Juan Bell Thompson

443-***-**** ad4la4@r.postjobfree.com 4115 Orchard Ridge Blvd, Baltimore MD 21213

Objective

My experience covers Finance Operations, Accounts Receivable & Payable, Compliance, Wealth Management, Prime Brokerage, Derivatives, Payroll, Customer Service and more. I am confident that I can be an asset to any company due this experience but also with my willingness to learn and grow.

Skills

Proficient in Microsoft Office (Excel, Word, Power Point, Outlook, etc), Adobe, Workday, ADP Accounting Software, SAFE, First Clearing Smart Station, and more. Experience

COMPLIANCE & OPERATIONS ANALYST - CHAPIN DAVIS INVESTMENTS LLC; BALTIMORE, MD — 8/1/2023-PRESENT

Assist Compliance Officer with Know-Your-Client procedures, AML surveillance/reporting, audit engineering, and daily functions of the compliance office. I also assist our Head of Operations with opening new accounts, regulatory reporting, post-trade reporting, etc. OPERATIONS - MORGAN STANLEY; BALTIMORE, MD - 3/2012 - 2/2023 Wealth Management - In April 2022 I moved over to the Wealth Management space at Morgan Stanley focusing on the Account Transfers of High Value Clients. I worked closely with local branches across the country to help bring over assets from contra firms to Morgan Stanley accounts. I perform the reconciliation of mutual funds, fixed income products, and equities as they transfer in from contra firms for our high-net-worth clients. Duties also include answering incoming calls from branches & contra firms, processing 529 broker dealer changes, position transfer requests, processing ACAT & NonACAT transfer requests of all values.

Listed Derivatives - Fees & Commissions (FCS) is a team within the Listed Derivatives space. The major responsibilities for this team are to create pricing /fee schedules for LD clients, work closely with the business unit in NY to ensure proper fees and commissions are prevalent on said schedules, and to monitor trades for any exceptions concerning these rates. As we cover all Listed producers, we must work closely with the major LD exchanges such as CME, ICE, NYMEX/COMEX, Eurex, and all Asian exchanges as well. Additional functions within the team are posting interest (current and backdated), entering LD commissions for Wealth Management, working with United States listed stock options, regulatory reporting, creating (and maintain) give up agreements, and more. Most of the systems we use are internal such as Halo, Titan, Mainframe, and more, but also systems used by all firms on the street such as FIA Tech and the CME portal. As an SME, I am proficient in each of these systems, all FCS functions, and have shareholder relationships as well that I use daily.

Prime Brokerage - PBWic is a team within Prime Brokerage Operations which consists of three major functions: Journals, Wires, and Asset Transfers. I am proficient in two of these functions, Journals and Wires, while serving as authorizer & team leader in Journals. Duties include the transfer of money, securities, and/or properties within client accounts or to external accounts. Knowledge of OJT, JEMS, PBJournalsImport, SAFE, PBCash, Microsoft Office, and multiple other systems are mandatory with attention to detail being the most critical skill needed. Client Service is an attribute that is just as important as the others as I am the point person between my group and the account managers of our main Prime Brokerage office which is located at the 1585 location in New York. As SME of the journals team, I have two initiators that report to me and must be able to provide direction and training for my team as well as other co- workers. Position Services - Duties included position balancing, processing, and reconciliation of cash & stock dividend payments made to internal and external clients. I worked closely with business unit stakeholders such as Prime Brokerage, Internal Firm Traders, Securities Lending Counterparties, and PWM clients. The process of paying dividends and the clearing of breaks requires knowledge of multiple operational systems such as Mainframe, Intellimatch, Scorpio, EQS, SAFE, GGUA and Microsoft Office. We work closely with the Client Service Group to ensure top- notch client service and satisfaction. Strong accounting principles, client service skills, and attention to detail were needed for this role COMPLIANCE/AML - DEUTSCHE BANK INVESTMENTS; BALTIMORE, MD 3/2004-5/2009 Duties included performing all necessary due diligence on new and existing clients. I operated the company’s anti-money laundering program which monitored accounts and client behavior to ensure that regulations and compliance rules were consistently in order. I also set up new accounts and helped manage existing accounts for individual investors and companies. Customer Service was also an integral part of my job as I dealt with new and existing clients directly. DB Investments only handles investors of a net worth of at least 5 million. Therefore, our motto was “high-end clients deserve high-end customer service”. So, I took customer service very seriously and made sure that all my clients were treated with the utmost kindness, respect, and I worked hard to make sure they got off every call happy. My duties also included month-end account reconciliations, accounts receivable, data processing, office management, and any duties that were required of me for the department.

ACCOUNTS PAYABLE/ACCOUNTS RECEIVABLE - RYAN MOVING & STORAGE; BALTIMORE, MD 11/2001-7/2003

Processed payments received by clients for their moving and/or storage services. Also processed payments to vendors for services and/or products, as well as payments to clients for refunds, pro-rated storage costs at time of exit, and payments to Allied Moving

(Ryan’s parent company) for international moves that required interstate assistance. Other duties included setting up accounts for new storage-unit holders. I also processed weekly and bi-weekly payroll to drivers, movers, sales reps, and office personnel. Education

Delaware State University 1994-1995: Accounting major/Business Admin minor Virginia Union University 1992-1994: Accounting

Certifications

Securities Industry Essentials (SIE) - 2023