Customer Service Management

JOSEPH SHAIA

*** **** ****** ~ Brooklyn, New York 11209 ~ 917-***-**** ~ email: ********@*****.***

PROFESSIONAL PROFILE

Talented and results-oriented professional with a comprehensive background in diverse areas of Financial Services, including Asset Servicing, Operational Risk Management, Compliance and Event Coordination. Skilled in identifying financial performance drivers, implementing process improvements, and streamlining daily activities.

CORE COMPETENCIES

Asset Servicing • Brokerage & Custody Operations • Financial Reporting

Operational Compliance • Risk Management • Financial Analytics • Client Experience

PROFESSIONAL EXPERIENCE

FIDELITY INVESTMENTS, New York, New York (2008 – 2011)

Unit Lead – National Financial Services LLC

Maintained responsibility for managing Corporate Actions Compliance team. Oversaw the reconciliation of multiple suspense accounts to ensure SEC and FINRA regulations were met. Worked extensively with auditors and regulatory officials to monitor financial integrity. Led efforts to analyze cost center budget on a quarterly basis and forecast for upcoming time frames. Authored a policy and procedures manual for Multi-Currency Accounts and International processing posted in the company online reference guide. Cross-trained the team in performing at optimal levels.

Key Achievements:

• Managed daily asset movements, foreign currency execution and international and domestic trade settlement.

• Appointed as the head of the Monthly Business Review Board, which included meeting with all departments in the division and reviewing monthly Operations Risk Report, Capital Charges Report, and Risk Metrics.

• Pioneered the implementation of a process with the operational programmers to produce an E-Reporting tool, which eliminated the printing of all daily reports.

• Successfully managed client relationships and project management throughout the division.

Event Coordinator – National Financial Services LLC

- Coordinated Monthly team building activities, events, meetings, projects and budgeting for Operations division

- Successfully organized Annual Golf Outing, which consisted of 144 participants

- Planned quarterly bowling outing for all employees (200) within the division

- Managed fundraising efforts and corporate sponsorships through events within the community

MORGAN STANLEY DEAN WITTER, Jersey City, New Jersey (2007 – 2008)

Senior Analyst – Corporate Actions/Risk Department

Maintained responsibility for the reconciliation in several internal Corporate Action accounts. Acted as a liaison with escalated clients and improved client satisfaction. Tracked incoming SWIFT messages and asset movements from the foreign custodians. Facilitated cross-training sessions, which expanded the knowledge of the entire department.

Key Achievements:

• Played a key role in creating a Divisional Business plan to update critical systems and process workflow, which enhanced efficiency.

• Spearheaded the development of Monthly Business Reporting including metrics and volumes, which detailed financial performance.

EPARCHY OF SAINT MARON, Brooklyn, NY (2005-Present)

Senior Event Planner, Not-for-Profit

- Successfully planned annual fundraisers including festivals, capital campaigns, banquet & gala dinners and golf outings

FIDELITY INVESTMENTS, New York, New York (2005 – 2007)

Senior Risk Analyst – National Financial Services LLC

Performed due diligence with issuer’s counsel and provided trade authorization to internal investment advisors and correspondent firms. Provided clearance on restricted stock, control stock, and ESOP trades. Established 10B5-1 trading plans. Compiled monthly volumes, metrics, and business unit forecasting.

Key Achievements:

• Contributed to the development of the SmartForm, which was an E-form created to alleviate the complexities of completing multiple forms to clear restricted stock and boosted customer satisfaction.

OPPENHEIMER & CO., INC., New York, New York (1999 – 2005)

Senior Analyst – Restricted Stock/Legal Transfer Department

Handled analysis functions and ensured data integrity. Provided trade approval on restricted and control stock to internal brokers. Reconciled internal suspense accounts on a regular basis. Processed reverse splits, death puts, warrant exercises and redemptions.

Key Achievements:

• Streamlined financial processes and increased productivity levels.

• Completed Form 144s to file with the SEC, NYSE, and AMEX.

EDUCATION & CREDENTIALS

Bachelor of Arts, Communications, Minor in Finance (May 2003)

MANHATTAN COLLEGE, Riverdale, New York

Certifications: AML, Compliance and Regulatory Control for Brokerage Accounts, SOX, Asset Servicing and Money Movement Risk, Customer Service CEI, LEAN, FID Forex Currency Compliance, OFAC

TECHNICAL SKILLS

Microsoft Office, DTC, Xcitek, Bloomberg, ShadowSuite, Checkfree Frontier, Actions Compare, SWIFT, CitiDirect for Securities, Euclid PC, Citi FX Pulse, Martini, Sharepoint

ACTIVITIES

Member, Division I Men’s Golf Team, Manhattan College, Fall 1999 – Spring 2003

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