Charles Shockley Email & Phone Number

Kansas City, Missouri, United States

Account for the day-to-day management of functional teams and manage daily service delivery and production activities performed by staff and offshore counterparts Maintain positions with periodic review of agent notices to accurately reconcile restructures, interest, and paydowns along with ClearPar LSTA’s agreements for CLOs, Private Debt, and ETFs through Wall Street Office Assist internal parties and investment managers/clients with compliance/fiduciary reviews and audits along with respective servicing banks for Middle Office accounts

Kansas City, Missouri Area

Lead customer launches through onboarding processes which include AML/KYC, Risk Ratings, and overseeing the client level contractual agreement process. Work closely with the client and the business/deal initiator as related to the launch of new funds. This included reviewing entity constitutive documents to obtain all relevant information for establishment of entities, coordinating communication with applicable parties, and allocating to ensure timely launches and escalating to all stakeholders as necessary.

Kansas City, Missouri Area

Process daily capital stock to reflect transfer agent activity and reconcile share variances, basis point impacts, and cash breaks as a result of numerous redemptions, subscriptions, and dividends Collaborate with offshore contract workers, both internal and external, through training and queries on daily processes and provide checks to ensure accuracy is being attained through standard operating procedures and compliance Perform daily sweep to accurately and efficiently reflect the projected end of day balance to allow a precise representation of activity for daily pricing of over 250 funds Coordinate with Client Operations and directly with the client to quickly resolve any issues pertaining to accounting entries, reconciliation of share classes, wire payments, and regulation to ensure functional and practical business practices are in place

Kansas City, Missouri

Performed sweep and performed monthly dividend reinvests on a subset of funds that were deemed sensitive Responsible for processing payments per client request and researching any missing incoming and/or outgoing wires that were paid in error or in non-receipt

Kansas City, Missouri Area

Responsible for providing an exceptional customer experience through offering assistance when needed, ensuring product is on the floor and sized appropriately, and all customers have a quick and efficient cash wrap experience. Additional tasks include stocking, cleaning, and folding merchandise.