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Skills

  • Cross-border trade settlement coordination
  • Project organization
  • Regulatory compliance
  • Relationship development
  • FX and derivative trade matching and resolution
  • Cash and asset reconciliation for ServiceNow securities
  • Corporate action processing and turnaround reduction
  • SOX compliance for settlement operations procedures
  • Team building
  • Organization

Work Experiences

  • Met with clients to discuss their financial goals and to review their assets, liabilities, cash flow, and other financial data.
  • Achieved a near 18% retention rate.
  • Had an excellent attendance record and was always on time for work.
  • Advised clients on trade reporting standards, ensuring compliance with changing framework requirements, reducing client errors by 81%.
  • Analyzed settlement trends and root cause failures, implementing corrective actions that improved straight-through processing (STP) by 45%.
  • Advised clients on trade reporting standards.
  • Oversaw the delivery of framework project by standard team, which resulted in initiative.
  • Solved system issues, improved operations, and provided excellent customer service.
  • Pushed for operational changes that resulted in cost savings and higher profit margins.
  • Achieved a $17 cost reduction.

Summaries

  • Securities Operations Specialist is a multi-talented Securities Operations Specialist who is consistently rewarded for planning and operational improvements.
  • By assessing client needs and addressing financial concerns, forward-thinking Securities Operations Specialist is successful at building strong and lasting customer relationships.
  • Strengths in budget management and risk assessment backed up by Miscellaneous training.
  • Costs were consistently reduced while profits were increased.
  • Achieved 26% reduction in clearance times.
  • Within Miscellaneous, senior Securities Operations Specialist and outstanding performer in strategic planning and client relations.
  • Decreased transaction processing time by 80%.
  • Contributed to a $23,000 cost savings for the department.
  • Collaborated closely with both the compliance and legal teams, ensuring a zero compliance violation record by aligning operations with regulatory standards.
  • Consistently recognized for reducing trade settlement failures.

Accomplishments

  • Maintained strong client relationships by resolving trade discrepancies within the past year, contributing to a 21% increase in client satisfaction rates.
  • Facilitated a seamless migration to a new trade management system, training a team of 13 and ensuring zero disruption to daily operations.
  • Led a project that reduced corporate action process cycle times by 61%, minimizing operational risk exposure.
  • Resolved intraday settlement failures through timely communication with brokers and custodians, achieving a 78% decrease in trade exceptions over one year.
  • Optimized SWIFT messaging protocols to increase settlement efficiency, reducing settlement delays by 27%.
  • Implemented an automated trade reconciliation system, decreasing manual errors by 51% and reducing processing time by two years.
  • Audited trade booking workflows, identified inefficiencies, and proposed process modifications that reduced errors by 34%.
  • Fostered communication between front, middle, and back-office divisions, reducing trade-related queries by 61% over one year.
  • Formulated and tracked KPIs for trade operations, improving post-trade processing times by 70% over 18 months.
  • Used Microsoft Excel to develop inventory tracking spreadsheets.

Affiliations

  • American Medical Informatics Association
  • Association for Financial Markets in Europe (AFME)
  • Society of Financial Services Professionals (FSP)
  • Rotary International
  • International Securities Services Association (ISSA)
  • International Association of Administrative Professionals
  • Financial Industry Regulatory Authority (FINRA)
  • Association of Chartered Certified Accountants (ACCA)
  • National Association of Social Workers
  • Association of Information Technology Professionals

Certifications

  • Chartered Financial Analyst (CFA), Level I from CFA Institute
  • Certified Technical Analyst (CTA) for Securities from Beacon Labs
  • Microsoft Excel Expert (MOS Excel) Certification
  • CompTIA Security+
  • Certified Operational Risk Practitioner from Institute of Risk Management (IRM)
  • Certified Compliance & Ethics Professional (CCEP) from SCCE
  • Licensed International Settlements Operator from system
  • Certified Treasury Professional (CTP) by the Association for Financial Professionals
  • SHRM Certified Professional (SHRM-CP)
  • ServSafe

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