SUMMARY:

• Relationship Management Professional with extensive experience working at leading financial service firms providing client service, operations and trade support, and performance reporting. Proven expertise in all aspects of financial services rules/regulations and in trading equities, fixed income securities, options, mutual funds, and ETFs.
• Ability to cultivate long term relationships and collaborate with internal and external partners.
• Excellent project management, client relationship, quality assurance skills, and problem resolution abilities.
• Detail and efficiency oriented; highly organized with strong interaction and interpersonal communication skills.

TECHNOLOGY:

Microsoft Office Suite, VLookups, Pivot Tables, proprietary software applications, Bloomberg, Broadridge applications including BPS and Reorg, StreetScape, PMRSpark

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Operations Specialist

Responsibilities:

• Reviewed and processed remits (periodic payments), incoming checks, and DTC transfers.
• Responded to client service inquiries including ACATs, trading, ACH payments, income payments, account balances, margin, checks, journals, and wires.
• Reviewed and reconciled remits created during the custodian conversion from JPM to NFS.
• Reviewed and reconciled dividend break report.
• Prepared statistics report of remits processed for management review.

Confidential, New York, NY

Client Service Representative

Responsibilities:

• Reviewed, processed, and resolved various advisor/money manager requests including Prime Broker trading, trade allocations, trade reconciliations, cash/position reconciliations, versus purchase updates for equity trades, cancel/rebills, cost basis analysis and issue resolution, tax reporting and 1099 issues, new account applications, corporate actions (reorgs), bond redemptions, proxies, optional dividends, management fees, disbursements, foreign currencies, account transfers, DTC/DWAC transfers, pricing issues, margin issues, periodic journals, and standing letters of authorizations.
• Emailed daily option exercises and assignment notices to RIAs. Reconciled equity option exercises and assignments. Processed versus purchase updates for equity and index option assignments. Reviewed option breaks and emailed notices to RIAs.
• Set up RIAs for performance reporting with Informa Investment Solutions (Investment Scorecard). Interfaced with Investment Scorecard to generate monthly and quarterly performance reports. Reviewed and reconciled monthly exception reports and asset reports. Provided pre - calc data utilizing time weighted and dollar weighted calculations. Reviewed, researched and reconciled performance return issues for accuracy. Updated asset class, asset sub-class, and benchmarks as requested.
• Generated reports/queries to resolve diverse advisor nquiries utilizing Data Warehouse, WealthStation, BetaLink, and ProSurv.
• Conducted UAT testing on Workflow application including test plans, scripts, test case generation, and issue resolution.
• Worked with Broadridge to recover funds for clients from class action lawsuits - provided data files needed for analysis.

Confidential, New York, NY

Relationship Manager

Responsibilities:

• Assigned tasks for RIAs were varied and included overseeing the opening of new accounts and review of account documentation, margin requests, reorg/dividend items, trade issues, providing technical support and enhancements for system applications, and resolving all day to day issues.
• Emailed daily option exercises and assignment notices to RIAs. Reconciled equity option exercises and assignments. Processed versus purchase updates for equity and index option assignments. Reviewed option breaks and emailed notices to RIAs.
• Reviewed and processed an assortment of money manager requests including trade reconciliations, technology requests (BearPrime, APL, and Advent), margin calls, Prime Broker account set-ups/issues, and processing of management fees.
• Set up 3rd Party Vendors (Advent, Evare, Black Diamond, Fortigent, and SS&C) with daily/monthly data files.
• Set up RIAs for Performance Reports via Informa Investment Solutions (Investment Scorecard). Resolved performance related issues.
• Created queries/reports to resolve RIA/Money Manager inquiries.
• Generated pricing reports to ascertain securities that were unpriced.
• Generated reports (New Accounts, Margin Requests, Account Transfers) of monthly statistics for management review.
• Prepared RELM (Grouping System) Updates/Enhancements for Advisors/Money Managers.
• Generated Operational/Product Development /Regulatory updates that were distributed to RIAs.

Confidential, Jersey City, NJ

Senior Investment Service Representative

Responsibilities:

• Directed all aspects of daily operations including the supervision, training, scheduling and assignment of subordinate staff.
• Provided expertise to clientele in various trading or investment strategies involving equities, fixed income, mutual funds, precious metals, options, and IPOs.
• Assisted clients with the formulation and implementation of long/short term trading strategies and explained rules, regulations related to such trading.
• Responded to customer inquiries on new accounts, margin accounts, trades, account transfers, reorganizations, dividends and other transactions and generated email responses.
• Researched/resolved customer account problems or complaints.
• Analyzed trades for time of sales to verify accurate trade reports.

Confidential, New York, NY

Account Executive

Responsibilities:

• Conducted analysis of client portfolios; prepared recommendations to improve portfolio performance and assisted with trading strategy formulations.
• Ensured the timely execution of client trades; issued confirmations and special instructions.
• Expanded retail and institutional client base through networking, prospecting, and satisfied client referrals while providing full services to established accounts.
• Furnished expertise to clientele in all technology issues as well as equity, fixed income, options and investment products.