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Click here or scroll down to respond to this candidateCandidate's Name
Street Address Dumaine Valley RdRiverview, FL Street Address
Cell PHONE NUMBER AVAILABLEEmail; EMAIL AVAILABLESUMMARY:Performs a variety of assigned investment/settlement associated tasks related to the timely and efficient settlement of all investment transactions. Act as a liaison between portfolio managers, traders, brokers, and custodian banks/agents to coordinate the domestic and foreign, equity and fixed income trade settlement process with the goal of minimizing trade failures, therefore, minimizing losses to funds/portfolios. My main responsibility was working with the settlements desk and external counterparties to complete fixed income settlements. Other responsibilities include middle office functions on the trading desk. Presently my position allows for a great deal of functional independence to resolve problems, especially within the Investigation unit of Corporate Actions and Income.EXPERIENCE:04/17/2023 - Present Cognizant /Computer Share Corporation - New JerseyFinancial Analyst/Corporate Action and Income.. Responsible for analyzing and responding to client inquiries related to Corporate Actions and Income Collections processing.Review client trends and identify possible process improvements.Create and maintain MIS relating to investigation accuracy, timeliness, and completeness.Perform asset reconciliation of entitlements, receivables, payables, proofs, breaks and exceptions while researching client investigations.Liaise with Depositories, Agents, Trustees, and Issuers when necessary to obtain information.Assist team members in resolution of complex issues or work overflow.11/31/2022 01/2023 Hexaware Technologies INC. Iselin, New JerseyBusiness Analyst Completion in all trainings that were required. ( Onboarding never happened)02/2013 11/30/2022 CITI GROUP ASSET SERVICES - TAMPA, FLORIDAFinancial Analyst Investigations US Income and Corporate Actions/ North AmericaResponsible for analyzing and responding to client inquiries related to Corporate Actions and Income Collections processing.Review client trends and identify possible process improvements.Create and maintain MIS relating to investigation accuracy, timeliness and completeness.Perform asset reconciliation of entitlements, receivables, payables, proofs, breaks and exceptions while researching client investigations.Liase with Depositories, Agents, Trustees and Issuers when necessary to obtain information.Assist team members in resolution of complex issues or work overflow.Interaction with CSO's and clients on Corporate Action items and Income related items.Track and escalate issues to management.Mitigate risk on Corporate Actions processing.Interface with other operational units as needed.07/2012 01/2013 STATE OF FLORIDA - DEPARTMENT OF TRANSPORTATIONAssistant Manager Revenue CollectionsAssists the Facility Manager with contract management, staffing, monitoring work schedules and oversight of the plaza training and recognition programs.Assists the Facility Manager with meeting financial objectives by controlling operating costs, accurate administration of facility funds, ensuring proper collection and deposit of toll revenues, and reducing toll revenue variances using exceptions reporting, and monitoring toll violation rates for controllable issues such as equipment failures.Assists the Facility Manager with ensuring a safe and secure environment for employees and Turnpike customers by checking for proper operation of facility equipment, monitoring traffic lanes, reporting unsafe conditions, and ensuring a clean, well-maintained facility and grounds, including any associated remote ramp facilities.Delivers exceptional customer service by assisting the Facility Manager with the management of initiatives such as customer comment cards, regional office contact cards, and Sun Pass contact cards.Tracks customer complaints and monitors employee/customer interactions to ensure courteous, professional and helpful service.Communicates regularly with facility personnel on all operational and personnel related matters.Monitors contract employee progress reviews, performance evaluations, and disciplinary actions. Resolves employee conflicts.07/07 01/2013DERIVATIVES CONSULTING GROUP NY, New YorkAssigned -MERRILL LYNCH INTERNATIONAL - PRIME BROKERAGE- New York, NYFinancial Consultant PB Client ServicesResponsible for the settlements of derivatives cash flows for all the business entities including Fixed Income, Credit Derivatives and Equity Derivatives. ( CDS, CDX, iTraxx, Tranche, Bespoke, ABS, MBS)Investigation and resolution of Nostros breaks relating to derivatives trading by calling counterparties and arranging lock ins.Daily communication with external customers, and Hedge Funds clients to confirm high value cash flows.Monitoring and clearance of counterparties queries relating to derivatives cash flows.Daily communication with internal departments such as Cash Management, Finance/Middle and Front offices to ensure the funding of all cash flows is accurate.Daily Pre-confirmation of all payments of USD and Foreign Currencies in relation to Prime Brokerage with clients in US and London.Prepare and release all payments using Cash Manager and ensure that client receivables and payables are done within the standard banking rules.Research Trade discrepancies and cash breaks and try to resolve in a timely manner, Liaison with financial control, middle office and clients to clear all breaks on dealer and client side using Aurora, Paymaster, View-master, Deriv/Serv, and Cash Manager.Prepare and report daily and weekly management reports to show all outstanding payments and comments of their status.Interface with counterparty to work through trade breaks and determine who has trade booking correct.Work with the ML trade capture teams to fix booking when ML booking is proven to be incorrect.Upload eligible trades via spreadsheet (formatted with the help of Access) to the DTCC backload environment.Escalate internal / external booking errors to ML desk support or counterparties as necessary.Train new Merrill employees in understanding the uses of the cash systems and how to investigate Nostros breaks and resolve.07/00- 06/07 SUMITOMO MITSUI BANKING CORPORATION. Capital Markets- New York, NYAssistant Vice President Operations/SettlementsResponsible for the settlements and clearing of all DTCC eligible trades.Using JP Morgan Chase Clearing system process all Repos, Reverse Repos, Corporate, Treasury Bills, Bonds, Notes, Municipals, and Collateral Substitutions.Using Trade Web, Euro Clear, and various electronic trade capture systems, download and confirm trades.Processing of all Futures, Options, Interest Rate Swaps, Forward Rate Agreements, Captions, and foreign currencies using CLS (Continuous Link Settlement).Reconcile all Trading accounts with Clearing Brokers in a timely manner and settle daily margins.Prepare all SWIFT and CHIPS payments using JP Morgan Chase Money transfer System.Prepare daily Funding for Core and Derivatives Products Group.Clear trading account at the end of day by selling excess funds or borrowing to cover account.Supervise the Compliance of the Organization of Foreign Asset management (OFAC) report and advise Legal, Trading and Compliance Departments.06/97- 06/00 SAKURA GLOBAL CAPITAL, INC. - New York, NY ( Sakura merged with Sumitomo)Assistant Vice President- Middle Office- Fixed IncomeOverall supervision of 4 Associates within the middle office group.Ensuring that daily, the Government bond, Repos, Reverse Repos, Municipals, Guarantee Investment Contracts, Futures, Options, Forwards, Swaptions, and all currencies payments are done with the utmost efficiency and verify that all discrepancies are dealt with in a timely manner.Reconcile all trading accounts with clearing brokers along with Futraks report on a daily basis, ensuring any discrepancies are resolved in a timely manner.Set up statistical data for all new commodities, currencies portfolios and traders into Futrak database.Investigate and research any discrepancies with Financial Control.Settle all cash and margin requirements with clearing brokers in Chicago and New York in a timely manner.Verify and pay all brokerage fees.Using Bloomberg and Reuters trading systems, retrieve and input all closing prices (yield curve) for all portfolios and positions.Input F/X rates that are retrieved from London.Confirm all give-ups from brokers ensuring our Clearing brokers receive them and post to our accounts for timely settlements.Project Manager Operations/SettlementsUsing my Product knowledge within the Middle, Back office & Securities Processing experience; assist Management and Systems development with the design of new business solutions, Integrations, and transformation to meet the current needs of our department.Principal Operating Officer (Sakura Prime AAA Program)- Compliance.Assist senior management in managing the Compliance of the AAA program.Ensure that all Compliance Manuals and procedures are up to date and execute the Annual Compliance Plan.Processing of Suspicious Activity Reporting (S.A.R) and Anti Money Laundering report (A.M.L.R).Ensure that all data relevant to Sakura Prime AAA is current.Generate the daily reports for the AAA Program, including the concentration, liquidity, cash-flow, risk, mark to market, and potential program reports and fax to rating agencies.Prepare Compliance Certificate and fax to rating agencies and external auditors on a weekly schedule.Issue counterparties short codes and notify Credit and Documentation department.Update Sybase with the counterparty credit and netting information.Verify all inputs and ensure that valuations between front office and Middle Office agree.On a monthly basis, verify all credit ratings for counterparties make necessary changes and forward to CapMAC, S&P and Moodys.On a quarterly basis, compute and pay commitment and Surety premium.01/95-06/97 NATWEST CAPITAL MARKETS- New York, NYSenior Derivatives Analyst (Middle Office) - Global Financial Markets/High Yield Desk/Operations:Daily processing of all new Guarantee Investment Contract (GICs) deals using IRRMs. Processing and settlement of derivative products with clearing brokers and reconciliation of all exchange traded interest rate futures, options, swaps and forwards for New York Treasury and Group Swaps.Prepared daily Profit and Loss report and verified with traders, after verification faxed to financial control in London.Using Bloomberg Trading System, retrieved principal and interest payment, along with current prices on Collateral Mortgage bonds. Prepared and distributed monthly Synthetic Asset Management (SAMS) statements to various counterparties.Prepared amortization schedules for all new deals using Excel spreadsheets and information received from Bloomberg, e.g., cash pay downs and factors.Prepared Crediting Rate Reset for all deals that reset on a monthly and quarterly basis using data retrieved from Bloomberg and from clients monthly market information.On a Monthly basis, partially prepared a Trading Risk Report using information from Bloomberg such as factors, prices and Cusip numbers and forward to the Trading Risk Department for completion.Acted as liaison between front office, external brokers, financial control, and outside auditors.Assisted in preparation of procedures, setting up new commodities and trading portfolios on the RISC system.Trained new and temporary employees and deputized the banking officer.07/93 12/94 SOUTH RICHMOND SECURITIES INC New York, NYRegistered Representative (Broker)95% of my time was spent on the telephone soliciting potential clients to purchase stocks that the company was the lead underwriter.Working alongside a top producer assisting with clients daily transactions reports, responding to customers inquiries and trying to resolving them in a timely manner.09/91 06/93 REPUBLIC NATIONAL BANK OF NEW YORK Bronx, New YorkCustomer Service Representative.Responsible for commercial and individual clients deposit, verifying the correct amounts on their deposit tickets and updating their accounts.EDUCATION:FLORIDA DEPARTMENT OF TRANSPORTATIONSupervisors Academy (Successfully Completed in December 2012)GOVERNMENT TECHNICAL INSTITUTE- Georgetown, GuyanaDiploma in Commerce (1983 - 1985 ) BA EquivalentEMILE WOOLFE COLLEGE OF ACCOUNTANCY- Georgetown, GuyanaLondon Chamber of Commerce and Industry (LCC) 1981-1982Certificates: Accounting and Auditing.NASDAQ (Series 7, 63 previously held)https://LINKEDIN LINK AVAILABLEPC SKILLS: Software: Excel, MS Word, Familiar with Wycash, GMI, Citistar, FutrakNT, Sybase, Telerate, Reuters and Bloomberg pricing systems. CLS, Aurora, Cash Manager, Paymaster, View master, DERIV/SERV, MIS, IBS, IRRMS, DTC and GDS. Proficient in navigating the DTCC user interface. JPMorgan wire transfer and Securities settlement. Bony Securities settlement system, Vision Time Management, Cubic Toll Systems. Citi Investigations Support Systems-Stock and Bonds, Rips, Diva, Desktop, Bancs, GMS, and Secore. |
