Provide a linkage between Product Management, Membership and technical activation aspects of client on-boarding. Assist and create processes and procedures to support new and current products. Coordinate and train with all of Customer/Client Operational staff over to Broadridge Financial systems and reports. Liaise with client support areas in resolving day-to-day operational, systems and communications problems with internal service providers and customers. Ensure the creation of workflows for current and future state, support during all phases of client testing, Gap Analysis, facilitate all client training and mock testing. Engage with the client to set up a Settlements and Clearance department and structure their business from a correspondent platform and onto a self-clearing platform. Ensure the accurate set-up of all new accounts prior to go-live with customer.

• Generate and confirm appointments through prospecting, building a consistent pipeline to meet sales goals for new business.• Build value-added relationships and develop new client accounts to increase revenue.• Sustain a pipeline of suitable appointments and move prospects through the sales process quickly and efficiently through closing stages.• Process merchant cash advance applications accurately and efficiently• Verify merchant information and documentation to ensure compliance with company policies and procedures.• Communicate with merchants, brokers & underwriters to obtain necessary information.• Maintain accurate and up-to-date records of merchant accounts.• Work closely with the sales team to ensure a smooth application and funding process.• Monitor and manage merchant accounts to ensure timely repayments.• Provide exceptional customer service to merchants and respond to inquiries in a timely manner.• Familiarity with underwriting principles and practices• Excellent communication skills, both verbal and written• Strong organizational skills with the ability to manage multiple tasks and meet deadlines.• Proficient in Microsoft Office Suite and data entry• Ability to work in a fast-paced environment and adapt to changing priorities.• Strong attention to detail and accuracy• Ability to maintain confidentiality and manage sensitive information.

Conversion Analyst Specialist providing a linkage between Product Management, Membership and technical activation aspects of client on-boarding. Assisting and creating processes and procedures to support new and current products. Coordinating and training with all of Customer/Client Operational staff over to Broadridge Financial systems and reports. Liaison with client support areas in resolving day-to-day operational, systems and communications problems with internal service providers and customers. Ensuring the creation of workflows for current and future state, support during all phases of client testing, Gap Analysis, facilitate all client training and mock testing. Engaging with the client to set up a Settlements and Clearance department and structure their business from a correspondent platform and onto a self-clearing platform. Ensuring the accurate set-up of all new accounts prior to go-live with customer. Analyzing procedures and identified opportunities to improve productivity, quality and efficiency. Extensive training to all client personnel to ensure proper system use for settlement, balancing, troubleshooting and static maintenance. Monitoring and generate daily, weekly and monthly stats within the client’s pipeline, and their accounts during on-boarding and their cycle time. Monitoring the effectiveness of systems, policies, procedures, and appropriate recommendations to ensure daily operations are efficient. Work closely with Account Executives and Programmers to ensure the voice of the customer, i.e. customer requirements is met and that new products meet testing and implementation specifications. Improve client experience and operational efficiencies by maintaining various training materials up to date. Partner with senior managers / business clients to identify, gather, and understand their goals and to formulate strategies to support them, while prioritizing requests and staying within deadlines.

Expertise in providing market knowledge to leadership as well as to differentiate future enhancements and alignment of technology. Provide extensive knowledge to teams which include the processing and control of investment transactions including trade entry, trade processing, trade validation, including allocations, and trade settlement. Identify and implement process improvements to product data set-up, providing support and maintenance for clients in various systems and applications, across multiple global business lines. Provide ongoing maintenance for client on-boarding, trading, confirmation and settlement through to regulatory reporting. Process optimization solution documents while liaising with business and operations for client/corridor implementations for resolving escalated and complex issues. Analyze and interpret procedures on new efficiency projects and control procedures. Participate in testing of system implementation using independent judgment and decision making. Interact with investment and operational professionals both internal and external to ensure appropriate transaction details, market settlement instructions and/or money movements to occur accurately and on time.

Handle day-to-day full set of settlement and clearance functions for US securities. Confirm trades and necessary follow-ups (e.g. settlement instructions) with counterparts. Process necessary local reporting including management, regulatory and reporting needs. Interact daily with the clearing agents, counterparts, traders, corresponding banks, immediate supervisors, and the head office in resolving issues and settling trades. Participate in process enhancement to ensure prompt settlement and reduce operational risk. Knowledge of securities settlement, brokerage practices, NSCC and DTCC. Well-versed with different investment systems. Resolve complex issues. Advise Portfolio Management professionals on procedures for clearing and settling transactions involving a wide range of securities; Reconcile cash on a daily basis and advise team on the available cash balances and any outstanding related issues. Research and resolve discrepancies between custodian bank records; Ensure the accurate set-up of all new accounts; Provide operational support to clients and internal teams, and ensure consistent communication with all levels of management.

Perform daily reconciliation of transactions, security positions, and cash for all trading activity generated by in-house movements, Book entry, Fails, Deliveries, and the Bank(s) trading desks. Identify accounts that are out of balance and resolve discrepancies and the ability to resolve breaks with trading desk, counterparties and the custodian. In-depth knowledge of ADP Cage 3, BPS, & DTCC processing Stock Record Breaks, Straddles, Fractions, Cash Management utilizing routines, systems, and methods of understanding stock records adjustments and journal entries. Sound reconciliation, research and analytical skills. Strong communication skills (both written and verbal) to interact with external contacts at depositories, agents, and internal clients up to the officer level. Time Management and Multi-Tasking abilities.

Establish relationships with high quality mortgage brokers and other sources.Support broker’s growth by educating client on product, price and service.Maintain a high rate of visibility with clients as well as broker community.Pre-qualify loans with accuracy.Complete understanding of loan process from submission to funding.Demonstrated sales skills and effective communicator.

Proactively prospected, qualified, closed, grew and maintained a regional territory account base consistent with Branch and Corporate objectives. Established, maintained & grew accounts by building broker relationships, maintained accurate records and updated clients profiles using automated resources. Determined client needs and communicated benefits of mortgage products to each broker or Loan Officer as appropriate. Established and demonstrated effective sales processes to include setting clear call objectives, time and territory management, weekly/monthly reporting of activity and enhanced market growth as measured by new account cultivation, client account penetration and breadth of product mix within territory and/or designated accounts. Demonstrated success in a field sales environment. Committed to gaining new brokers and comfortable with cold calling. Demonstrated organization and self-discipline. Ability to excel in a fast paced environment.

Global Custody Manager with a solid securities operations background, high profile role carrying responsibility for the delivery of a superior level of service to one of the Bank(s) largest and most prestigious clients. Identify trade discrepancies and ensure timely resolution and commitment to client services, working closely with multi-disciplined teams across the business. Interaction with Operational risk management, front office, middle office, and external counterparts and ensuring the maintenance of a control culture, robust risk mitigation and procedures. Ensuring the completion of tasks and deliverables consistent with daily deadlines and Service Level Agreements.

Government Clearance Operations Responsible for settlement all fixed income instruments; including commercial paper, asset and mortgage back, repo’s, corporate and municipals securities utilizing the Bank of New York and GSCX system. Interact with Repo and proprietary trading desk on a daily basis monitor and correct all real time repo transactions done with GSCC. Monitor clearance and settlement of our Paris and London accounts, releasing Commercial Paper for Tri-party clearance and end of day funding. Balance all positions between Bank of New York and Repo finance desk system. Investigate failed trades, trade discrepancies and potential interest claims. Responsible for initiating pair offs which reduce settlement exposure to the Bank. Worked closely with Cash Management Group to properly allocate incoming and outgoing wires to proper accounts. Act as liaison between the trading desk, Operations, P & S Department and Accounting. Responsible for the 15c3 lock-up of securities for the Bank. Monitor subject factors for principal adjustments coordinate with overseas counterparts, clients and trading desks on all ABS, CMO, CDO, CLO, MBS, CMBS, RMBS • Responsibility for regular reporting requirements and maintaining operational statistics. • Actively interfacing and managing relationships with wholesale clients, external custodian and a range of internal stakeholders. • Accurately processing, monitoring securities transactions in foreign and domestic markets. • Reconciling and researching contract breaks between each borrower / lender relationship. • Assist in recalls, Stock Loan department in regards to settlement of client portfolio transactions as well as cash management department for investment of cash collateral.• Processing investment transactions, payments and other instructions. • Performing reviews to ensure accuracy of records and timely reporting to client. • Ensuring that all internal policies and procedures are followed.

Responsible for daily security transactions in Europe, Pacific Rim, Latin America, South Africa and other emerging markets. Daily reconciliation of currencies clearing through local custodians and euro clear. Authorize and process foreign exchange and security movements. Monitor bank liability on trade fails, currency overdrafts, back valuation claims, and potential buy-ins. Extensive communication with brokers, clients, trading desk and branch offices. Government Clearance Operations, DTCC & NSCC Clearance, Buy-Ins, Fail Control, & Transfers.

Organized and manage day to day operations Buy-Ins. Street side trades, broker to broker transactions, CNS, Prime Broker, DVP/RVP, Stock Loan/Borrow recalls, termination, default buy-ins, as well as research and reconciliation issues related to the business. Manage process of aged fails to mitigate risk and exposure to the firm and avoid significant penalty fees. Notify branches offices and internal short accounts of fails resulting from their short position and the associated exposure. Extensive communications with senior management and/or trading to buy or sell securities to close out aged fails. Resolve all DK’s; enforce compliance with Rule 387 and 15c3-3 by overseeing extensions in accordance with these rules. Troubleshooting trade issues directly with counterparties, internal front office and clearing firm. Confirm settlements with brokers and initiating pair offs which reduce settlement exposure and send SPO charges via DTCC.

Organized and manage day to day operations Buy-Ins. Street side trades & broker transactions, Prime Broker DVP/RVP, stock loan recalls, termination, default buy-ins, as well as research and reconciliation issues related to the business. Manage process of aged fails to mitigate risk and exposure to the firm and avoid significant penalty fees. Notify branches offices & internal short accounts of fails resulting from their short position and the associated exposure. Extensive communications with senior management and/or trading to buy or sell securities to close out aged fails. Minimize cost of carry incurred for fails greater than 5 days and older.