Work with London and International team on Arranging based Prime Brokerage account. Performed the NYSE and Reg U Report Analysis of settled accounts within the firm to ensure Firm Cap Coverage. Acted as principal key risk mitigator in project work encompassing procedural testing of Cross Currency–Cross Regional, Cross Collateralization trade, and funding settlements application. Conferred daily with a client base that includes hedge fund managers, stock specialist, broker/dealers, investment advisors and high net worth individuals. Perform testing and working with IT to enhance the Portfolio margin system, to ensure accurate requirements are being picked up for varies instruments. Liaison with Singapore to ensure that currency payments along with cross currency deliveries are released in a timely fashion. Managed the payments team to ensure a smooth and timely process. Worked with management and IT to enhance the payment system for currency payments that are paid out of US based accounts. I’ve worked with management to create and improve the checklist that was designed for the department. Stepped in and managed the team in the absence of the line manager and management. Sat in with management on the interviewing and hiring process. Performed the on boarding and training of new employees to get them setup in the system.

Worked with London and International team on Arranging based Prime Brokerage accounts. Performed the Prime Services Option Report Analysis of settled accounts within the firm to ensure Firm Cap Coverage. Acted as principal key risk mitigator in project work encompassing procedural testing of Cross Currency-Cross Regional, Cross Collateralization trade, and funding settlement application. Conferred daily with a client base that includes hedge fund managers, stock specialist, broker/dealers, investment advisors and high net worth individuals. Cross trained a team of Analysts for the firms' India Business Contingent site. Remit included comprehensive training on the Monthly Unsecured Reporting for Senior Management review, Prime Brokerage Core Training on the applicable rules and regulations of the house, NYSE and Federal Reserve Board as well as Portfolio account optimization analysis for the firms preferred client base.

Functioned as a liaison between the trading desk and DTC/Reorg departments on trade settlements. Handled Employee Stock Option share settlements for various transfer agents, and institutional clients. Monitored accounts for daily risk analysis on clients' grand fathered and uncovered options accounts. Work included corresponding with various banking agents to settle proper escrow receipts for collateralization of customer's account holding uncovered options. Daily reviewed accounts and initiated authorized payments for the firm's clients based on the available credit / borrowing power in customer accounts. Was assigned leadership role of on-boarding new employees. Including individual and group training sessions, ensuring that new hires were acclimated fully to their respective function; and working with Management on the reorganization of team work flow. Assigned tasks also included weekly 15C-3 reporting. In addition to Option Report Analysis of settled accounts within the firm to ensure Firm Cap Coverage. Presently working with IT in procedural testing of Cross Currency-Cross Regional trade and funding settlements application.

Monitor account for 15C-3, firm exposure and Regulation T calls. Ensured the Firm's customer IRA accounts were in compliance with IRS regulations. Delivered securities out via D.T.C. free to various clearing firms. Also responsible for reporting exception based delinquencies on 144 A and B restricted portfolios.

Act as a liaison between clearance clients and other departments resolving issues with Margin, Dividends, P&S, Stock Loan, New Accounts, Legal, International Trading, Compliance, Commodities, Data Entry, Foreign Exchange, IRA, Risk Control, and Reorganizations.Confer daily with a client base that includes hedge fund managers, stock specialist, broker/dealers, investment advisors and high net worth individuals, concerning the status of trading and holdings in their accounts and applicable rules and regulations of the house, NYSE and Federal Reserve Board. Facilitate timely notice of option exercises and assignments to clearance clients. Review daily activity reports and remedy discrepancies with trade positions, margin calls, or NYSE and, erroneous entries such as duped payments, incorrect transfer of stock etc. Expedite and monitor the transfer of U.S. and International securities, U.S. dollars and International funds from customer accounts as authorized.