SUMMARY:

• FINRA Registered Operations Professional, specializing in Back and Middle Office Operations, Mutual Fund Transfer Agency Operations and Securities Lending Operations.
• Experienced across a diverse set of functions including: Trade Settlement, DDA,
• New, Adjustment Processing, Retirement Plan Processing and Systems/Applications testing.

TECHNICAL SKILLS:

• Microsoft Office Applications, SuRPAS, MFD, Wystar
• ADP/SIS, Bloomberg, BONY, Business Objects
• ClearStream (via Bridge), Euroclear, DST Vision
• VAST, VISTA, AdvisorCentral, FundSERV pcWebDirect, DTCC PBWS, DTCC Direct Connect
• Impress Imaging, Loanet, FSR, Lotus Notes
• SWIFT Messaging System, IMPACT
• Matrix Trade Platform, Merrill Trade Platform
• BISYS VB Main, HelpDesk Reports
• Adobe NITRO Pro, Numara FootPrints
• OMNI, TE Tops, FSD (Financial Services Desktop)
• PBIS, Workstation, Trust 3000

PROFESSIONAL EXPERIENCE:

Confidential - Oaks, PA

Supervisor

Responsibilities:

• Managed the day to day operations of the Mutual Fund Trade Team located in Oaks, PA and Offshore Money Market Trade Team Located in Bangalore, India.
• Responsible for departmental and incident reporting to Senior Management, presenting departmental statistics and errors in monthly Trust Operations Committee meetings.
• Review and approval of high dollar trades requiring Medallion Signature Guarantee
• Staff development through documented one-on-ones, staff meetings and appraisals
• Review of current processes, procedures and system applications to identify areas for improvement.
• Held weekly conference calls with Senior Management of the Mutual Fund Trade Team's clients, ensuring the best possible client service is provided and all questions and concerns are addressed.
• Chaired weekly DDA and Position break meetings with the Mutual Fund Trade Team; ensuring out of balances are prioritized, addressed and resolved within SLA guidelines. Responsible for client reporting of reconciliation breaks, in addition to presenting statistical data to SEI Senior Management.

Confidential - Newark, DE

Associate Manager

Responsibilities:

• Managed the day to day operations of the Proprietary Mutual Fund Team within the UHNW Private Bank Relationship. The Team is responsible for trade support and settlement, manual trade execution, exchanges, share class conversions, income and corporate action processing and cancel/corrects for Domestic and Offshore J.P. Morgan Funds held in Private Bank/Private Wealth Management accounts.
• Oversight of departmental quality statistics and P&L reporting. Review and approve high dollar and/or complicated processing requests. Ensure recon out of balances are addressed and resolved within standard SLA.
• Monitored and process misc. functions such as; drip updates, fund approval and new fund setup, rate changes, monitor wire deadlines and backup withholding adjustments.
• Interacted with Service, Front Office and Transfer Agencies to ensure rejected and/or as-of trades are price protected and processed according to instructions.
• Developed procedures and held training sessions for the Mutual Funds Transfer Department on the use of DTCC Systems and applications for processing B50 (new account set up), B51 (account update) and B52 (transfer) requests through the DTCC.

Confidential - Harleysville, PA

Owner

Responsibilities:

• Resale and export of automotive and commercial vehicle supplies to distributors in Eastern Europe.
• Established positive relationships with U.S. wholesale distributors, negotiating and securing sales and service contacts.
• Provided clients with comprehensive product offerings and competitive pricing, translating product data sheets and manufacture’s safety data sheets to the Russian language.
• Conducted business with clients by email and virtual meetings via Skype. Ensure that I will be available during the course of clients’ business hours, taking into consideration a seven hour time zone difference.
• Oversight of logistical operations of sales. Orders placed from my distributors are drop shipped to port and loaded on to shipping containers of contracted shipping lines. Responsible for adhering to all U.S. and country of destination export and legal documentation.
• Continuously kept abreast of changes to U.S. and country of destination Custom’s regulations.

Confidential - Dresher, PA

Sr. Trade Desk Analyst

Responsibilities:

• Daily trade settlement and settlement processing. Contact various Mutual Fund Families for review, price protection and resolution of daily trade rejects and settlement issues.
• Review and comparison of position files, pricing feeds, share balance reports and position/monetary variance reports. Take appropriate action to resolve any issues and/or inconsistencies.
• Ensured review of trade files, researched and resolved pre-transmission. Confirm receipt of file transmission and money movement between various counterparties.
• Reviewed ETF Trades for settlement status. Follow up with Clearing Agents regarding trade fails and settlement issues. Perform daily reconciliation of ETFs, review and adjust residual cash and share positions as necessary.
• Performed daily dividend comparison between the Trust and DTC (fund positions). Ensure dividends post accurately and timely, resolving any potential issues and/or out of balances.
• Developed procedures, training materials and facilitated training sessions for Small and Mid-Market Reconciliation Departments. Provided ongoing training support to the Reconciliation departments to ensure SLAs are met, reducing the number of outstanding variances during quarterly statement production.

Confidential - King of Prussia, PA

AVP Supervisor

Responsibilities:

• Supervised the day to day operations of the Securities Lending Department consisting of five analysts.
• Daily Mark to Market processing: Initiate daily batch upload for International securities on borrow or loan. Perform edit checks and manually resolve rejects.
• Contacted counterparties to review positions and changes in daily market value. Resolve discrepancies with Counterparties; agree on totals and submit SPO charges for adjusted collateral through the DTC (or Fedwire).
• Daily Domestic Returns Processing: Confirm and resolve exception processing as directed by the New York Trade desk. Monitor exception screens for rejects and resolve accordingly.
• Daily International Settlement processing. Continuously monitor trade screens for trade fails; research and resolve trade fails. Settle cash positions with counterparties; send or receive SPO charges through DTC or Fedwire. Balance and post daily cash and wires to house account.
• Weekly bulk collateral reconciliation: Confirm fixed income movements with Counterparties and BNP Repo Desk. Ensure BNP Securities Lending Bulk Collateral Report is consistent with Repo desk and Counterparty Collateral Reporting. Research and resolve inconsistencies with Counterparties and Repo Desk.

Confidential - Valley Forge, PA

Senior Unit Manager

Responsibilities:

• Managed the day-to-day operations of the Trade Settlement, Adjustments, Corporate Actions and Services Fees departments within the Managed Accounts Services Division.
• Processed financial and non-financial transaction processing of items such as: subscriptions, redemptions, transfers, exchanges, payroll deductions, new account set ups and account maintenance.
• Processed adjustment request on individual shareholder accounts. Reversed and rebooked financial trades as-of as per the instruction request.
• Monitored department quality statistics on an ongoing basis. Created and implemented departmental policies and procedures aimed at improving efficiency and quality.
• Responsible for research, documentation and presentation to Senior Management of Departmental P&L and incident reporting.
• Collaborated on numerous conversion testing projects including: database region migration, third party payroll processing, file transmission validation, FSR system development and enhancement testing, Image conversion testing and manual flip processing.
• Business Resiliency / Disaster Recovery team member. High Level internal contact for emergency planning, preparation; ensuring business units will function as “business as usual” under emergency situations.