Jim Canavan Email and Phone Number

*Received and resolved inquiries from investment managers/partners and oversaw global & domestic transaction processing for specialized procedures unique to client.*Facilitated timely inquiry resolution and ensured accurate follow up with investment managers and internal partners.*Developed and built mutually beneficial relationships with internal operation partners, client administrators & investment managers.*Investigated and resolved complex issues, exceptions and coordinated corrective entries and preventive processes. *Transitioned partial in-kind withdrawals.*Ensured all domestic & global trades were settled by designated time frame.*Identified & implemented service efficiency enhancements, process improvements and service delivery using proactive measures. *Actioned swift messages for the purpose of purchasing & selling FX currency upon client request.*Originated & notified investment managers of all corporate action & reorganization activity. *Initiated & verified reports for the purpose of funding & disbursement and projected cash reporting for TBA’s. *Eliminated financial risk to the company thru diligent monitoring, research & resolution of client overdrafts, failing domestic/global trades and corporate action issues.

• Reviewed the daily FED sell fail report and investigated all unsettled trades. • Effectively communicated all unresolved trade issues to IMLG, NTGI & SDFI partners to ensure all trades were settled by Fed closing.• Routed trades to appropriate queues to ensure immediate response from IMLG group.• Placed all REPO securities into appropriate REPO collateral disposition.• Inputted REPO trade information on direction via swift reporting.• Manually delivered trades via STS upon direction from IMLG & USTP partners.• Protected Northern Trust Co. from unnecessary risk & claims by adhering to settlement group procedures.• Assisted the Bangalore, India office when needed.• Reconciled & E-filed all end of day balancing reports for the Chicago & Bangalore offices

• Liaised with investment manager and clients to ensure all services are meeting expectations. Identified and implemented service enhancements.• Checked for upcoming invested maturities and called clients to notify them.• Performed cash/trade transactions, manually buying/selling sweep when applicable.• On direction from investment manager processed all FED & DTC buy/sell trades.• Inputted variable rates into spreadsheets. • Initiated ACH debt service payments by due date.• Opened new accounts and reviewed upcoming bond payments, redemptions and draw requests.• Performed reserve fund valuations and notified investment manager for any discrepancies.• Added new variable rate transactions into velocity.• Initiated wire transfers for cost of issuance disbursements.• Drafted & initiated letter of credit draws.• Verified waterfall calculations and prepared cash transfers.• Updated debt service schedules after unscheduled bond calls.• Responded to audit requests & contacted customers regarding outstanding compliance issues.• Ensured all investment agreements were completed in a timely manner.• Corresponded with legal department for any bankruptcy issues.

• Prepared the weekly competitive underwriting calendar, drafted letter of intent and secured syndicate participation in all bond sales. • Submitted bids electronically with 100% accuracy.• Monitored daily activity of bond sales, securing information through effective communication with financial advisor and underwriting desk. Translated intelligence about bond sale activities and made appropriate adjustments throughout the underwriting cycle. • Worked directly with financial advisors, attorneys and legal assistants to provide records management services, including creating and organizing folders, general filing and all legal document indexing. Assisted with FINRA and MSRB regulatory audits and examinations.• Attached all notice of sales and syndicate invitation wires to new issue database.• Collected insurance ratings daily for issues on underwriting calendar.• Created all syndicate invitation wires and maintained on-line syndicate history.• Collected all bond closing file fees via check or by incoming wire.• Completed all legal document requirements ahead of schedule and directed all back office personnel to ensure no bond closings were delayed.

• Proactively investigated & resolved all shareholder requests within two day turnaround.• Quality checked and maintained all shareholder accounts.• Developed and maintained personal contact with assigned clients to resolve all client issues.• Resolved all corporate trust escheatment issues.• Reviewed all surety bond submissions.• Processed and invested all voluntary contributions for dividend reinvestment.• Replaced all lost/stolen stock certificates and dividend checks upon client request.• Attended annual shareholder meetings as a bank representative.• Organized special projects: Team lead for time-sensitive shareholders voting material• Notified management and clients of any overdrawn accounts.• Placed stop payments on checks and voided /approved money movement activities.• Monitored all electronic account transaction activity ensuring accuracy.• Reconciled all POS and ACH processing.• Processed cash transactions within limits and accordance of bank guidelines. • Performed document preparation for document bindings and photocopied fragile items.• Conducted training for new associates on unit functions and procedures.