Andy Glenn Email & Phone Number

Jersey City, NJ

• Responsible for referential data for 7 million plus securities on the product database.
• Developed new cross training programs.
• Created vendor quality control programs.
• Responsible for responding to compliance and regulatory inquiries and exams.
• Implemented programs to increase employee coverage to support lines of business.
• Educated business partners on pricing and security master policies and procedures.

Jersey City, NJ

• Expanded price coverage of fixed income and foreign securities.
• Increased the frequency of securities priced.
• Implemented expiration schedules and internal controls to monitor manually priced securities.
• Educated business partners on pricing policies and procedures.
• Managed various system projects to enhance the product database.
• Developed and documented procedures and policies for pricing new security types.

Jersey City, NJ

• Responsible for referential data for 1.8 million plus securities on the product database.
• Improved turnaround times for requests to add securities.
• Implemented several enhancements to the product database to improve quality of data.
• Developed new procedures to add new types of securities to the product database.
• Responsible for adding new securities to the database for mass broker dealer conversions.
• Designed a straight through process for municipal security set-ups.

New York City, NY 10281

• Responsible for Branch Deposits, Stock Transfer, Vault, Imaging, Physical Government Deposits and Physical Receive and Deliver.
• Reduced capital charges to the firm by implementing new controls and procedures.
• Improved turnaround times for customer inquiries and requests.
• Implemented a new imaging system to replace the existing microfilm system.
• Reduced physical holdings in the vault.
• Implemented and successfully completed a cross-training initiative.

New York City, NY 10281

• Responsible for Legal and Restricted stock transfers.
• Ensured compliance with SEC rules and requirements as they relate to physical transfers.
• Identified opportunities to automate and improve processing efficiencies.
• Interacted with internal and external customers resolving operational and service related issues.
• Prepared and administered annual performance appraisals.
• Ensured the successful integration of several system enhancements to the branch depository system.

New York City, NY 10281

• Rotated through various business units gaining an overall understanding of brokerage operations.
• Participated in industry, professional, leaderships and computer classes.
• Coordinated and managed various divisional and department projects.
• Responsible for escalated issues, staff reorganization, and upper management communication.
• Enhanced the departmental procedure manuals detailing each section’s area of responsibility.
• Participated in the annual budget forecasting.

New York City, NY 10281

• Selected as charter team leader to identify opportunities to improve processing efficiencies.
• Developed and documented procedures for various functions within the department.
• Interacted with mutual fund complexes and other business units to resolve escalated items resulting in improved business relationships.
• Implemented new employee training program
• Reengineered the automated account transfer delivery process.
• Reduced the financial risk exposure to department by managing the mutual fund fail spread.

New York City, NY 10281

• Selected as charter team leader responsible for cross training, project analysis, trend analysis, and staff reorganization.
• Assisted Section Manager with project management.
• Created and maintained database on general partners' requirements for transfers.

Hicksville, NY 11801

• Surpassed sales goals for two consecutive years.
• Responsible for hiring, training, scheduling, and supervision of staff.
• Resolved customer concerns and improved customer satisfaction.
• Received three promotions based on high level of performance and demonstrated ability to motivate staff and direct their efforts to reach desired results.