SUMMARY:

• 7 years Mutual fund transfer agent operations and client service supporting direct clients, portfolio, custodial banks. Process mutual fund trade requests. Assist technology, custody, control accounting and portfolio to seed new mutual funds and closure of funds. Develop end user documentation and data validation procedures.
• 7 years Business and system support experience supporting NAV Fund accounting, fund administration, corporate actions, performance reporting and sales using Confluence, Eagle, Pace, Confidential Sales Page SalesConnct technology.
• 5 years Middle office business and system support, trade reconciliation documenting business and functional requirements. End user testing and requirement gathering from SME and technology.
• Responsible for analyzing the organization’s business domains and documenting the business, the processes and the systems and assessing and defining the integration with technology.
• Data Analysis, System testing/analysis, Client Service, Accounting, Account Services

• Data Migration, Data Remediation Data Conversion
• Sales tracking, operations reporting,
• Requirement Gathering, UAT, Process flow
• Mutual Fund attribute data check, document review
• JIRA project management, Client Onboarding
• Excel, CRM ETL
• Quality control, AML, Confidential, CIP
• Mutual Fund, Confidential, ETN, Confidential NAV dissemination
• Data validation Broker/Rep via Confidential and IAPD
• Middle office & regulatory reporting

TECHNICAL SKILLS:

Image system - AWD, Processing & CRM-AS400 mainframe, 3270DST, PAR, DOS, GUI, TA2000, Accounting-Pacer, Eagle Star, FITS trade system. Unity Work Station, Graphnet, Header Escort Web based CRM, ACS, Confidential Vision, Confidential SalesPage SalesConnect Project management JIRA, Citrix, Vanilla Soft, People Soft, Phone systems- Lucent, Avaya, ACD, Centre VU, Nice, Thomson One, Bloomberg, SQL, Excel, Access, Word, Microsoft Outlook, Visio, and Lotus Notes

PROFESSIONAL EXPERIENCE:

Confidential, St, Boston, MA

IAPD compliance Data Analyst

Responsibilities:

• Business Support Analyst Confidential SalesPage and Confidential wholesale support
• Reconcile/Settle Mutual fund/ Confidential trades placed by transfer agents, Direct Broker Dealers, Direct Investment Advisers by extracting data from client website/calling broker dealer or Investment advisers.
• Perform Data Verification for mutual fund or Confidential security master files, cusips, isins, fund number, fund name Dealer Number, Office city and number, Broker or Financial Adviser.
• Review Commision stream, generate reports, for Broker Dealers, Internal Wholesalers and Third parties.
• Create custom reports for internal sales, external sales, compliance by sitting with the business and gathering requirements for the production of reports
• Dedicated System support for data flow and data verification as Confidential Sales Page migrated over to Confidential Sales Connect for mutual fund and Confidential trades. Reconcile mutual fund trades.
• Perform data integrity checks using Confidential and Confidential sites to meet AML Confidential requirements, review CRD at firm and rep/ adviser level. Gather requirements for sales and compliance for UAT testing documents.
• Support and analyze call center reporting and trend analysis for internal wholesalers
• Document and educate various departments like sales, technology on reconciliation of trades in Confidential Sales page and Confidential SalesConnect
• ETL data for RIA and Broker Dealers using vendor sites such as Fidelity, Confidential, TD Ameritrade
• Direct SME for Morgan Stanley, Confidential, UBS domestic and offshore trade activity for individual or partnerships mutual fund and/or Confidential trades
• Direct vendor relationship management for TD Ameritrade, Confidential and Fidelity
• Support automated reporting for all Channels and support business activity with data analysis and reporting.
• Collaborate with operations, technology, marketing, sales and compliance to support US Retail system integration effort. Work in Agile setting creating data models and mapping.
• Export and analyze large data sets, ETL, in Excel, Text, CSV, PDF format and make recommendations to support integration effort and reconciliation. Adhoc reporting, SQL Select queries, and run reconciled reporting.

Confidential, St, Boston MA

Responsibilities:

• Business Support Analyst Confluence Workstation and Confluence Perform
• Project lead for all new mutual fund launches, liquidations, mergers and conversions
• Maintain records and characteristics for mutual fund events such as new fund launch, fund liquidation, fund merge or fund name change. Create Adhoc/perform events and reporting for Confidential and Confidential as needed.
• Provide support and UAT PVT System testing to Fund Accounting, Financial Reporting, Fund Administration for Confluence Unity Workstation 9.8. SDLC to internal NAV dissemination
• Maintain user access for Confluence Unity Fund Station, supporting fund administration, fund accounting, treasury, portfolio, client relationship teams, sales and compliance.
• Oversee the nightly dissemination of NAV for mutual funds, Confidential and Confidential .
• Review server criteria, Data delivery type as FTP,SFTP, PDF or Excel.
• Monitor Graphnet, outbound files and inbound files. Set correction files, price and fee files accordingly as directed by Portfolio administration, and treasury.
• Document and create new fund worksheet and educate, portfolio administration, fund accounting, sales, client service and technology on the difference of user defined and required fields for maintaining performance and attribution data or calculations.
• Perform T- Test, regression testing, root cause analysis, Capital Group Master Fund Feed conversion to Multiclass, FYE change projects, FTP to SFTP, Server updates. Reporting distribution output conversion Excel, CSV, PDF, ASCI Text. Confluence to Navport migration. Oversee 2000 NAVs on price support, 265 reports, 1200 automated dissemination mechanisms, 9000 recipients via fax, file or email. Jira review

Confidential, Boston, MA

Business Analyst/Data Analyst

Responsibilities:

• Review travel rule wire logs daily, reconcile accounts, escalate triggering events as needed
• Compliance filing/reporting, data integrity check listing, quality control AML, Confidential, large trade reports, escheat, abandoned property NAUPU. Data migration and remediation, transaction monitoring
• Review corporate actions & class action logs daily 17AD-17
• Research and extract large data files via portfolio, custody sales, CRM, Bankwire
• Monitor monthly growth of Confidential, MCH and federal wire transfers.
• Review Broker Dealer, retail banking, mutual fund and portfolio stock account fee structure
• Provide customer service to wealth management clients, inbound and outbound calls
• Review trust accounts, brokerage accounts, LLPs in accordance to AML Confidential
• Generate state and federal abandoned property letters
• Balance Confidential, reissue checks as needed for unclaimed/abandoned checks
• Onboard client profile due diligence reporting/regulatory AML, SAR, Confidential, Dodd Frank reporting

Confidential, Boston, MA

Business Analyst

Responsibilities:

• Perform database management, general ledger accounting, research attribution purchase price and sale price, month, quarter and year end. Review security master and corporate actions via Confidential and Bloomberg files.
• Review dataflow from corporate actions, fund accounting, private attribution, cap stock report for private mutual funds, perform Excel Vlookups, Pivot table, data checks within stated benchmark and tolerance reports.
• Calculate and relay mutual fund and stock performance to client base. Review fixed income, domestic equities, foreign dollar swaps, created Excel, Access Word Web based records and benchmark reporting
• Compliance filing/reporting- data integrity check listing, quality control for, ROI, NSAR, SAS 70, SEC, AML, Confidential
• Process corporate actions, produce stale price & fair value reports, review attribution price levels in accordance to

Confidential, St Boston, MA

Project Manager

Responsibilities:

• Perform database management, process rejected Confidential, Confidential trades and communicate trends to dealers, compliance, custodial banks, legal and portfolio, Populate Confidential website with fund information.
• Review and renew broker dealer agreements disclosing mutual fund automation trade privileges, commission/sales.
• Maintain Broker Dealer Files, run commission reports, research fund and account history.
• Merge and close funds with technology and custodial bank teams.
• Provide inbound customer service to back office and broker dealer community for commission questions, account history or trade settlements. Perform commission review, suggest process improvement, coordinate fund of fund transactions, seed funds, closing of a fund.
• Generate, export, Excel, Access, Word, & Web based records for compliance to track omnibus transparency 22c-2, large trade, suspicious activity, AML, Confidential
• Work with operations to record/scan forms to process trades and account CRM maintenance, purchase, redemptions, exchanges for IRA, Roth IRA, 529, 401k voluntary, JTWROS, RMD, Simple IRA, Transfer on Death, Broker Dealer Changes, Coverdell, transfers, exchanges.
• Assist custody, portfolio and compliance in the seeding of new mutual funds and the closure and transfer of mutual funds across Custodial Banks and internal money moves with suppression. Review tolerance reports

Confidential, St Boston, MA

Mutual Fund Operations Section Manager

Responsibilities:

• Provide customer service and operational processing needs for institutional mutual fund clients. Process, redemptions, purchase, transfers, exchanges, new accounts and onboard new clients with trades, bank wires, Confidential
• Reconcile accounts payable, receivable daily for funds and broker dealers. Perform quality control for call center and operations account processing
• Handle daily requests for mutual fund information from clients and consultants, handle account openings, and liquidations for smaller institutional accounts
• Prepare and review monthly and quarterly client reports. Prepare staff production and quality control reports. Introduce new procedures, workflow and technology
• Manage, hire, develop, review, discipline, reward staff of 12 institutional customer service and account processing reps that supported operational and trade requests. Produce AML, SAR reports daily with Confidential and manual trades.
• Attend client/consultant/prospect meetings and conference calls ensure that client-meeting preparation is complete and all materials have been produced
• Write annual reviews for each associate and provide a monthly feedback session that included, career development discussions, call monitoring and quality. Review department and divisional budget
• Review/ HR policy, vacation, & other benefits. Support institutional sales, marketing, portfolio, control and compliance as needed. Service and market MFS products to the dealer and institutional clients.
• Provide inbound customer service to back office and broker dealer community for commission questions, account history or trade settlements
• Handle daily requests for mutual fund information from clients and consultants, handle account openings, and liquidations for smaller institutional accounts
• Prepare and review monthly and quarterly client performance reports.
• Prepare staff production and quality control reports. Introduce new procedures, workflow and technology Confidential AWD and Confidential custody documents.
• Generate, export, Excel, Access, Word, & Web based records for compliance to track omnibus transparency 22c-2, large trade, suspicious activity, AML, Confidential
• Work with operations to record/scan forms to process trades and account CRM maintenance, purchase, redemptions, exchanges for IRA, Roth IRA, 529, 401k voluntary, JTWROS, RMD, Simple IRA, Transfer on Death, Broker Dealer Changes, Coverdell, transfers, exchanges.

Confidential, Boston, Cambridge

Data Analyst /Business Office Associate

Responsibilities:

• Perform database management for the filing of Death Certificates, Burial Permits and Cremation permits.
• Maintain data and perform data integrity checks for the Confidential and Confidential .
• Verify Hospital data such as Location, Doctor, Nurse Pronouncement information including cause of death.
• Create data verification reports for hospitals, insurance companies and customers as needed.
• Monitor and mediate HTML internet access, post Confidential payments for accounts.
• Review required field data and user defined field data to print permits, medical certifications and verification reports.
• Coordinate and cover Funeral Services, Visiting hours, Wakes, and Remembrance ceremonies.
• Prepare bank deposits for paper checks, perform GL accounting, monthly AR AP reporting
• Review Medical/Health Insurance, records, Life insurance and Establish and review Pre Need Funeral Trust accounts. Perform compliance reporting to for military records, death and birth certificate records.
• Provide inbound call coverage and customer service to the public. Review bills and sales reports.
• Perform Data Analysis and Quality Control of Confidential Oracle State Vital statistics portal with local town halls, hospitals, Social Security and US Military Confidential .