Anthony Little Email & Phone Number

Charlotte, Nc, Us

San Francisco, California, Us

• Lead or participate in moderately complex derivatives products within Capital Markets Middle Office• Contribute to large scale planning related to profit and loss generation, attribution and trades• Review, analyze and resolve moderately complex trade issues that require in-depth evaluation• Resolve moderately complex trade issues• Lead team to meet functional area and process deliverables• Deliver solid understanding of the function, policies, procedures and compliance requirements• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals• Lead projects and assist senior managers with industry related initiatives• Serve as a mentor for less experienced analysts

San Francisco, California, Us

• Performing daily end of day P&L reporting to support various trade desks • Resolving trade breaks to ensure correct Front and Back Office reconciliations • Executing Real Time Reporting of trade details to ensure regulatory compliance requirements • Conducting UAT testing and identifying defects in JIRA to ensure accuracies in data migration• Performing information source analysis to extrapolate and develop new database mapping tools• Examining data deficiencies and errors for root-causes and present findings/ create sustainable resolutions• Validating hundreds of FICC, Bonds, and CDS for position, pricing, and derivative identification types

Charlotte, Nc, Us

• Analyzing performance metrics to perform risk assessments • Testing existing procedures for potential market risk exposure • Identifying problematic Third-Party Payment Providers within the Global Markets space • Leveraging Suspicious Activity Reports and referrals to locate potentially high-risk clients • Review internal escalations of potential suspicious activity for possible financial crime concerns • Assisted with the CARES Act's Paycheck Protection Program and TALF loan program • Examining trading activity for regulatory inquiries opened (i.e., CME, CFTC, FINRA, SEC)

San Francisco, California, Us

FCM Market Commissions and Fees• Executing client and inter-company exchange and commission fee charges and bookkeeping entries.• Partnering with FIA-Tech and other internal business partners to onboard new business as needed.• Ensure daily exchange and commission charges are processed in a timely manner.• Responsible for documenting and maintaining standard operating procedures for the exchange and commission reconciling processes.• Liaising with various internal and third-party support groups and trading desks (Sales desk, Brokerage, Client Services, etc.) to escalate and resolve issues in a timely fashion.• Participating in individual and group projects to drive process improvement and support Corporate business initiatives.• Ability to quickly assess the urgency around a problem or situation and escalate if needed.

Charlotte, Nc, Us

• Review and document issues, which provide information to assist in operational enhancement• Responsible for technical and analytical support in a Derivatives, Treasury, and GCIB support operations functions and adjacent L.O.B.’s• Mentor and advise to internal business partners about FX Policies and Procedures• Supporting clients executing foreign currency wires transactions• Subject matter expert for department rate input Accounting Process• Amended the department rate input accounting procedures for the Global FX client service team• Trained staff on line of business rate input accounting procedures to insure bank compliance standards are met• Follows Dodd Frank Regulations and Internal Guidelines in regards to foreign exchange wires• In charge of the FX department mail box and allocation of cases to investigators• Process post settlement FX wire transactions and returns to consumer and business clients• Investigate the movement of funds internationally• Liaise between clients and appropriate teams for client inquiries regarding the status of funds• Communicate to Customers via email or on the phone and provide various services to customers

Charlotte, Nc, Us

GFX Client Services-Educating internal business partners about FX policies and procedures-Supporting clients executing foreign currency wires transactions-Providing technical and analytical support in a Derivatives, treasury, or GCIB support operations function-Administer technical assistance and guidance to less experienced staff in resolving complex transactions.

New York, Ny, Us

• Analyze and ensure company is in compliance with all applicable state laws and regulations of the sale of insurance to our clients • Sustain in-depth knowledge of securities and insurance licensing laws that govern the sale, solicitation and servicing of all AXA products • Process licensing functions including: appointments, terminations, agency changes, commission payment changes, commission changes, acquisitions/mergers and state compliance• Manage databases of active licensed individuals per state doing business with the company for auditing purposes• Assist Legal Department with investigative reporting • Calculate, adjust and process financial transactions for agents, broker dealers and general agencies. • Coordinate with various internal and external parties to properly expedite case processing• Receives and responds to inquiries and coordinate with various internal and external parties for resolution• Handle escalated and time sensitive cases as well as a person of contact for major projects. • Responsible for audit controls of products sold and examine for inconsistencies

New York, Ny, Us

Mediated the return of securities loaned out by directly communicating the recall to borrowing firmsand keeping track of returned assets• Updated international and domestic rate changes that may have resulted from market, currency ratefluctuations as well as conducted contract history checks to correct rate breaks in our system• Orchestrated the pairing off of securities by preparing reports for brokers on securities that are beingsimultaneously loaned out and borrowed by the firm• Prepared the delivery of recalled securities and examined the firm’s positions in the security to ensuredelivery was done against proper marks• Created billing data for multimillion dollar government accounts after examining the activity andreconciling debit and credit entries• Constantly communicated with the London team to assist in maintaining their end of day positionsand reports specific to their marks• Instructed in the cross training of group members on various daily reports and processes that

New York, Ny, Us

Analyzed corporate actions and interpreted filings and other public information to determine thetaxable impact of the event on all the firm’ accounts/holders• Processed such corporate actions, which consisted of identifying holders/accounts, determininggain/losses for each individual lot, and distributing the work per the level of work it requires• Contributed in special attention projects for the group’s largest clients, attending to issues that rangedfrom book keeping entries to trading and mark-to-market discrepancies• Updated positions and associated cost basis for discrepancies that may have been caused by a varietyof systematic and transactional issues in order to accurately reflect the firm’s books and records• Participated in training courses, workshops in preparation for future roles in the program

B.A, Criminal Justice

Education record