Manager Management

WILLIAM J. SWINSON

* ********** ******

Waretown, NJ 08758

Cell: 732-***-****

Email: *********@*****.***

OBJECTIVE

A position that enables me to use my experience and knowledge to enhance and improve the middle/back office operations with concentration on reducing company’s risk or exposure.

PROFESSIONAL EXPERIENCE

UBS SECURITIES, LLC – Jersey City, NJ Consultant June 2010 – June 2011

• Processed corporate Actions – Stock Dividends, Stock Splits, Spin-offs, Rights Distributions, Optional Distributions, Dividend Reinvestments, Cash Dividends.

• Researched and reconciled open payables and receivables.

• Resolved discrepancies to the G/L.

• Submitted claims to counterparties and paid claims received from counterparties.

DEUTSCHE BANK – Jersey City, NJ Associate July 2004 – May 2010

• Risk Analysis & Control – Review the procedures for the various domestic operation lines (P&S, Fails, DTC, and Securities Lending) and Latin American branches to determine if there are any potential financial, regulatory or reputational risks to the firm.

• Processed International Dividends – including the computation and payment of entitlements to beneficial holders over a key date.

• Reviewed the stock record and announcements to determine entitlement

• Submitted claims to counterparties on outstanding receivables and followed up until it was resolved.

• Reviewed incoming claims from counterparties.

• Entered payments (USD and foreign currencies) messages via swift or DTC. Processed journal entries to balance general ledger accounts.

• Trained new employees as well as instructed current co-workers on procedures.

• July 2008 traveled to Mumbai, India to train new employees.

REFCO SECURITIES - Jersey City, NJ Associate Dec. 2003 – July 2004

• Processed the allocation of cash dividends, fixed income interest payments – domestic and international.

• Processed corporate Actions – stock splits, stock dividend, spin offs, optional distributions, dividend reinvestments, rights distributions.

• Processed P & I payments for MBS securities (GNMA’s, FNMA’s, FHLM’s) and other fixed income securities.

• Researched and resolved open payable and receivables.

DEUTSCHE BANK - New York, NY Consultant AUG. 2003 – NOV. 2003

• Processed the allocation of international cash, stock dividend and fixed income interest payments.

• Researched and resolved open payables and receivables.

ING BARINGS – New York, NY CORPORATE ACTIONS SUPERVISOR 1996-2003

• Supervised staff of 8-10. Conducted salary and performance reviews.

• Adjusted interest payments for 1099 tax reporting monthly, quarterly, and annually. Reported outstanding open receivables for 15c3 reporting on trial balance.

• Processed corporate Actions – mandatory (stock splits, stock dividends), voluntary (optional distributions, reinvestments.

• Processed dividends (Domestic and International), mutual funds and municipal, corporate and floating rate bonds. Unit investment trust government bond issues, treasury and collateralized mortgage obligations.

• Researched and resolved receivables (recovered over 3 million dollars).`

• Resolved a number of difficult customer issues that resulted in improved relations and enhanced productivity.

• Developed strong interpersonal and foreign communication skills.

• Processed mortgage-backed securities, P&I and cash and stock distribution.

PRUDENTIAL SECURITIES INC. DIVIDEND SPECALIST (1994-1996) 1988-1996

DIVIDEND SUPERVISOR (1988-1994)

AUTOMATIC DATA PROCESSING (ADP) PRODUCT MANAGER 1986-1988

FINANCIAL CLEARING & SERVICES DEPARTMENT MANAGER 1983-1986

EDUCATION

PRUDENTIAL SECURITIES INC. -- Conferences & Seminars

DELEHANTY INSTITUTE, New York, New York

Course: Business Management (completed),

AUTOMATIC DATA PROCESSING (ADP) -- Conferences & seminars

Courses: Business Writing, Presentation Skills, Handling Conflict, Stress Management, 1986 - 1987

DELEHANTY INSTITUTE, New York, New York

Course: Business Management (completed), 1973

SOFTWARE

ADP (BroadRidge), DTCC, Sungard, Bloomberg, Euroclear, Swift, Windows NT, Windows 2000, Windows XP, MS-Office, MS-Word, MS-Excel, MS-Power Point, Microsoft Outlook

AFFLIATIONS (former)

Dividend Division, SIA Advisory Board; ADP – Dividend Focus Group

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