Marcus Edwards Email & Phone Number

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.

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.

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.

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