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Click here or scroll down to respond to this candidateCandidate's Name
Street Address Princeton TrailEagan, MN Street Address
(C) PHONE NUMBER AVAILABLEEmail: EMAIL AVAILABLECareer ProfileDedicated professional offering over 27 years of analytical experience in the Securities / Financial Industry with a strong record of decisive performance in departmental management, project management, personnel supervision, training, motivation and client relations. Well known throughout the industry for high integrity, character and the ability to accomplish multiple tasks simultaneously, effectively and efficiently.Technical SkillsMS Office applications - Excel, Word, Visio, PowerPointThomson Reuter BETA, GIM, Rockit accounting applicationsBloomberg, DTCC applicationsEmploymentRockefeller Capital Management 12/2022 04/2023*Contracted through Inteli Platforms, Inc. (short term contract)Senior Operations Analyst / RemoteAccountable for all asset movements for the reconciliation of converted accounting applications to the custodian/transfer agent on record. Significant responsibilities and accomplishments include:Understand upstream and downstream processes, acting as subject matter expert for assigned processes or business functions. Identify trends, develop viable re-engineering solutions, understand and communicate risk, control gaps, and process improvement ideas.Monitors daily control report reviews, analysis, and resolution activities. Process daily cash, position or other transactions as identified through discrepancy reports. Process all activities and transactions in accordance with established procedures and policies and revise when applicable.Ameriprise Financial / Columbia Threadneedle Investments 03/2013 05/2022Manager, Portfolio Accounting / Accounting and Administration Services Institutional AccountingAccountable for institutional portfolio accounting functions including cash and other security-related transactions; client onboarding, maintenance and cash-related activities; and other processes designed to ensure the accounting system is accurate. This position is a liaison for institutional client account information and provides client service to internal clients. Accountabilities include:Monitors daily control report reviews, analysis, and resolution activities. Process daily cash, position or other transactions as notified by stakeholders. Process all activities and transactions in accordance with established procedures and policies, meeting or exceeding established service level goals.Understand upstream and downstream processes, acting as subject matter expert for assigned processes or business functions. Identify trends, develop viable re-engineering solutions, understand and communicate risk, control gaps, and process improvement ideas.Perform timely and accurate communication including appropriate escalation to ensure downstream users of the accounting system data are aware of any issues, or discrepancies.Complete retention of records, work and other information, following established procedures and policiesOversees daily reconciliation of assigned mutual fund shadow portfolios in accordance with established procedures, practices and policies, meeting or exceeding established service level goals.Cross train and back up responsibilities as needed.Wells Fargo Advisors, LLC 02/2002 03/2013Client Service Manager A.V.P., Wells Trade Control (01/2011 03/2012)Accountable for all asset movements for self-directed online accounts including but not limited to IRA distributions, IRA Contributions, Incoming ACATs, DRS, DWAC, ACH, Wires, Checks, Journals and the negotiability of physical securities. Significant responsibilities and accomplishments include:Supervised, created and developed team of 23 individuals dedicated to online brokerage accountsDeveloped 36 auditable procedures and processes for groups responsibilities and developed supervisory controls to ensure proper complianceConsulted with officers regarding the development of the Wachovia post-merger, nationwide procedures to receive, process and liquidate physical stock and bond certificatesTransitioned successfully and collaboratively all department responsibilities and functionality to new team in St. Louis, post-mergerOperations Manager 3, Brokerage Operations Securities Processing (03/2008 01/2011)Responsible for Safekeeping Vault, DTCC Deposits, Legal Transfer, Restricted Securities and seven team members. Significant responsibilities and accomplishments include:Created, managed, budgeted and enhanced CARS Project (Certificate Auto Receipt of Securities) as Lead Technical Consultant which resulted in significant cost savings and higher client satisfactionWorked instrumentally and cooperatively with the legal department in revisions of Rule 144, provided assistance and recommendations on updating all legal forms and provided constant updates to the fieldSenior Consultant on periodic sales plans (including 10B5-1 Plans)Cross-Training Coordinator for Wells Fargo Retail SupportCoordinated All Supervisor Meeting for Wells Fargo Investments LLCOperations Manager 2, Brokerage Operations Securities Processing (02/2002 03/2008)Supervision of Safekeeping Vault, DTCC Deposits, Legal Transfer, Restricted Securities and 11 team members. Significant responsibilities and accomplishments include:Implemented the automated Restricted Deposit Service for clearance of restricted stock decreasing transfer times by over 400%Coordinated transfer of all physical stock certificates to New York Custody for safekeepingSupervised all conversion / de-conversion of correspondent and sub-firm physical transfersReconciled daily write-off reports, weekly over location reports, monthly department balancing and all production levels for groupManaged projects through process review, development strategy and implementation of new industry initiativesAnalyzed constant risk of trade requirements to ensure compliance with SEC regulationsSenior Consultant on periodic sales plans (including 10B5-1 Plans)RBC Dain Rauscher Minneapolis, MN 02/1997 02/2002Technical Consultant, DRW Distribution Specialist for Restricted Securities / DRW Venture Capital Group.Analyzed and developed systems and acted as liaison for Branch Relations and Venture Capital Funds groupsReviewed processes and recommended improvements to restricted securities systemsProvided on-demand support for Restricted Securities, Employee Stock Options and Capital Markets GroupsSupported all escalated issues for Restricted Securities.Flex-Time Coordinator for RBC Dain Rauscher Corporate Transfer ServicesTeam Lead, Restricted SecuritiesDeveloped the Restricted Deposit Service offered by DTCC to the financial industryMonitored various trades to ensure restricted security trades were in compliance with SEC regulationsActed as primary resource for escalated problems/issuesCollaborated with the Credit & Regulatory Department in assessing the saleability of securities of clients applying for Restricted LoansCoordinated team duties and responsibilitiesSenior Associate/Analyst, Operations ControlMonitored transfers of all securities within OperationsReconciled all errors occurring in daily work of transfer and legal positionsVerified and audited status of securities held in vaultVolunteer WorkTreasurer for Cub Scout Troop #365 2009 - 2013City of Crystal Baseball and T-Ball coach 2009 - 2013City of Eagan Baseball coach 2015 - PresentEducationNorth Hennepin Community College7411 85th Ave N, Brooklyn Park, MN 55445A.A. Degree in Business Management - 1992 |
