Management Analyst

STEPHEN C. MINCHELLA

SKILLS:

Hedge Fund AML Remediation

NSCC/DTCC Trade/Transfer Fail Resolution

Non-ACAT Share Transfers

Trade Comparison & Settlement

Proprietary Databases

Windows Platforms

Excel, Word, Outlook, DST Vision

Effective & Concise Communication Skills

EXPERIENCE:

GAGNON SECURITIES LLC 2/2015 – 7/2015

Investment Management / Conversion Analyst

Prepared, fulfilled, sent Conversion document packages to clients (Trust, IRA, Individual, and Joint)

Verified and followed-up with the returned signed and dated Conversion documents (Agreements)

Assisted Management in any related aspects of the Conversion of client brokerage accounts to NFS

Scanned and indexed the signed documents into the NFS Streetscape site for future retrieval

STATE STREET / IFS TRANSFER SERVICES 1/2014 – 7/2014

AML/KYC Group / AML Hedge Fund Remediation Analyst

Obtained and verified AML Entity and FATCA Documents for existing Fund/Investor Hedge Fund Accounts

Corresponded with Investors/AML Managers to ‘Authorize’ Hedge Fund accounts for Redemption

Tracked pending ‘Unauthorized’ Investors for processing, indexing, and management status notification

Provided CIP Entity Document support to Fund teams for New Investor CDD on standard/high risk accounts

TA Operations / Hedge Fund Operations Analyst

Reviewed Hedge Fund documentation Fund and Investor Entity/Tax documentation for accuracy

Processed "Subscription/Redemption, AML, W8-Ben & W9” FATCA documentation, and Dealing Reports

Generated and securely transmitted Monthly Statements to the Fund & Investors for the Fund Teams

Assisted the Manager and Team regarding escalated requests for Fund/Investor document reporting

JP MORGAN CHASE 8/2013 – 11/2013

Global Liquidity Operations / Finance Operations Analyst

Supported the daily and monthly operational process of transaction Data Quality Remediation

Processed transaction data files for uploading/downloading to assist in the LOB Data Quality

Assisted in the LOB notification of Variances for remediation prior to Liquidity Regulation Reporting

Updated the Department SOP’s to reflect current daily and monthly procedures and processes

JP MORGAN CHASE 2/2012 - 12/2012

Investment Banking / Mutual Funds Transfer Analyst

Resolved aged NSCC Mutual Fund Non-ACAT Transfer Fails and aged direct Fund Transfer Fails

Reviewed and approved incoming New Client Transfer Forms and related Fund Company Statements

Processed and verified the approved transfers with the Mutual Fund Company through the NSCC

Proactively communicated with Managers/Financial Advisors to resolve settlement issues and avoid risk

MERRILL LYNCH 5/2010 – 12/2010

Wealth Management / FRS Client Services Rep

Supported Clients/Financial Advisors regarding Conversion accounts and existing Brokerage Accounts

Determined which issues and concerns can be resolved at the point of contact or require escalation

Provided Client/Financial Advisor Brokerage Account support and operational problem resolution

Placed basic necessary and requested account maintenance at the direction of the Client/Financial Advisor

STEPHEN C. MINCHELLA

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MORGAN STANLEY 11/2008 – 5/2009

Asset Services / Asset Transfer Group, Mutual Funds / Settlements

Processed Mutual Fund ACAT Re-Registration Transfer letters from transaction rejects

Monitored status of each letter to ensure the settlement of the transfer of shares to the Broker Dealer

Resolved any issues with Broker Dealers, Mutual Fund companies, Internal Departments

Closed resolved fails through the NSCC after confirmation of the transfer of the shares

NATIONAL FINANCIAL SERVICES 1/2004 – 9/2008

OSG Group / Brokerage Operations Rep / Settlements

Informed Correspondents of the status of Pending/Failed Trades Domestic and Euroclear

Booked Multi-Currency Trades for Correspondent Firms without access to the NFS Trade Application

Processed USD Wire Payments for settled trades after International trades have settled

Researched and resolved Mutual Fund Non-ACAT Transfer out-of-balances using break sheets

Verified transfer position against documents prior to booking the shares to the Brokerage account

Reduced financial risk to the firm by resolving domestic Failed Trades/Transfers within SLA

Resolved DTC Fixed Income DK’s to accurately reflect as matched trades and processed CDSC Fee requests

EDUCATION:

Rowan University, (formerly Glassboro State College)

Bachelor of Arts, Major in Communications

County College of Morris

Associates in Arts, Major in Liberal Arts

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