Kenneth Baggio Email & Phone Number

Lisle, IL.

• Reporting to the Chief Financial Officer and Chief Compliance Officer, responsible for all back office operations including reviewing suitability and concentration positions.
• Annual field audits of branch offices.
• Monitor and implement changes in FINRA directives.
• Implement Continuing Education courses through Quest CE.
• Liaise with National Financial Services to resolve any operational issues.

Wheaton, IL.

• Reporting to Senior Vice President & Chief Operating Officer, responsible for all back office operations including the establishment of new accounts and transaction processing.
• Maintaining sales blotter, reconciliation of settlements, working daily reports, monitoring electronic trade systems to ensure compliant processing and price reporting to regulators.
• Liaise with BNY/Pershing and Bloomberg to resolve trade & settlement issues.
• Maintain books and records retention.
• Manage the account relationship openings including AML/CIP.
• Simplified the process/procedures used by sales to onboard new clients by creating a standardized checklist.

Chicago, IL.

• Reporting to the Senior Vice President of Operations, responsible for initiating, monitoring, and the settlement of all government book entry securities through our custodian bank. Frequent interactions with front.
• Increased settlement efficiencies by 30% by anticipating settlement issues and problems before they occur, reducing the number of failing trades.
• Created a comprehensive contact spreadsheet by specific departments, allowing for faster communication with clients and other resources, resulting in minimal delay in processing trade resolutions.
• Provided backup for the DTC Specialist and Foreign Securities Specialist on a routine basis.

Chicago, IL.

My responsibilities included the initiating, monitoring and settlement of all government book entry securities through our custodian bank. In addition I also initiated, monitored and settled all foreign security transactions for both local market and Euroclear through our custodian bank.Break Specialist, May 1996 - June 1998IRA Administrator, June 1993.