SUMMARY

• Corporate Actions Analyst
• Understand business need, Capture, Analyze and document business requirements
• Ability to review evaluate, interpreted and summarized documents presented Self-starter with the ability to thrive in a fast-paced deadline-driven environment. Knowledge of transfer agent requirements. Interface with transfer agents and clients via E-Mail, telephone and regular mail. Internal and external communication in pursuit of the resolution of reconciliation issues. Excellent follow-up and problem solving skills. Experience with the handling of physical securities with excellent verbal and written communication skills. Review legal documentation pertaining to the transfer of securities.
• Physical Security processing. Knowledge of document required for transfer of securities
• Reconciliation Conflict Resolution
• Physical Securities processing / Payment processing / Research skill/ Cash management
• Mandatory, Voluntary Corporate Actions International, Domestic events/ Capture
• Analyze / Research / Cash Dividend payments, updates / Experience with Fixed Income,
• Equity securities / Documentation business requirements.

Skills: MS Office-MS Word, Outlook. Knowledge of DTC, XSP, Bloomberg, IDC and Action Service

PROFESSIONAL EXPERIENCE

Confidential

Business Analyst

• Monitored and analyze incoming Corporate Action information from depositories and custodians. Modified previously announced offers, as new information was made available. Notified clients of pending corporate actions and deadlines dates. Gathered client instructions and instruct depositories and custodians. Handled customer inquires.

Confidential

Business Analyst Corporate Actions

• Examined documents submitted for the processing of physical securities ensured required documents were presented requested additional documentation when required. Submitted completed items to transfer agent/DTC for processing and payment. Generated reports for items presented, paid and pending payment. Monitored DTC for payments and processed journal entries to client account with payments. Conducted research related to the eligibility of securities for transfer and payment.

Key Development: Updated documents requirements. Researched and updated Transfer Agent list

Confidential

Corporate Actions Associate Oversight

• Monitored the notification, election and processing of domestic and international corporate actions by offshore team. Ensured that required audit document were complete and correct. Checked client accounts to ensure that entitlements were correct. Reconciliation of positions with various custodians.

Key Development: Converted audit documents from paper to electronic files.

Confidential

Investment Analyst

• Maintained and processed various corporate actions for International/Domestic, Voluntary/Mandatory Equity and Fixed Income events. Enter portfolio manager election to various custodians in the required time frames. Daily reconciliation of cash and security position breaks between in house positions/accounting and custody. Researched cash breaks and requested foreign exchange be performed. Monitor Security Lending relationships and request securities to be called back. Manage the processing and updating of Cash dividend. Reconcile and file class action on behalf of the firm. Maintained proxy related notices and communicate updated Portfolio Managers on vote due dates. Generated cash receive report for class action proceeds. Maintained pending payment reports for mandatory/voluntary events. Generated position limits reports.

Key Development: Identified opportunities to improve /streamline workflow processes.

Confidential

Wealth Manager Services Corporate Actions Associate

• Verified and sent out corporate actions notifications to fund managers for custody accounts. Maintained records of all corporate action deadline dates. Managed, identified and resolved client cash breaks between accounting systems and custody.

Key Development: Captured, analyzed and documented business requirements.

Confidential

Corporate Actions Analyst

• Reviewed documents submitted by shareholders and Brokers for Mandatory and Voluntary Corporate Action. Verified account documents presented for transfer of securities researched and identified causes of discrepancies. Eliminated the issuance of physical stock certificates for vendor accounts and streamline the process of moving position from internal account to external clients leading to the quick sale of securities and the increase in revenue. Review documentation for account new opening.

Key Development: Streamlined vendor work flow and processes increased turnaround time.

Confidential

Business Operations Specialist

• Maintained and coordinated activity related to Corporate Actions. Perform reconciliation of accounts.
• Contact person for the receipt and transfer of assets from various internal and external parties. Reconciled check deposits for the payment of securities purchased via Odd lot programs. Recorded and reconciliation of purchase and sale transactions Perform due diligence on dormant account prior to the implementation of the escheatment processes. Recording and reconciling of purchase and sale transactions

Key Development: streamlined vendor workflow Identified opportunities to improve operations