Professional Experience Financial Advisor
Resume:
Robert A. Beck
Glendale, NY ****5
Email: **********@*********.***
Objective:
Obtain a challenging and rewarding position at a world class institution
Professional Experience:
J.P. Morgan Clearing Corp, Brooklyn NY
Supervisor / Senior Legal Transfer Clerk, April 2000 – December 2014
DTC Processing
•Processed legal deposits of registered securities into the company’s Depository Trust Company account and monitored DTC's STSL system to track items clearing transfer
•Responsible for mandatory reorg deposits and called/past due bond's DTC
•Researched and executed Financial Advisor’s requests to write off worthless securities using DTC's PREM system.
Transfer Agent
•Coordinated registration changes of physical legal transfers to the transfer agents.
•Processed stock record entries of all physical items returned from the transfer agent, and the booked clean shares to safekeeping via the internal VALT system
•Processing all clean ups of physical and DWAC restricted transfers
Restricted Securities Legend Removal
•Oversaw daily processing of all 144/144A restricted transfers to DTC and shares held in DTC custody and in physical form to the transfer agent upon receipt of instructions from Compliance.
•Responsible for the booking of all unsold restricted receives and private stock into safekeeping, or DTC custody.
Free Receive/Custody Desk
•Reviewed all receives of physical securities for required documentation and deposited into client’s accounts.
•Responsible for the research and recording of all daily, weekly and monthly metrics within the department
•Liaised with Financial Advisors in regards to legal items pending documentation within the firm's 30 day return policy.
Education
F.K. Lane H.S, Queens N.Y. September 1977 - June 1981
Proficient in Microsoft Word, Excel and PowerPoint
References available upon request
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