• Lead the team in successfully completing internal/external department audits.• Create/review control testing on processed items as part of control assessment.• Review/update processes and procedures

Managed a small team of direct reports in processing trades, wires and pension payments.• Reviewed and approved wire payments of >$600 million on a monthly basis.• Documented and updated procedures for changes in client requests or process improvements.

Manage a large team in providing world class customer service to UBS clients.• Reviewed supervisory procedures for quality, accuracy, and professionalism of each rep calls.• Provided detailed call volume, trends and matrix to senior management

• Received The Prudential O.W.L. (Outstanding WorldClass Leadership) Award• Reduced processing time for manual ACATs from 7 days to 3 days• Created Dealer Database which reduced the time to research open items• Awarded the certificate for Outstanding Customer Service• Honored with the employee of the month• Managed conversions with small and large firms• Completed the Management Essential Program • Assistant editor for the departments monthly Learning News Letter

Managed a team of six direct reports in processing trades, transfers and reconciliation of mutual funds accounts.•Guided the team in meeting our monthly Service Level Agreement of 98% complete.•Led the team in processing Share Class Exchanges of over 1.2 million positions worth over $16 billion.•Processed over $75 billion in assets for Wells Fargo Advisors to BNY Mellon as part of the de-conversion project.•Trained employees in their job functions and advised them of any processing improvements. •Established monthly staff meetings and one on ones sessions with each team member.•Reviewed each employee Individual Development Plan, mid year appraisals, annual appraisals and provided constructive feed back.•Developed the departments Business Continuation Plan and responsible for the accuracy of the information in case of an emergency.•Conducted the departments semi-annual systems recertification to ensure that employee applications access were current. •Maintained the department’s asset management plan which included maintenance, replacement or disposal of each asset in the system.•Reviewed Wells Fargo Advisor & Prudential Investments Business Requirement Document to certify all operational requirements were agreed upon prior to any scheduled conversion.•Corresponded with various firms such as Vanguard, Pimco J.P Morgan, and Citigroup on a daily basis to verify transactions, request price protection and research rejected items.•Reviewed asset based fees such as management fees, administrator fees, 12b-1 and service fees on a monthly basis.•Reviewed all financial data contained in prospectus and SAI updates•Excellent understanding of other business units supporting mutual funds transfer agent, risk, performance, and compliance.•Possessing an understanding of various securities and derivative products.•Researched and executed Corporate Actions