MARIA NICOSIA 647-***-**** adc1rw@r.postjobfree.com

** ******** *** *******, ******* M4C 5K7

OVERVIEW

10+ years extensive experience in Financial Industry with focus on Corporate Action, Depositories and Brokerage with CIBC and BMO

Continuous improvement mindset and reputation for consistently exceeding expectations

Excellent analytical abilities and professional judgment to research/analyze/interpret/explain results

Fast learner with wide range of knowledge of computer systems used in Financial Industry

Excellent written and verbal communication skills to provide clear information to colleagues and clients while conveying messages of varying complexity in professional manner

Successful in handling challenges of dynamic and complex business environment with flexibility, willingness to learn and open to changes

Outstanding ability in gaining clients trust, resolving their issues, concerns or problems promptly and following-up to ensure resolution and customer satisfaction

CORE COMPETENCIES

Corporate Actions and Dividends Depositories(DTC, CDS, BONY, Euroclear)

Bank/Trust (BMO, BNS, Guardian, CIBC Mellon) Mutual Funds (C.I., AGF, Spectrum)

MS Excel (Vlookup, Macros, Pivot Tables) Brokerage (Nesbit Thompson)

Financial Terminals (Bloomberg, Reuters, Broadridge) Trade Settlement with Third Parties

Consolidations, Bankruptcies and Mergers Rights, Warrants and Tenders

PROFESSIONAL EXPERIENCE

Senior Processing Officer, Entitlement

CIBC Capital Markets Oct. 2015 - Apr. 2019

Won “High 5” award for contribution to quality control (QI at CIBC): process improvement project to integrate new technology into existing system whiched reduced processing from 37 to 7 hours

Won Q4 challenge for making the most continuous improvement (CI) suggestions demonstrating CI culture mindset; suggested changes that streamlined process and eliminated reoccurring errors

Processed US Currency Elections, NRT on US source Income and premium elections, monitoring all trade to be processed before cut-off to ensure all clients receivied proper premium amount

Performed QI of Foreign Tax Compliance and dividend payment balancing of security distribution ensuring client received proper documentation and account had been withheld properly

Processed non-routine transactions in response to inquiries/requests, performed audit reconciliation activities, and solved complex issues related to fx conversion, security loan and back-dated trades

Maintained efficiently and processed all transactions in accordance with bank / industry standards / SL

Followed procedures to resolve internal and external customer inquiries/requests and issues; Contacted clients and internal staff to clarify problem and obtain additional information; Confirmed clients understood questions and instructions to save time and ensure client satisfaction

Operated within highly regulated environment and ensured sound management of significant financial risk associated with transactions under management

Reviewed and processed QI changes to tax codes in preparation of FATCA reporting to CRA and ensured compliance with QI and FATCA regulations

PROFESSIONAL EXPERIENCE continued…

Senior Service Representative

Bank of Montreal Apr. 2009 - Jan. 2015

Processed trades for CMF, Money Market, ETF, equity and bonds entitlement

Researched high volume of transaction deviations (600 entries per month) of corporate actions, pricing, security set up BMO, BMO Harris, GGOF, JHIC and ETFs

Researched corporate actions using various tools: Bloomberg, Reuters, IDC (Interactive Data Company) and StaPro Direct; Reviewed and processed Mandatory Corporate Actions i.e.: mergers, stock splits, re-numerations, trust units, for all funds

Provided Corporate Action information and addressed queries to/from clients, Investment Managers and custody

Trained new staff researching and processing Corporate Action

Performed Market analyses on over the counter, warrant and right issuers

Priced special cases: warrants, rights issues, private placements, coordinated price files from vendors, investigated and followed up on issues for Auditors and internal inquiries

Corporate Action Accountant/ Investment Manager

Voluntary and Mandatory Corporate Action Accountant

State Street Canada Jan. 2005 - Dec. 2008

Researched corporate actions for 20 clients invested in over 250 funds

Communicated directly with client’s investment managers and custodians (internal and external) to resolve entitlement issues

Reviewed corporate actions for tax issues, withholdings, claims, exemptions

Reviewed and verified the accounting activity for 15 funds

Processed transactions and resolved all discrepancies

Reconciled cash and securities holding discrepancies

Generated and reviewed standard reports, daily/ weekly/ monthly/ annually for clients, auditors, and bank management

Processed accounting transactions: trades, corporate actions, cash, expenses, cap stock and any other transaction related to the price of the fund

VOLUNTEER ACTIVITY

United Way- collection of funds for dress down day, raffles and preparing basket for raffle

Good Shepard –food drive at men’s shelter

Company event –prepare and serve breakfast for 300 people

PROFESSION DEVELOPMENT

Microsoft Word and Excel Training Courses

George Brown College, Human Relations Management 1

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