Mark Schepp Email & Phone Number

Greater New York City Area

• Service the high/ultra net worth clients of the private bank
• Assist the private banker with the on boarding of their clients to the brokerage arm of the private bank
• Open new brokerage accounts and making sure all documents are in compliance with firm policies
• Process back office operations requests through our clearing firm, Pershing LLC (Fed Wires, Journals, Checks, ACATS etc.) on a timely basis while making sure all documentation is in good order
• Process client trades on a daily basis
• Heavy phone volume daily with clients and private bankers dealing with various inquiries pertaining to the clients investment accounts

Greater New York City Area

• Provide customer service to various Broker Dealers that clear through Pershing (settlement, trading, clearing, e-del) platform
• Investigate and resolve customer issues and queries

Back office operations for fixed income desk

Greater New York City Area

• Worked in a middle office operations liaison group, Private Capital Investing, a high net worth fixed income desk trading in Municipal, Corporate, US Treasury bonds, Equities and Mutual Funds which was part of the.
• Responsible for the processing of all back office operations transactions within a Broker Dealer environment which cleared through National Financial Services. The transactions involved wire transfers, receipt of.
• Consistently speaking directly with clients and meeting with them on a one to basis regarding customer statements, discussing and selling new products, money transactions, calling on unpaid trades and advising them of.
• Communicate with other departments within the bank to help clients with different questions regarding their accounts
• Work with clients within their portfolio regarding interest payments, bond redemption
• Interfaced with the Customer Service department to help with the overflow of incoming calls

Greater New York City Area

• Experience in Settlement/Margin/Cashiering and ACATS departments in a Broker Dealer environment clearing through National Financial Services
• Responsible for training new employees
• Insure that all daily processing is completed accurately and timely
• Responsible for enforcing company policy in regards to documentation and approval levels for monetary transactions and making decisions for exception processing for customer satisfaction
• Responsible for the timely and appropriate decision making surrounding Reg T requirements to protect the firm from exposure due to market volatility
• Speaking to clients on all aspects of the business including problem solving, discussing new products that come about weekly, calling on past due trades and review of their monthly statements

Uniondale, NY

• Involved in the startup of the Brokerage operations platform
• Communicated with Financial Advisors and their clients on a daily basis
• Responsible for the timely processing of all customer checks, fed wires, check deposits, journals and security deposits through Pershing and Co