Remote Chat Support Agent - 15 Years

Jason Williams

****, ********* **, ***** *****, Pennsylvania, 19344, United States • +1-267-***-****

*********@*****.*** • Open to Remote • Open to Relocate • Open to Hybrid • Open to On-Site • LinkedIn

Remote Chat Support Agent

SUMMARY

• 15 years of experience in Securities Settlement & Trade Support, specializing in Trading Operations across multiple asset classes, including Collateral management and Corporate Actions, with hands-on involvement in client facing activities and solution delivery for external clients and counterparties focused on customer satisfaction. • Extensive knowledge of Fixed Income & Equities markets, with experience in Financial Instruments and Trading Systems, and adept at balancing accounts and Information Management while providing operational support across custody, DTC/ICSD processes, and cash reporting to manage multiple stakeholder inquiries with a high standard of care. • CompTIA ITF+ Certified, Microsoft Azure Certified, skilled in technology platforms and knowledgeable in General Ledger processes and Microsoft Office Suite, leveraging automation and reporting to enhance inquiry resolution and mitigate trade fails in customer service environments. • Proficient in DST Vision, ILX/BETA, FUND SERV, FBSI, Bloomberg, Clearpar, Axys, MOXY, Global Plus, SQL, SunGard Addvantage, WSO, Trust 3000, VISTA, Aexeo Sentry, with a strong understanding of Front Office operations and Virtual Data Rooms, including FX awareness and coordination with service providers for seamless settlements. • Trained in Cybersecurity Program at Nu Paths, LLC. Data-driven and detail- oriented cybersecurity analyst with three years of experience as a financial security software contractor, ensuring adherence to compliance procedures and producing daily reports for stakeholders, with a background in banking and accounting principles and a proven ability to collaborate with Senior Management on business continuity, personal development, and career development initiatives. PROFESSIONAL EXPERIENCE

Lancaster, PA • 08/2025 — Present

Wealth Investment Associate, Hazlett, Burt, & Watson Inc Reconciled client account activity and prepared client meeting materials to support financial advisors, maintaining a high standard of care to ensure accurate portfolio administration and timely resolution of inquiries.

Processed account maintenance tasks including onboarding and transfers, coordinating with internal teams to maintain accurate records and manage multiple priorities while upholding service level expectations.

Acted as primary point of contact for client inquiries, leveraging customer relationship management software to escalate complex issues to advisors and facilitate research to resolve questions and improve customer experience.

Initiated timely outreach to clients and advisors for time-sensitive account activities to support portfolio administration with precise written communication and uphold service level expectations. Educated clients on account services, platform capabilities, and new technology to improve customer understanding and attention to detail while streamlining account maintenance processes. New Castle, DE, United States • 04/2022 — 05/2025

Trade Settlement /SAR/AML Security Analyst, Axelon Services, Inc. Provide operational support for trading desks across all asset types including: Equities, Derivatives, IG corporates, high yield, US Treasury, emerging markets, structured and mortgage-backed securities, using trade lifecycle knowledge to troubleshoot and mitigate trade fails and ensure accurate reconciliation for external clients and agents/depository. Created and verified accurate wire transfers while using security procedures to determine routing of international and domestic transfers through Fedwire, SWIFT and ACH, applying inquiry management and adherence to SLAs to meet deadlines and ensure compliance with banking standards.

Prepared and performed reviews of domestic and international transactions per request of BSA/AML Compliance Officer for high-risk customers, reviewing OFAC/sanction blocks and completing compliance/regulatory continuing education ahead of deadlines to ensure alignment with accounting standards.

Utilize trade entry systems, trade flow and storage systems, and trade processing systems effectively to drive automation and system enhancements that improve solution delivery, reporting quality, and transactional efficiency.

Assisted in gathering reports and materials for exams/audits and significant production changes, supporting business continuity by maintaining daily checklists and internal control documentation for accurate reconciliation with general ledger requirements. Assessed policies, procedures, and processes for overall compliance with statutory and regulatory requirements to monitor, detect, and report suspicious activities, elevating potential client, counterparty, and regulatory risk to management with immediacy and ensuring balanced accounts. Malvern, PA, United States • 03/2021 — 04/2022

Loan Servicing Operations Analyst, Remote, CITCO TECHNOLOGY MANAGEMENT Worked with varying loan types including bank debt, direct lending, and private debt facilities for hedge fund clients, coordinating with service partners to meet client-facing SLAs and ensure proper collateral management.

Managed the interest rate reset process for adjustable rate loans and generate rate change notifications to

Filed daily aggregate cash reporting for transactions exceeding $10,000 and reported SAR suspicious activity, using inquiry resolution with custody and counterparties to close cash breaks and ensure compliance with front office standards. Used AML procedures to detect and report suspicious activity such as securities fraud and market manipulation through a risk-based KYC program, collaborating with global operational support teams to enhance client reporting and improve the customer experience. Conducted comprehensive analysis of CLO, CDO, and MBS financial data to support accurate reporting and cash flow reconciliation using proprietary models, coordinating with agents/depository to status and resolve stock and cash breaks.

Executed precise calculations and monitoring of capital distributions in alignment with hedge fund waterfall structures, leveraging FX awareness and settlement timelines to optimize processing and ensure reconciliation with general ledger standards. Malvern, United States • 09/2019 — 03/2021

Trust Reporting Associate, The Vanguard Group

Ensure that all workflows, procedures, forms, and returns are compliant with various state and federal regulations.

Monitor tax withholding system modules for IRS and state compliance. Periodically receive and test new releases. Assist management with compliance and reporting issues, ensuring reconciliation with general ledger standards.

Receipted and wired funds between financial institutions through checks and ACH for investigation, coordinating with custodians and external clients to meet service level descriptions and complete inquiry management within timelines, ensuring proper collateral management. Data entry from submitted applications into the cloud computer system, exercising attention to detail when entering information to ensure accuracy.

Jenkintown, PA, United States • 11/2017 — 08/2019

Operations Specialist, Pitcairn Financial

Reconciled various accounts with external custodians and the DTC, using status reviews to resolve position breaks and improve reporting alignment with general ledger standards. Set up security master for new securities.

Assisted in the onboarding of new clients and ensured proper allocation of assets, participating in client-facing migrations and UAT to support solution delivery while demonstrating the ability to work independently within the team.

Processed internal and external asset transfers via ACATs and depository networks, collaborating with agents/depository to troubleshoot settlement status before and after contractual dates and ensure compliance with front office standards.

Collegeville, PA, United States • 06/2016 — 11/2017

(Contract) Account Services Associate, FIS GLOBAL

Assisted with all aspects of the trade confirmation, affirmation, and settlement process with the client, brokers, custodians, and investment banks, leveraging Fedwire and SWIFT messaging and escalating potential financial or counterparty risk to management to ensure trade fail mitigation and reconciliation with general ledger standards.

Coordinated accurate account and broker delivery instructions with client trading departments and vendor applications, engaging service providers and agents/depository to streamline automation and improve quality of service delivery.

Strictly adhered to established departmental processing procedures and controls New Castle, DE, United States • 08/2013 — 05/2016

Global Loans Associate Security Processing Analyst, CITIBANK, N.A. Responsible for the trade closing process within the distressed and par loans market, collaborating with external clients, counterparties, and depositories to status and settle transactions and ensure timely processing and fail mitigation.

Maintaining customer identification records and KYC documentation in the institution's database. Maintained and exceeded key performance identifiers at or above expectations EDUCATION

Excelsior College • Albany, United States

05 - 08/2016

Completed relevant coursework in Finance, Marketing, and Management, equipping with a diverse skill set applicable to managing and developing client portfolios. Harrisburg University • Enola, PA, United States

IT Cybersecurity in IT

09/2024 - 04/2025

Completed the IT Cybersecurity program with a focus on offensive and defensive security strategies, relevant for developing skills crucial in safeguarding sensitive information as a CB Portfolio Specialist I

CERTIFICATIONS

CompTIA IT Fundamentals ITF

Microsoft Certified Azure Fundamentals

CompTIA Network, 04/2025

CompTIA Security

Security Industry Essentials, FINRA, 03/2026

AWARDS

Basic Fire Police (FSC-0604) • 01/2001

Department of Public Safety Training and Certification The earner of this badge has completed training in basic fire policing. The earner is aware of the proper method to be appointed, the laws pertaining to fire police, fire police powers, and the expected duties of a new fire police officer

PROJECTS

09/2024 — 05/2025

Cash Reconciliation Missing Wires, Citbank NA, New Castle, United States The successful completion of the project to search for missing cash wires at Citibank involves thorough documentation, effective written communication with external clients and service partners, and the implementation of preventive measures aligned to client-facing Service Level Agreements. By following these steps, the project can not only resolve current issues through timely inquiry management and automation-driven controls but also enhance the overall efficiency and reliability of the wire transfer process, ultimately improving customer satisfaction and trust in the institution by ensuring accurate cash reporting, FX and securities alignment, and adherence to the general ledger. This project required meticulous attention to detail in information management and close coordination with senior management and operational support teams to manage multiple trade and cash breaks and work independently to mitigate them, ensuring compliance with relevant financial regulations, supporting business continuity procedures, and improving the handling of legal documents and financial statements during solution delivery, including interfaces with Fedwire and DTC depository flows while maintaining accurate updates in customer relationship management software.

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