• Manage and interpret course of action in relation to Account Funding, including analyzing documents and principal contact on transferring clients’ assets via ACATs and a Third Party Custodian• Communicate with internal and external business partners to provide excellent service in transferring accounts to M&T Bank• Identify and report Risk and Compliance issues, breaches, and suspicious activities to management• Interpret data provided by internal and external parties to process moderately complex tasks• Provide direction to and work directly with clients and client facing staff to satisfy requirements such as Customer Information Profile and Customer Due Diligence• Review documents, open and code accounts on the Trust Accounting platform, and complete key activities in the KYC workflow for new clients• Analyze operating procedures, and make changes to automate while eliminating unnecessary processes by approx. 15%

• Accountable for the uncollateralized credit risk of a subset of Investment Bank clients, supporting a wide range of products such as Derivatives, Forex, and Repos and Loans• Track and report margin calls, reconcile trading portfolios, monitor settlements, and provide extensive regulatory reporting• Identify and fails and disputes in a timely and accurate manner and report to Credit / Risk Management, Collateral Risk Management, and Operations Management• Oversight and Escalations contact for the facilitating transfers internally and externally, as well as the reconciling of breaks for JPM and Third-Party Mutual Funds • Utilizing relationship management skills to ensure an exceptional level of client satisfaction• Managing transactions and inquiries accurately, within established deadlines and in accordance with firm and business policies and procedures, as well as applicable FINRA and other federal regulations• Researching and resolving inquiries and issues through effective interaction with JPMC teams and other staff in a timely and professional manner• Communicate with contra-firms and internal partners to initiate and accurately track transfer requests consisting of asset types such as currency, equities, fixed income, mutual funds, and options in both domestic and foreign markets• Point of Contact for Direct Registration System (DRS) transfers, including processing and maintaining transfers in a timely manner to prevent internal breaches and buy-ins• Participate in resiliency, user acceptance, and workstation testing to improve quality, control, and efficiency• Create reports macros in MS Excel to streamline manual practices, as well as the creation of ad hoc reports for process improvements• Revise / Update Standard Operating Procedures and creating Process Flows using MS Visio• Initiate projects to automate processes in regards to ACATs, Account Restrictions, and Transfer Flows

•Analyze legal opinions to ensure the removal of restrictions on corporate stock pertaining to Rule 144 of the Securities Act of 1933•Communicate regularly with corporate counsel, stock administrators, relationship managers, and shareholders regarding the transfer, converting, or issuance of restricted stock•Performed transfers via DTC (DWAC and DRS systems)•Complied with regulatory requirements including Bank Secrecy Act, Anti-Money Laundering, OFAC, USA Patriot Act, and the Privacy Act•Provide Inter-department training sessions regarding the transfer and sale of restricted stock

• Key liaison to managers and supervisors with analyzing and resolving complex shareholder issues• Investigate and resolve escalated shareholder and SEC requests for various account types and critical companies• Process high valued stock transfer requests impacting company treasury and reserves• Specialize in multiple processes such as Legal Transfers, Sales, Closings, New Account Creations, Cost Basis and General Account Maintenance• Perform extensive analysis for Corporate Actions' mandatory and voluntary exchanges and conversions, including share issuances due to corporate mergers, acquisitions, and dividends• Interpret and disseminate reorganization information to shareholders via telephone or written correspondence• Communicate with Shareholders, Estate Representatives, Brokers and Attorneys on a daily basis to achieve client satisfaction for high profile clients including MetLife, UPS, JPMorgan Chase, and Coca-Cola• Interface and communicate with Clients, Senior Executives and Client Relations Executives in the interpretation and processing of time sensitive complex inquiries, such as share issuances prior to record date, and issuing shares as a rush due to vesting, allowing shareholders full access to sell or transfer shares• Perform system / software testing during migration to the Computershare platform

•Process, balance, and settle mutual fund transactions, including trades, transfers, and dividend payments•Maintain account balances of networked level 3 positions•Assist internal customers / colleagues regarding trade discrepancies via the department hotline Assist the dividend team calculate and pay out dividends to customers on a monthly basis•Support mutual fund department in various projects, including the streamlining of daily processes and system updates.