Marcus Edwards Email & Phone Number

New York, United States

Nashville, Tn, Us

Promoted to Associate Officer, a title that is well-respected and recognized firm wide. • Direct oversight of the Regulatory Reporting Team.• Product Manager for Global Shareholding Disclosure vendor application.• Preparation and submission of SEC, Treasury and FINRA filings.• Manage relationships with key stakeholders (Operations, Technology, Legal and Compliance) across multiple business lines to maintain the accuracy and quality of information for global regulatory and financial reporting.• Liaison for business, technology and global compliance to drive process improvement and enhance operations.• Monitor and implement global regulatory changes to ensure compliance.• Maintain meaningful and efficient control environment that adapts with new technologies in line with Sox and SOC1/SSAE audit controls.• Develop and tracked Key Risk Indicators and Key Performance Indicators.• Coordinate risk assessments with internal audit to identify quality controls and present solutions to management.

Nashville, Tn, Us

• Promoted to Senior Operations Analyst• Direct oversight of the Regulatory Reporting Team (daily operations, account, and security reconciliation).• Product Manager for Global Shareholding Disclosure vendor application.• Serve as acting liaison between business, technology and global compliance to drive process improvement and enhance operational inefficiencies.• Preparation and submission of SEC, Treasury and FINRA filings. • Develop and tracked Key Risk Indicators and Key Performance Indicators.• Coordinate risk assessments with internal audit to identify quality controls and present solutions to management. • Test User Interface, Consumption and Distribution of new Security Master Database. • Implement enhancements to automate gathering, reviewing & analyzing data for manually priced instruments. • Developed a deep dive month over month analysis for our monthly transaction reporting.• Train staff on reconciliation and quality control processes.• Designed Department website and onboarded new staff across multiple teams within the department.• Business Continuity Coordinator

Nashville, Tn, Us

• Reconciliation and data validation of the SEC and Treasury filings • Lead development of Bloomberg Exchange mapping for Global Shareholding Disclosure vendor application and head multi-listing projects to capture jurisdictional reporting obligations.• Implement enhancements to automate gathering, reviewing & analyzing data for manually priced instruments.• Conduct internal audit risk assessments for Pricing, Security Reference, Corporate Action, Class Action, Proxy teams.• Reported purchases & sales of securities in transactions with foreign residents for compliance. • Created VBA Macro’s that enhanced the accuracy our current processes up to 75% while eliminating manual errors.• Led a successful Disaster Recovery test in which our onshore teams conducted offshores critical processes in attempts to recreate a true Business Continuity scenario.

Nashville, Tn, Us

• Pricing Risk Assessment: Identify areas of non-compliance; evaluating manual and automated financial processes; identifying process weaknesses, inefficiencies and operational issues.• Developed and managed Exception Dashboard for daily and monthly reports conducted by Pricing Team. • Prepared audit and control reports by collecting, analyzing, and summarizing operating information and trends.• Developed Hierarchy Macro and Unpriced Macro to best price manually priced securities and identify unpriced or stale priced securities.

Nashville, Tn, Us

Pricing & Valuations Dept. – Provides the pricing and valuations of all securities held in client portfolios.• Created pricing procedure which included a Microsoft Excel Macro which eliminated the manual processes. Ultimately reducing risk & creating operational efficiencies.• Enhanced Hierarchy Macro that highlighted the appropriate approach to price securities manually • Daily Pricing Review & Control Check: Audit prices and related documents of securities which are manually uploaded by pricing Team on a daily and monthly basis.• Perform Pricing Assessment: Audit company procedures and offer feedback on efficient methods of execution.• Conducted multiple department wide Bloomberg terminal audits as part of cost reduction exercise.

Associates, Accounting

Financial Operations