Operations Administrator Financial Service
Resume:
Phil Messam
Toronto, Ontario
M6J 3R8
Email address: *********@*****.***
HIGHLIGHTS OF QUALIFICATIONS:
● Over 10 years experience in the Securities Industry, particularly as it relates to Stocks and Bond Settlement and Dividend Interest Payment
● Bachelor of Arts Degree: Political Science and Administrative Studies, Minor in Economics
● Demonstrated experience dealing with inquiries regarding Trade Settlements
● Proven organizational, analytical, communication and problem solving skills
● International Settlement Experience
● Options Settlement Experience
● Buy-in administration and execution
EMPLOYMENT HISTORY
TD Bank Financial Services
Trade Input Officer August 2013 - April 2014
Toronto, Ontario
● Input Trade instructions received from client and investment managers
● Advise client of discrepancies in Trade settlement
● Coordinate Fx funds to cover US dollar trades
● Set up Trades settling in European and other Foreign Markets
● Transfer funds from client account relating to private giving for charitable organization. Kingsdale Shareholder Services
Toronto, Ontario
Client Care Agent March 2013 - June 2013
● Proxy Solicitation and Client reporting
● Contacting Topholder client to advise of upcoming Corporate Actions
● Solicit Shareholder-unitholder proxy voting information
● Adhere to standard client contact protocol
Thai Yoga Massage Practitioner December 2011 to present CIBC Mellon
Toronto, Ontario
Equity Settlements Officer March 2001 August 2010
● Trade settlement officer -Treasury bills, Government of Canada Bonds and Stocks in CDN & US currency
● Advise client service officer of discrepancy in trades with broker
● Contract Broker for unreported trades
● Contact Lending department regarding short position on client Sales
● Liaise with other departments to resolve outstanding unsettled trades
● Execute after 4 settlement of large value trades
● Report to Treasury Department failed large value trades
● Options expiry settlement
● Buy-in administration and execution
● Stock transfer/legend removal
● Pre-settlement matching processing
RBC Dominion Securities
Toronto, Ontario
January 1993-June 2000
Senior Equity Settlement Officer:
● Assist Equity Settlement department in compliance with management expectations
● Train new employees and assist in providing direction to staff
● Report to Executive Officers trades failing valued at over half million dollars
● Attend to special or difficult settlement deals with Trading Desk and other Brokers
● Execute Buy-in on the Toronto Stock Exchange and New York Stock Exchange
● Liaise with other department to resolve outstanding unsettled trades International Settlements Officer:
● Contact counter Party to confirm instructions prior to delivery;
● Balancing of Firm Foreign Currency and Stock Holdings
● Posting of Foreign Currency Funds to clients account
● Execute Buy-in against Brokers in Foreign Countries Equity Fails Officer:
● Report to Executive Officers Trades Failing valued at Half Million Dollars
● Liaise with other Department Personnel to resolve outstanding issues.
● Issue Buy-in Warning and post Buy-in
● Resolve differences Re: Stock price, Commissions, Share Quantity and Settlement Dates
● Follow up on all trades outstanding beyond settlement dates Expediter:
● Ensure delivery of stock on appropriate settlement date
● Direct participant and Client Trade Settlement through CDS/BBS Eltra System
● Attend to after 4 settlement of large valve or late reported trades
● Verify that physical stocks are in negotiable form prior to delivery
● Analyze Canadian Depository Transaction Reports And DP reports to verify correspondence with Company’s internal records
● Prepare CDS envelope for Physical Stock delivery to Brokers. Midland Doherty
Toronto, Ontario
Dividends Officer: Oct 1988 - Jan 1990
● Balanced record date position for cash dividend
● Research and monitor trading activities in client and house account to determine dividend eligibility
● Analyzed transaction report to confirm settlement of claims through CDS book base system
● Balanced Broker clearing accounts
EDUCATION
Bachelor of Arts Degree
May 1986
University of Winnipeg
Major: Political Science and Administrative Studies Minor: Economics
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