Kevin Learn Email & Phone Number

New York, Ny, Us

Toronto, Ontario, Ca

o Acts as a prime client service rep working to understand and meet our clients' needs. I work closely with internal partners (ie- trading desks, IT, settlements, sales team, etc) to manage service and operational issues impacting our clients. o Reduced correction time and cost by creating a GUI driven process instead of manual rebooking- cutting time down from 5 hour to under 45 mins. o Work in close partnership with control functions (ie-Compliance, Risk teams, and Audit) in order to ensure appropriate governance and control infrastructure across securities and platforms.o Devised and recouped over 1mm in delinquent CMTA commissions.o Discovered and addressed redundancies (ie- pushed for the removal of a $250k+ redundant operation expense).o Work in close partnership with onboarding teams to expedite and ensure a smooth transition to our platform for our clients.

New York, New York, Us

o Managed the equity option flow in a middle office capacity for the trading side of the firm, while acting as a service rep to our hedge fund clients on the prime broker side of the firm.o Streamlined the break procedures reducing resolution time from 8 hours to 40 minutes, increasing transparency, and reducing financial risk.o Mapped out the ORF fee structure for the entirety of the prime broker business while proposing solutions for residual retained cashflows and reduction of excess future cashflow collection. o Created modules to help address the transparency of risk structure related to option trading and holding for our hedge fund clients while acting as a liaison with several high level risk/compliance groups daily to ensure safety of firm risk during the process. o Revised the LOPR process reducing process time from 3 hours to 20 mins while eliminating potential FINRA violations.

o Main point of contact for our clients' options and precious metals investment issues.o Work closely with options trading desk and executing brokers.o. Aided the precious metals trading desk and depositories with trade breaks pertaining to precious metal purchases and deliveries for our clients.o. Redesigned new break reconciliation processes by building macros that increased accessibility for audits and reduced storage and resolution time (break resolution time was cut from 8 hours to less than 2 hours). o. Reformatted weekly expiration procedures to reflect all in-the-money positions prior to OCC updating, and aided in the transition of monthly expiration from Saturday to Friday night.o. Liaise with Front office teams, providing clarity to issue and historical pricing on options.o. Researched inquiries for our prime clients in regards to corporate actions, dividend issues, and transaction activity, while testing and implementing LOPR initiatives.o. Implement and monitor SLAs and metrics for team functions.

o Worked with the trading desk and executing brokers on trade breaks for treasuries, muni-bonds, domestic & international equity, and FX on both the retail and institutional side.o Handled error corrections for PM clients across thousands of accounts.o Reduced a four hour booking process to under 15 minutes creating built-in macros.o Handled allocation breaks and step-out instructions to other brokers.o Monitored and confirmed step-out bond breaks with counterparties.o Streamlined the FX balancing process to reduce holding currency overnight.

o Review the blotter; resolve trade breaks, unaffirmed, fails, and as-of step-in trades; handle OASYS allocations; and internal commission program’s totals on a daily basis. o Open new accounts (DVP/RVP, ALERT, prime broker, hedge funds).o Complete open trade allocations and resolve any remaining trading issues. o Perform ad-hoc projects for the trading desk, sales desk, and our compliance officero Reorganized and digitized the deep storage room (contained every trade and trading issue for the last 10 years) o Daily use of ALERT, OASYS (omgeo order allocation system), FIX (Fidessa), and Bloomberg.o Liaise with 3rd party providers on reconciliation process.

Milwaukee, Wi, Us

o Supported representatives and assistants on all non-stock financial tasks, including opening and transferring accounts, processing checks, correcting trading errors, and wiring money. o Enter mutual fund transactions. o Trained assistants on processes, procedures, and compliance issues. o Helped plan and structure compliance reviews, and maintained the prospectus room.o Played a key role in clearing firm and operating platform conversion, including training representatives and assistants to learn new systems with minimal interruption to daily tasks.o Developed a new account transfer process and system to support the platform conversion effort.o Passed life and health insurance examinations and Series 7, 63, 9 license examinations.