Chaun Ricks Email & Phone Number

Perform detailed research, analysis and transaction tracking according to defined criteria designed to prevent and detect money laundering, financing for terrorist activity, evasion of certain regulatory requirements and other suspicious activity using criteria supplied internally and by external government regulators such as The Office of Foreign Assets.

Process all client transactions into the Global Plus/ SunGuard system including purchases, sells, new securities, and foreign currency exchangesReconcile daily deposit accounts to ensure correct debits and credits with off site vendor and research any discrepancies Build trade instructions and verify that the orders are placed through State Street Bank.

Provide Investor Service and accounting for Prudential and Oppenheimer FundsPrimary contact for daily and monthly deliverablesCoordinates with Fund Accounting, Client contacts, FA contacts, Internal & External services partners and other PFPC departments / vendors to ensure fund deliverables are produced in a timely and accurate manner

Managed team of 15 consisting of 3 units, Transaction Processing, Client Support/Back Office Research, and Fulfillment servicing UBS, the firm's second largest revenue generating clientPrepared business project plans to ensure effective operational measures for the servicing of the clientProviding career coaching for charges while developing individual.

Mutual Fund Conversions/ Special Projects May 2003- March 2006 Reviewed and reconcile P&L statements from outside firms that were converting over to PFPC's custodyProcessed daily stock transactions, booked expenses, calculated daily NAV's, and reconciled cash recs during conversion paralell period before the actual conversionBuilt macros to reconcile.

Managed team of 15 consisting of 3 units, Transaction Processing, Client Support/Back Office Research, and Fulfillment servicing UBS, the firm's second largest revenue generating clientPrepared business project plans to ensure effective operational measures for the servicing of the clientProviding career coaching for charges while developing individual.

Provided back office research for the UBS Client Services Call Center providing accurate solutions to shareholder inquiries and/or broker requestsLead role in establishing a long lasting and productive relationship with UBS/ PaineWebberProvided annual tax training to UBS Call Center employees

Reconcile daily DDAs including cash reconciliation accounts, dividend accounts, and special custody accountsProcessed monthly dividend factors and verified check amountsMailed out monthly systematic withdrawals drafts for shareholders Prepared annual tax statements and consolidated shareholder statementsResearched any account discrepancies and applied.

Processed all trade requests inputting them into the system with accuracy and acceptable speedMaintained volume log and backlog of any issues that prevented the request from being fulfilledSorted daily mail and forwarded to appropriate departments Processed daily NAV entries

B.A., Mass Communications

Activities and Societies: Mu Phi Sigma National Percussion Fraternity , Spartan Legion Marching Band

Ba, Mass Communications