Candidate – Seong Won Yoon (윤성원)

Personal Data

Gender Female

Date Of Birth 1971.7.1

Contact 718-***-**** (NYC, Green Card) / E-mail : adz7fb@r.postjobfree.com

Education

Sep. 2001 – Aug. 2004 SOOKMYUNG WOMEN’S UNIVERSITY

M.S. in IT Convergence business (Previously, E-Commerce)

Mar. 1997 – Feb. 2001 DAN-KOOK UNIVERSITY

B.A. in English Literature & Language

Mar. 1990 – Feb. 1992 DONG-KOOK UNIVERSITY COMPUTER SCIENCE INSTITUTE

(DUICA)

Major in Computer Science

Experience

Oct 2021- Present Deutsche Bank AG, Seoul Custody & Trustee

(Branch Operations Analyst)

-Processing internal & external cash transfers (KRW/USD/VND)

-Processing for Subscription & Redemption requests ( KITMC, Woori Global

Genesys Investment Advisor )

-Corporate Action events to AMCs and Processing (Mview system)

-NAV Verification of local funds trustee/custody to comply with Capital Market Act and Decree and Rules (SCD : Simcorp Dimension System)

-Release instruction of offshore trades to the agents, GC & Sub-custodians (SWIFT-FMS)

-Monitoring for pending and fail trades in overseas

-Record F/X Payment, BOK-Wire

-Maintenance of the NAV calculation system including enhancement and new development Requirement (SCD : Simcorp Dimension System )

-Regulatory Trustee Reporting (BOK, KOFIA, KSD)

- Foreign investors tax rate set-up and renewal documents review for tax relief

- Foreign investors trade settlement ( Equity, Fixed income, Derivatives etc )

Through BOK-Wire system

- Fund Tax Return and filing

- Custody Invoice Processing and Cash transactions

June 2007 – July 2021 FRANKLIN TEMPLETON INVESTMENT

FT Investment Operations Teams

(Senior Investment Operations Analyst)

Performance Highlights

-Global Transfer Agent Function Role Set-up for off-shore fund business

-Fund settlement system automation setup with Trustee, KEB Hana bank & Euroclear system (Far-East Asia first set-up, migration case)

-Global equity trading automation report project(UAT, Execution)

-US Bank Loan Fund (trading settlement/dividend/interest /paydown)

-Sicav conversion Project participation(Direct InvestmentàSicav FoF)

-Sicav Auto-Instruction function implementation (Euroclear,Clearstream)

-China HK Stock Connection Program (SSI,TxT)

-Tariff Proposal Updating for custodian (HSBC, KB, JPM )

-FX, Standing Instruction, FWD, Futures, Margin, Class Action

-FATCA, W-8-BEN-E, CRS follow up with global compliance,brokers

-NPS, KIC,BOK Global Mandate AUM (Sales/Redemption) managment

-Collateral Account Management for CitiMac Funds

-Proxy Voting Aggregate Report for global funds ( Trustee, HSBC )

-Cash & Asset Reconciliation ( KSD Asset Recon,Onetis Recon )

-Third party Agency, vendor, custodian, Fund Admin management

-Discretionary Auto-matching for daily Subscription & Redemption & holding shares & cash per fund level(Third Party Agency)

-On-shore fund’s daily cash reconciliation statements auto faxing

-Franklin Templeton operation team job manual documents completion

-HSBC Net system installation & implementation & training for members, including HSBC Net device management

-Institution client’s Sales & Performance report project participation and completion (Report format, contents, accurracy monitoring etc…)

-KOFIA (Korea Financial Investment Association) & FSS – Quarterly Business report submission & report detail’s changed format & formula base implantation process

-Korean funds for investing India market Year End Trade Review for tax agents, SRB filing

-Split Holding issue handling and solved for combine the one settlement location. (Different Security Maintenance #, dual listing items)

-Global Class Action & Corporate Action follow-up

Onshore Fund (Application: TimsPlus & OneTis system & GMax, Lotus Notes)

NAV Verification & monitoring, Daily all transactions operation

Discretionary Fund (Separate) & Unit Trust Fund Sub. & Red.operation

SICAV Fund of Fund (Trustee HBSC, Kookmin Bank),Global Custodian

Liaising & issue follow-up (Vestima, Fundsettlement, JPMorgan Chase)

Global Settlement Equity & Fixed Income Corporate Actions monitoring

Domestic Futures, International Securities operational Handling

Global Settlement Forward Transaction operation

Daily Call Loan Allocation Process & Review

Deposit and Margin Process & Review & FX/Spot check

Cash balance ( FX Currency & KRW ) Reconciliation ( Liquidity checking )

Domestic equities ( NPS) & Fixed Income transaction’s operation

RP/Equity /Fixed Income/Equity borrowing transactions(Ace system)

FX transactions (Other currency reconciliation) & Derivatives

Corporate Actions ( International & domestic fund)

KPI Report ( Key Performance Index) Monthly basis

KOFIA, FSS, BOK Regulatory Report Review & Submission

Fund Audit Report Distribution & Invoice

Quarterly Asset Management Report Invoice

New Fund set-up & Account Creation follow-up (Including KSD)

(Global system: OneTis & Gmax)

Asset Holdings Reconciliations for all funds and monitor the resolution issues (KSD Portfolio Project Participation with Trustee banks)

Ad-hoc Project ( Institutional client Auto-Reporting, Auto-matching for discretionary, Call-Loan trade auto-processing )

Verifying booking details and instructions in Fund Account System

Monitoring Global Settlements status & fail trades

Maintenance all Fund information at Global or domestic systems

Fund Tax issue (Withholding tax) handling

Escrow Account Management for bad debt funds

Trustee fund Subscription & Redemption, CDSC, Dealer Transfer

New Dealer registration per Retail Sales team requesting

Fee Review ( ex: NPS Regular performance fee)

NTS(National Tax Service)- Fund Taxation Report (Semi-annal Report)

CP Roll-over ( Seoul Secured Insurance CP ) management

Trustee HSBC Transaction & Safekeeping & Out of Pocket fee management

KYC, FATCA, CRS, Trustee Deed, Separate Acct contract, Tariff Proposal

Off-shore Fund (Application; Int’l Titan, ALS, Global Image, GPS, Babel, Lotus Notes, POSTX Admin)

Daily Sicav NAV prices & releasing monitoring

Transactions enquires Handling for shareholders

Holdings & Account Information Inquiries Handling

Dealing information in SICAV funds & Providing the guide lines for investment (Dealing Guide updating if any changes)

Various Commission & Dividend Payments enquiries and follow-up

Liaison with NAV Calculation team in US Pricing team

Liaison with Due Diligence team and Anti Money Laundering check

NIGO (Not In Good Order) monitoring

Monthly, Quarterly, Yearly Trade Statistics Reports

Deal Automation system (Trustee) issue handling(Vestima, Fundsettlement)

New Dealer set-up & Account set-up

Late Order follow-up with Retails / Inst. Sales team

Providing presentation and demonstration for dealers (Banks, Securities-Daegu bank, Eugine Securities )

Maintenance support in e-mail encryption (User Registration, Reset P/W)

Arrange operational meeting with potential dealers

Fund of Fund Account set-up arrangement with Institutional Sales team

A/C set-up documentation review and dispatch for overseas for opening

Daily Fund of Fund Subscription & Redemption confirmation for clients

Required documents follow-up (AML, KYC,COR, DBO doc.)

Reviewing agreement in regarding to dealing procedure & commissions arrangement (Trail commission)

Other Domestic Fund Support

Holding Statements & Fund commentary report providing

AUM figures per fund enquiries

Daily Subscription amount per fund (Especially, Bulk amount)

Fund NAV Code # (ISIN, SEDOL,TA) inquiries handing

Fund Price (NAV) after closing

Fund Closing date & Reinvestment schedule

Benchmark Vs FT Fund Return/ Yield rate

Fund Portfolio details (Portion of Country & Business Sector & etc)

New Fund launch Seminar support (New fund launching event with PMs)

Individual Inquiry handling for Fund Yield, NAV, Redemption procedure

FATCA,CRS,KYC Follow-up

Oct. 2004 – May 2007 KODAK GCG (APPLICATION; SAP, LOTUS NOTES)

(Sales Support Administrator)

Machine contract management (New, Renewal, Update, Billing)

Machine Warranty customer management

Spare parts management (Included Prepress, CTP, CTF, Plate, Billing)

Logistics, Stock Inventory management (New, DOA, Defective stock, Reconciliation)

Export/Import customs clearance

Billing Invoice, Sales Order Management

Business Partner Management (Registration, Updating)

CS Survey, Claims & Customer needs Analysis

Revenue Performance / Budget achievement

AR Management: Warranty, Contract customers

Engineer overseas training coordination

Inbound/Outbound call

Reporting; Monthly, Quarterly, Yearly Report

Customs Management (Export & Import process)

International training coordination for Korean Engineers (Hotel &Airline)

Escalation calls coordination with headquarter

Dell computer warranty coordination with US headquarter

Machine parts official Quotation management for clients

Field Engineer Utilization Reporting

May 2003 – Sep. 2004 PFIZER ANIMAL HEALTH KOREA LTD. (APPLICATION: SUN & STAR SYS)

(Sales Support Administrator)

: Charged in inbound/Outbound calls and order processing, Invoice

Responsible for ETMS (Pfizer Animal Health Korea Ltd. Web homepage)

Allocation, Inventory, Sales Analysis

Order Processing / Inventory Management

Billing Invoice Review

AR Management, Allocation Job

Inbound/ Outbound call (clients & vendors)

Sales force Support (Ordering, Delivery, Invoice, AR check)

Sales Actual/ Budget achievement

Sales Reporting -Monthly, Quarterly, Yearly

Customer DB updating & maintaining

Promotion, Survey analysis

Inventory management (checking for shortage, discrepancies)

ETMS Management (Electric Territory Management System)

Mar. 1993 – Mar. 2000 DACOM (DATA COMMUNICATION CORPORATION)

( Call Center Team Leader)

(Sep. 1999 – Mar. 2000) DACOM CHOLLIAN CALL CENTER (APPLICATION; VANTIVE)

( Call Center Team Leader)

: Managing Chollian-Inbound call assistants’ performance, dealing with issued customer’s claims. Training part-time employees including coaching, monitoring, interviewing. Drawing up basic call manual script, procedures.

(Train subject: Dacom Chollian service, telephone manners and etiquette, basic telephone-English)

Inbound Call Center management (30 persons)

Recruiting CSR (Interview & Job Training )

Training CSR (System, Service, Manner, English)

Call center Job procedure scripting, Job scheduling, User Guide manual

Chollian,Bora Internet Foreigner customer management :Trouble shooting

Home page management (related with call center)

Call center CTI system management

CSR Monitoring, Coaching, Evaluation

(Mar. 1993 – Aug. 1999) DACOM CUSTOMER SERVICE CENTER (INCLUDED HCD)

( Call Center Team Leader)

: TSR (Telephone Service Representative) dealing with Inbound-outbound call,

DACOM home-page “Open court”, managing part-time employees.

Additionally, charged DACOM Foreign user-Prestige Club with DB marketing.

HCD (DACOM Collect-Call service) Daily report and managing HCD

System (Unix), temporary employees including education.

Inbound Collect – Call center management

Recruiting CSR (Interview)

Training CSR (System, Service, Manner, English)

Collect Call traffic and revenue reporting

System management (Unix system ) for bugs

Training

Canada Toronto PLI ESL (Jun. 2000 – Aug. 2000)

Self Introduction

This is Seong Won, Yoon. With this letter, I wish I would like to express my strong interest in seeking employment. For the first time, I am pleased to introduce myself to your company. As you read my resume, I had worked at DACOM for over 7 years. At beginning I worked as DACOM information temporary receptionist after graduation of Dong kook University computer science institute. Then, I was hired as a regular employee after three months in the DACOM Customer Service Center. I usually dealt with customer’s claims on the telephone or the DACOM Internet web-site, which is called ‘Open Court’. There are 6 call centers depending on services. We can divide 2 parts widely. One is the DACOM telephone service and the other is the data communication leased line service including the Internet service and E-commerce. As you know it, DACOM provides with DNS, DLS, IDLS, DSM, E-Commerce, SI, Bora-net, Chollian, Internet etc… I was responsible for connecting between clients and field employees and charged of managing, supporting customers on the phone and online. From time to time, I would register answers in the bulletin board system or send e-mail on behalf of the company. In addition to say one thing, my current experience had involved in managing of temporary employees and responding rate of incoming-call as a supervisor. I did my level best for improving our accomplishments. Motivating my junior associates, encouraging their efforts and creativity. Human resource is the most important factor for running an organization. Especially, I trained them for telephone manners and proper method of the using language. In my case, I went through all of the customer service centers. Also, I had an experience in taking care of foreign customer’s claims on the phone and off-line. Besides, I participated in VIP retention team, blocking up secession, taking care of high beneficial customers. Through this procedure, I could realize my interests and aptitude. Consequently, with amassed Customer-Satisfaction sense I have, I managed a great relationship with internal and external customers, and also familiarized with other people in terms of understanding and persuasion. So I did not hesitate to study again. I started to study on English literature and language at 27 years old in the Dan kook University after work. Sometimes, I feel lots of eagerness of English study further. I have been making an effort to improve my ability since I began to study. I strong think that the most important thing is to find my own way and keep go on that direction with passion. Also, I am quite interested in English, history and oriental philosophy. In recent, many people say and emphasis on globalization. I totally agree with it. It might be able to survive in the unlimited, competitive world. In addition, I can say that I am a self-starter, highly motivated, energetic person. Also, I am persuasive, having good listening skills. I have always adapted well to new work situations with a great deal of energy, drive and initiative. I like taking on new challenge and working with people who have clear goal in mind. I really need to be challenged to develop my potential further. I am interested in additional responsibility and new opportunity. I am ready to pour my all ability, energy into your company. So, I am responding to your open position. I have considerable experience in all phases of customer claims and relation, keeping an customer-oriented attitude and responsibilities and challenges. I am truly hoping that my ability might be qualified for the position. And, the main responsibilities are suitable for my previous job career and my aptitude. It attracts me. I really want to make an huge effort to work with my experience, challenging spirit and latent energy. I am sure that I should be accustomed to figure out the procedure of new field as soon as possible, owing to the former career of Call Center of the ISP, DACOM basing on the Internet infra and network system.

Pfizer Animal Health Korea Ltd. It is an multinational pharmaceutical company. Mainly, I am responsible for dealing with order processing and sales analysis. I support with district manager and sales representatives for sales various data. Also, I am responsible for web homepage (ETMS; Electronics Territory Management System) Its internet address is http://www.aniall.co.kr for sales forces. I upload various sales performance data in the web site such as budget achievement ratio, sales performance, activation ratio, product coverage etc. There are three type of customers, which are animal health clinics and swine farms, dealers. Pfizer Animal Health Korea is providing with Companion animal and livestock products in Korea. Currently, I am working at Kodak GCG, Creo Asia Pacific Ltd. My responsibilities are spare part order management, contract management, billing invoice management, Inventory, logistics stock management, customer satisfaction survey (system overhaul) etc…Kodak GCG, Creo provides with Prepress machine and software, consulting service. It covers machine and plates, Film, developer, finisher in printing industry. I was responsible for Inbound/Outbound calls, related with every customer service, including Logistics & AR, Survey, contracts management, Customs clearance etc.. Everyday, I contacted my partners who work at HK, China, Singapore, Canada, Israel countries.(Logistics, Accounting, R&D center, Regional office )

Currently, I have been working at Franklin Templeton Investment Company and responsible for FT Investment Operations team. Mainly, I am responsible for Inst. Client, Retail Dealers, Third party agencies, custodian banks, etc…Besides, I am responsible for shareholders, dealers and financial institutions with prompt and accurate responses to telephone and written inquiries regarding account and fund transactions. And it is to make outbound telephone calls to shareholders, dealers and other interested parties to resolve transactions not in good order for processing, providing with support for web-based shareholder and dealer servicing platforms, handling various requests from internal and external clients regarding account information, sales literature, fund and product details and company policies and procedures, recording daily activities and prepare daily and monthly statistics, assisting with Team projects on an ongoing basis, while acting as a subject matter expert within workgroup or team, supporting basic operations / processing functions within the team or workgroup, assisting sales in new dealer set-ups and resolution of dealer queries. I work closely with other departments within the International team including the PMO, Global Risk & Control and Administration teams, ensuring a high level of service is maintained and provided to distributors and internal customers. Additionally, I am assigned to do for Korea local funds, using Mofis local application and TimsPlus system as Investment Operations Team members. It includes traditional Product understanding, Derivation understanding, In-direct investment business (Asset Management) and business outlook, Regulation and Policy, Bond & Equity basic theory, Fund Performance, Fund Accounting Compliance, Ethics. I am responsible for SICAV trade and discretionary funds & derivates operation after giving the instructions from fund portfolio managers. Besides, It is charged of reviewing and uploading foreign securities at the system, including fixed income securities, etc...

Daily basis, we communicate with global and domestic vendors & trustee banks, third party agencies for funds transactions & settlement & payment & complicated issues. Therefore, confirmation settlement with trustee banks for all trading and check the bank balance on a daily basis. Additionally, I follow up BOK or KOFIA reporting submission schedule with timely manner.

I could learn numerous global operational procedures, contacting Global office Franklin Templeton people via web-video or conference calls. It makes my knowledge upgraded. Of course, I am strongly sure that I make an huge effort to study by myself,using internal resources and senior managers. It gives me happiness & passion. In order to deliver high end client service and have an insight for asset management business trends. I need to be expert with keenness & high level knowledge, preventing any critical mistakes or errors. More, I continued to improve our service quality to suggest revised functionalities and implement them at the system. It saves cost and time and enhances our efficiency. I participated in Global Custody training in Hong Kong (Citibank H.K & Euroclear H.K.). I attended the session for global transaction, corporate action, global custodian product, global tax, FX procedure, Securities Settlement, Money Transfer, Lending & Borrowing etc…

I truly hope that you will offer that I have been looking for both in the position and the overall environments. I would like to have the opportunity to share with you how I might contribute to the goals of your company using my former job career and e-biz, marketing study, various experiences and global networks which are Custodian HSBC, Citibank, JPMorgan, Statestreet, SC bank, Korean local custodians, Euroclear, Clearstream & other global asset management firms and KSD working group member. I am pretty sure to keep going on developing myself and cooperate with related parties (Sales & Marketing, Legal & Compliance team). If you hire me, you will be satisfied with your decision. I really look forward to meeting you soon.

Sincerely, Seong Won Yoon

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