Anthony Hoe Email & Phone Number

London, Gb

Manage a team of 9 Analysts in Voluntary, Mandatory Corporate Actions, Dividends, Bond Interest, and CA Scrubbing Team.Research Prospectus and Offering Documents to ensure offers are scrubbed accurately.Validate and confirm CA Offers that are subject to Section 302 Tax.Responsible for ensuring clients receive proper swifts on a Corporate Action Event (MT564, MT566, MT567, MT568)Validate and approve Client Elections in DTC/NON DTC (Paperwork) on all Voluntary Corporate Actions Events.Manage abandoned property accounts to ensure unclaimed funds are escheated properly to the jurisdiction.Responsible for responding to client queries accurately and in a timely matter.Train new hires to ensure analyst are provided with proper guidance to process Corporate Action events.Implement new procedures and controls to improve efficiencies.Host Daily Team Huddle meetings to address any potential issues.Compile metrics/KRI reporting and provide commentary to the risk and control team.Participate in monthly SIFMA Industry calls to discuss issues/recommendations on current and upcoming CA events.Collaborate with Broadridge and Technology Team to enhance processing systems and reduce manual intervention.Work closely with external auditors to ensure our processes have no gaps and that proper controls are in place.

London, Gb

Managed a team responsible for mandatory and voluntary Corporate Actions (Domestic and Latin America) on equities and fixed income productsCommunicated and verified voluntary elections with custodians, depositories, and stock loan counterparties in a timely matter.Worked closely with our Front Office to ensure instructions are received and trades are booked for all Corporate Action eventsDocumented and escalated any Corporate Action incidents in detail and worked with Senior Management to resolve issues.Participated in system upgrade and enhancement on a regular basis

London, Gb

• Calculate and perform the distribution of cash and stock securities owned by the firm’s clients for Corporate Action events o Redemptions on DTC/Treasury/Physical/MBS o PIK Payments o Reverse Stock Splits o Cash and Stock Mergers o Name Changes o Liquidations • Ensure pledges are released for DTC Maturities • Review Lotteries for partial calls/redemptions and instruct trades to be booked in front office • Work closely with Traders and Sales people on a daily basis • Interact with depositories, paying agents, clients, brokers and other banks to resolve issues such as redemption proceeds and trade money differences

London, Gb

• Validated P&I announcements inclusive of dates, factors, and rates o Principal & Coupon Interests on DTC/Treasury/Physical/MBS o Dividends • Worked closely with Product Controllers to ensure proper P&L were being reflected in the trading books • Reconciled exceptions and reduced balance sheet• Responsible for processing SLRM and SLPO adjustments in DTC to ensure proper tracking of REPO and Stock Loan positions • Handled and responded to client inquiries (claims from internal/external counterparties) • Ensured payments were funded with proper wire instructions to Prime Clients on a timely manner • Managed processes for reducing foreign tax withholding for clients and trading desks • Monitored and worked closely with Operations Controls to ensure all Cash breaks were resolved • Participated in quarterly Impact testing to continuously improve daily processing • Held presentations, such as Intellimatch to provide step by step guidance to Corporate Actions

London, Gb

• Responsible for Barclays Largest Cash Nostro: Reconciliation (BONY BZW) and retaining a clear audit trail • Facilitated resolution of outstanding cash breaks and assets at risk by working with various groups (Corporate Actions, Government Clearance, Cash Management, Collateral Management, Prime Broker, ASG Loans, GSU Loans, Static Instruments, Settlements) • Processed daily journal entries to clear breaks between accounts • Validated inventory, payable and receivable accounts • Ensured all outstanding aged open items had up to date comments • Worked closely with various groups to resolve all outstanding aged breaks • Implemented manual reconciliations to Intellimatch • Completed training courses offered by Barclays o Money Market & Fixed Income o Excel Lookups, Macros, and Comparisons o Account Ownership • Trained new hires on the multiple systems used so as to provide adequate back up for analysts and to ensured the highest quality of work • Responsible for generating Daily MIS report