Caroline Fitchett Email and Phone Number

Supervises the Fixed Income and Equities Settlement teams, both in Baltimore and Offshore. Works with key stakeholders to escalate any issues with booking flows, resource management, or funding in order to facilitate settlement. Leads projects to help improve efficiency through technological innovation and streamlining SOPs.

Trained new hires within the UST space while cross training on Fixed Income DTC products to become a more versatile member of the department. Acted as an escalation contact for Treasury Settlements, and focused on high value issues. Developed a knowledge base in the DTC market and began to transition to support the new team.

Escalation and SME within the Fedwire settlements team, driving projects to accommodate market changes such as BREXIT and GSCC innovation such as the FICC Sponsored Model. Developed standard operating procedures for the team, and onboarded new analysts and associates.

Monitored Morgan Stanley retail accounts to ensure both the cash and margin sides were in compliance with various FINRA, SEC, and Morgan Stanley policies and regulations. Built and maintained a relationship with the various MS branches in order to assist them in providing client service with accurate information regarding each of our loan products and the regulations surrounding them. Examples of daily functions:• Calculated maintenance and Reg T Calls for accounts that fell below margin requirements, and subsequently provided explanations of the various ways through which the call could be resolved. • Escalated delinquent items to ensure compliance with various policies by enforcing buyins/sellouts. • Acted as a resource to answer branch questions about various aspects of loan/cash products, such as buying power, release, advance, SMA, or regulations. • Reviewed outgoing payments, either internal or external, from Morgan Stanley margin accounts and approved payments as applicable• Worked with branch managers to request extensions from FINRA for uncovered trades• Processed internal journals to reconcile accounts

Organize volunteers and speakers to provide resources to women and children seeking asylum in the United States. Help them gain access to employment services, advocacy, health services, and housing.