SUMMARY:

• Having worked in the financial industry, I have experienced progressive responsibility at various organizational levels.
• My experience extends from all aspects of the industry, from operational functions to equity trading to trust administration to servicing clients.

PROFESSIONAL EXPERIENCE:

Confidential, Wilmington, DE

Portfolio Analyst - Assistant Vice President

• Oversee investments in 1,200 plus Trust accounts in which Advisory Trust has fiduciary responsibility, including Revocable Trusts, Irrevocable Trusts and Charitable accounts.
• Oversee the aggregate and individual Trust portfolios functioning as a key liaison with the Investment Advisors.
• Ensure appropriate internal controls and related processes are in place.
• Communicate daily with Investment Advisors to discuss portfolios, to set asset allocation strategies and to create action plans for Trust accounts.
• Work with marketing team in evaluating portfolios of potential new accounts for the company, identifying risk items that need addressing as part of the new account’s transition.
• Initiate and develop Investment Policy Statements for each trust account.
• Perform initial and annual investment reviews for discretionary portfolios.
• Monitor Investment allocation vis-à-vis allocation targets per the account level IPSs
• Manage portfolio liquidity position; monitor levels of cash within existing portfolios and ensure redeployment is timely and appropriate given IPS targets and strategic needs.
• Monitor performance results, as provided by Investment Advisor.

Confidential, Wilmington, DE

Trust Officer - Assistant Vice President

• Handle all elements of trust administration and client service for high net worth clients to include reviewing trust documents and assisting the investment managers with the development of investment portfolios.
• Responsible for maintaining the integrity and delivery of Trust Services, problem resolution and fiduciary administration.
• Perform periodic administrative account reviews (PAARs) of trust accounts to ensure compliance with the terms of the trust document and all applicable laws, regulations, and internal policies.
• Team leader for 5 Trust Associates.
• Oversight of account set-up, maintenance, and account terminations to ensure these processes are performed properly.
• Interpret and ensure compliance of fiduciary accounts with governing instruments, tax and fiduciary laws, and company policies and procedures.
• Supports financial advisors by processing and coordinating fiduciary actions including discretionary distributions, document interpretation, tax compliance and account maintenance.
• Work closely with the Financial Advisors to ensure that the client’s investment strategy, goals, objectives, risk tolerance, tax implications and customized benchmarks are met and exceeded by utilizing the appropriate investment resource.
• Monitor and maintain portfolio controls on asset exceptions, aged items and overdrafts.
• Maintain effective systems and controls to assure that assigned account administration activities meet internal and external regulatory requirements.
• Provide world-class service to our internal and external customers on CAP and Brokerage products.
• Assisted and responded to financial advisors, licensed financial specialists, sales assistants, operations managers, and clients on a wide range of topics, including market information, account values, trade executions, regulatory issues, account tax questions, and legal requirements.
• Resolved client concerns, negotiated outcomes and transmitted issues to senior management.

Confidential, West Conshohocken, PA

Equities Trader

• Bought and sold NYSE and NASDAQ securities with the firm’s capital looking for profitable short-term trades or swing trades using technical analysis.
• Evaluate ongoing market and trading conditions and trends.
• Research and review of daily stock market activity.
• Assisted in the development, testing and evaluation of new proprietary trading programs and systems.

Market Maker

• Perform all market making activities in NASDAQ listed stocks.
• Provide liquidity in the NASDAQ market via ECN trading systems.
• Executed order flow of over a million shares a day in large and mid cap securities.
• Performed technical analysis of stocks in database for systemized trading.

Operations Specialist

• Handled all aspects of trade processing and back office functions.
• Provided prompt, consistent and accurate responses to account inquiries.
• Initiated and investigated ways to provide better client services and to improve processes.
• Ensure day-to-day operations run smoothly and error free.

Confidential, Bala Cynwyd, PA

Wire Operator

• Responsible for the accurate and efficient transmittal of orders for stocks and bonds to the proper exchange.
• Worked with fixed income trading desk to ensure securities were processed and settled properly.
• Responsible for the processing, and reporting of all trades executed by portfolio managers.
• Interacted between sales assistants, financial consultants, and traders to process trades and correct errors.
• Processed all documentation with regards to the opening, updating, transferring, and closing of client accounts.