responsible for the daily settlements of all Latin American Countries.
Made sure all trades settled on a timely basis.
Liaised between our traders, clients and various brokers.
Liaised with our local agents in London and informed of any potential or future fails.
Generated daily cash management reports for senior management.
Processed foreign payments, incoming and outgoing wires and tested telexes for the data input area.
Liaised with trade support to make sure trades were set up on the systems accurately.
Reconciled all cash and security breaks.
Responsible for preparing all foreign exchange payments.
Deutsche Bank 5/99-11/00
Team Leader/Cedel Operations
Oversaw group of 3 to ensure all trades are processed and problems are resolved.
Liaison between Cedel offices in the UK and NY.
Responsible for the daily settlement of all-global Cedel trades.
Liaison between trade assistants and internal agents in Europe, Australia and Asia.
Maintained contact with foreign custodial banks to confirm investment transactions.
Liaised with Corporate Actions and the Income & Claims department.
Reconciled all cash and security breaks.
Monitored client and internal cash balances for overdrafts.
Prepared and settled all Euroclear/Cedel conversion trades.
Concentration in Business Administration and Finance
Skills: ADP, Global Oasys, Alert, Inet, Euclid, Fox, CSW, Excel, DTC, TITAN, Gloss, DB ticket, ADP, Imagine, SAP, IMPACT, Euroclear and Cedel.