Allen Thuong Email & Phone Number

Stoughton, Ma, Us

Stoughton, Ma, Us

United States

Quincy, Massachusetts

I manage the Securities Privilege Unit within Corporate Actions. We are responsible for specialize security processing, such as 144a/Regs exchanges, GDR conversions, warrant exercises, write-offs, etc. for numerous global markets.

Quincy, Ma

> Assist clients with unsolicited corporate action requests, such as 144a/RegS exchanges, worthless securities, convertible securities, warrant exercises, etc.> Instruct sub custodians via SWIFT system> Process custody movements> Facilitate our clients' corporate action elections as part of our external custody business> Provide coverage for the Response Follow-up, Response Audit, Ex-custody, and Security Privilege teams> Work along side senior management on risk minimization and lean projects> Create training material for new hires> Cross-train colleagues on various aspects of the department

Quincy, Ma

> Solicit both internal and external Investment Managers for instructions on upcoming corporate action events> Resolve discrepancies between Investment Managers and sub custodians/agent> Collaborate with processing teams in Canada, United Kingdom, Germany, Italy, and Luxembourg> Perform daily reports to minimize potential exposures > Instruct external custodians, on behalf of our clients, on corporate actions events

Quincy, Ma

> Set-up and verification of securities on MCH, RKS, Financial Transaction Manager through Asset Control > Interact daily with internal and external global clients such as AXA Bank, Investec Bank and Scottish Widows Investment Partnership and respond to their queries> Research independent third party sources such as Bloomberg, S&P, Depository Trust Company, Interactive Data, London Stock Exchange, Crest, and Euroclear to analyze data and make appropriate changes to the security master file

West Bridgewater, Ma

> Conduct Financial Needs Analysts and recommends appropriate products to meet client needs> Deliver informational sales presentations to potential clients and assist with the application process while strengthening client relationships> Educate and setup accounts for clients, including Life Insurance, Mutual Funds, Annuities, and 529 Plans

Franklin, Ma

Reference - Workflow> Retrieved and assembled historical account information for clients > Ensured all requests are in accordance to compliance guidelines> Updated all requests in AWD system and item history> Organized, scanned and reconciled requests

Braintree, Ma

> Trained new Branch Managers on marketing and selling techniques> Introduced managers to company operational procedures> Trained managers on the production aspect of the business> Conducted business overviews at various college campuses > Introduced candidates to company policies and procedures> Trained and managed a team of employees> Generated $60,000 in sales over two summers> Marketed through cold calling, flyers, home shows, and networking> Created and managed production budgets> Analyzed profits> Provided quality customer service

Bachelor Of Science In Business Administration, Finance, Economics

Activities and Societies: Diversity on Campus, Asian American Society

Business, Economics, International Business, Chinese

Activities and Societies: The Beijing Center