Customer Service Operations Associate

Jeff Simmons

***- *** – **** *********@*****.*** Hoboken, NJ

PROFESSIONAL SUMMARY

Detail-oriented Operations Associate with a strong background in monitoring trade activities, reconciliations, and client communications. Proficient in Microsoft Excel and MS Word, adept at analyzing data and ensuring compliance. Demonstrated success in streamlining processes, such as implementing auto statement request applications, and providing excellent customer service to clients.

SKILLS

Microsoft Excel MS Word Excellent verbal and Written Skills Excellent Customer Service Analytical and Workflow Coordination Compliance Analysis Attention to Detail EXPERIENCE

OPERATIONS ASSOCIATE, Newark, NJ

Broadridge, November 2022-January 2023

• Monitoring fail trades

• Requesting extensions on fails

• Working with clients on audit statements

• Completed the implementing of an auto statement request application CONSULTANT (REMOTE FOR GOLDMAN SACHS), New York, NY Park Hudson International, September 2021-December 2021

• Monitoring and booking option trades

• Balancing accounts on daily basis

• Communicating with team leaders with breaks daily OPERATIONS ASSOCIATE (PERMANENT), NYC, NY

EDF Man Capital, September 2019-August 2021

• Monitoring FINRA CAT report daily and notifying compliance of rejections

• Communicating daily on any equity and index option breaks

• Updating Books and Records on option trades daily

• Monitoring equity stock fails and communicating to brokers

• Reconciling all commissions, EDF traders and client traders

• Communicating with all traders on any trade issue discrepancies

• Creating P & L sheet for End of Day calculations

• Reconciling Exchanges and Clearing fees monthly

• Monitoring SWAP trades for confirmations and broker fees OPTIONS OPERATIONS ANALYST (CONSULTANT), Newark, DE JP Morgan Chase, July 2018-August 2019

• Researching and responding to option break emails from counterparties daily

• CMTA trades to clients clearing brokers

• Liaising with middle office on client option resolution

• Matching and clearing Top Day option trades daily

• Coding and booking Top Day trades

• Entering option exercises

• Reconciling equity option exercises and assignment daily with OCC and BPO using OAES

• Cancels and Rebuilds on BPS

• Monitoring Good To Shorts

P & S OPTIONS CLEARANCE ANALYST(CONSULTANT), New York, NY BNP PARIBAS, January 2017-October 2017

• Reconciling equity option exercises and assignment daily with OCC and BNP Paribas books

• Checked accounts daily for option breaks and emailed to correspondents

• Prepared spreadsheet daily showing breaks with correspondents Making journal entries to balance internal cash accounts for collateral, including OCC margin requirements, and excess cash withdrawal from OCC

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• Notifying fund group on amount of collateral to pay or excess cash to receive from OCC daily

• Checking for any illogical option bookings (open/close)

• Enter daily option exercises in ADP/BPS

• Some prime broker matching of trades with corrections for price, commission, and quantity breaks EQUITY OPTIONS CLEARING ANALYST(CONSULTANT)

Industrial and Commercial Bank of China (ICBC), September 2016-December 2016

• Reconciling equity option exercises and assignment daily with OCC and ICBC books

• Daily emailing of exercises and assignment notices to correspondents

• Checked accounts daily for option breaks and emailed to correspondents

• Prepared spreadsheet daily showing breaks between OCC, ICBC, and correspondents

• Making journal entries to balance internal cash accounts with OCC and

• Checking for any illogical option bookings (open/close)

• Monitoring option expirations (including exercises and assignments) on Expiration Days

• Pulling assignment files from OCC after CMTA window closes TRADING OPERATIONS ANALYST/MANAGED ACCOUNTS(CONSULTANT), Weehawken, NJ UBS Securities, March 2016-September 2016

• OnBoarding Money Managers to access trading platform

• Booking equity trades for allocation to multiple sleeves

• Booking Listed and Flex Option trades

• Researching and reconciling options and equity breaks

• Allocating trades

• Monitoring trade rejects and ineligibles on Trading platform

• Trade corrections

• Heavy phone communication with Money Managers

MIDDLE OFFICE / MANAGED ACCOUNTS ANALYST (CONSULTANT), New York, NY JP Morgan Securities, April 2015-November 2015

• Allocating equity trades in

• Booking trades daily for different funds

• Reconciling breaks and forwarding to proper group for processing

• OnBoarding new accounts including Welcome Letters and Managed Accounts documentation

• Monitoring all documentation to books and records

• Auditing Managed Accounts for compliance

• Making sure trades are allocated correctly

EQUITY OPTIONS CLEARING ANALYST(CONSULTANT), Whippany, NJ Barclays Capital LLC, June 2014-November 2014

• Responsible for daily deposits on OCC Encore on escrows

• Daily correspondence with the Margin Group for approval on all deposits and releases for escrows

• Maintaining all reports for Equity and Index options trading activity daily

• Balancing all expiring option escrows between Barclays and OCC weekly

• Monitoring all non-expiring option exercises daily from the Middle Office

• Transferring option positions

EDUCATION

COMPLETED COURSEWORK TOWARDS COMPUTER SCIENCE, Queens Queens College

OBJECTIVE SUMMARY

Have several years of financial services operations and am interesting in a post-retirement position in a different industry that would be able to utilize my excellent skills as a consultant or in a temporary position. In addition, very computer literate and a very fast learner in most environments with a motivation to master the process.

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