Operations Manager Risk Management

Kim T Jackson

Professional Summary

********@*****.*** • 972-***-****

linkedin.com/in/kim-jackson / Bronx, NY

Highly experienced Corporate Investment Bank (CIB) professional Operations Manager with 15 + years’ experience including risk management validation, internal auditor, trade support reconciliation, strong interpersonal, collaboration and problem-solving skills. Highly analytical, detail-oriented conducting meticulous research, implementing policy, procedures, and Reg Reporting. Exceptional department/operations, team building, stakeholder and client leader achieving organizational results while delivering outstanding customer service.

Professional Experience

J.P. Morgan Chase, New York, NY Feb 2022 – Mar 2024 Transactional Manager-Vice President

Provided support and transaction management assistance to the team from pricing to closing Bond Syndicated Primary Lead, Joint Lead Syndicate Issuances. Approved and finalized Post-Closing Final Settlement Expenses. Reported US Denomination global issuances to FINRA to ensure accurate and timely regulatory compliance. Foster motivated and competent teams to meet and exceed performance expectations by demonstrating adept leadership skills. Establish robust relationships with key stakeholders, including customers, vendors, and regulators to nurture collaboration and long-term success.

Processed closure of 600B+ Fixed Income Credit diverse products (High Grade, High-Yield, GEM, ABS, CLO, CMBS, and RMBS).

Accomplished closings of Public, 144A & Reg S Bond Issuances

Optimize management of all financial aspects by ensuring effective expense control, Trade Support, Risk Management validation, FED wire payments, DTC eligibility, P & L reconciliation, and Regulatory Compliance.

Deal pricing, Compliance/FINRA (TRACE) reporting, DTC and Euroclear settlements, final closing and documentation.

Obtained cusips for B&D issuances and payments of cusip invoices from Cusip Bureau

Approved and released fed wire payments (ABA, swift payments)

Uploaded trade details from final term sheet to DTCC portal

Reconciled trade details report with the trustee for DTC closing

Worked with Trade Support on reconciliation of the buy and sell trades

Cross functional environment with internal and external stakeholders, syndicate banks, counsel, trustee and clients.

Establish Written Supervisory Procedures (WSP) and policies to streamline operational processes and adhere to standards.

Conduct tracking and documentation of results for development of monthly reports/metrics and FI Reg Reporting. RealFi Private Lending LLC, Westchester, NY May 2021 – Dec 2021 Transactional Manager

Determined pricing for residential and commercial loans in LoanNex System to align competitive rates with market standards. Engaged in effective communication with Loan Officers, Brokers, Investors, and Attorneys to streamline transactions and resolve inquiries. Oversaw closure of residential and commercial property deals with attorneys to maintain precision and compliance with legal standards. Led weekly reviews of Profit and Loss (P&L) statements for Realfi Private Lending LLC by offering financial oversight and strategic decision -making.

Supervised and administered portfolio of 100 Residential and Commercial properties for start-up Non-QM products to perform efficient operations.

Enhanced operational efficiency by executing processing of residential and commercial loans through Encompass System.

Analyzed necessary income and asset documentation for investor purchases by complying with regulatory requirements. Deutsche Bank, New York, NY Jan 2017 – May 2021

Internal Auditor

Recognized key business risks through interviews, walk-throughs, and precise analysis. Uncovered control gaps and reported significant audit issues based on risk and impact. Involved in advancement of Audit Department initiatives, goals, productivity, and efficiency by collaborating with team leads and actively engaging in meetings.

Directed determination of audit scope, formulated testing strategies, executed testing procedures, and meticulously evaluated and documented internal controls.

Achieved results of audit plan within established timelines and budgets.

Managed execution audits of Fixed -Income Operations (Debt Capital Markets, Asset Back Securities, Equity Capital Markets) for risk mitigation and compliance assurance. Jul 2008 – Jan 2017

Syndicate Operations (AVP) Manager- Jacksonville, Fl Facilitated New Issue Bond/Equity Syndicate deals, covering Debt Capital Markets, High-Yield, Equities, CMBS, ABS and GSE by overseeing and supporting team from deal pricing to final closing, documentation, reconciliation, and FED wire approval.

Organized, cleared, and accurately balanced primary issuances, settlement, and syndicate accounting for new-issue securities.

Reported Global-US Denomination primary issuances to FINRA, while maintaining compliance through regular update and implementation of appropriate policies and procedures.

Trade reconciliation, DTC and Euroclear settlements, Fed wire approval (ABA, swift payments)

Processed comprehensive monthly reports by tracking and documenting results.

Navigated challenges, eliminated roadblocks, and addressed issues for successful closure of deals by coordinating effectively with internal and external stakeholders, including syndicate banks, legal counsel, and clients.

Carry through leadership to diverse teams across various time zones, including Syndicate Operations teams in Jaipur and Pune, India for seamless execution and settlement of each deal. Areas of Expertise

Project/Operations Management

Trade Reconciliation (P &L)

Deal Flow Management

Internal Audit

Regulatory Compliance

Risk Analysis & Mitigation

Continuous Improvement

Team Building & Leadership

Cross-functional Collaboration

Education/Certifications

Master of Business Administration

University of Phoenix, Jacksonville, FL (2012)

Bachelor of Science in Business Administration

University of Phoenix, Jacksonville, FL (2006)

FA Swap Proficiency Certification – 2021

Series 99-Operations Professional Examination – 2015-2026 Affiliations

National Society Leadership and Success

Campus Mortgage Certification-Non-QM

Technical Proficiencies

Microsoft Office Suite Impact/Cognos LexisNexis Broadridge (Prospectus View) Depository Trust Company Cusip Bureau Website Financial Solutions (ADP) DocuSign Encompass FINRA Regulatory System Espear GFMS AWARE Bloomberg

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