•Proactively manage all Prime Brokerage client issues and queries as they relate to Asset Servicing events with heavy interaction with external clients and expectation to maintain, build relationships with clients and business partners•Responsible for voice of customer facilitation that requires heavy interaction with external clients, key business partners, stakeholders and ownership in building / maintaining client relationships•Track and resolve all queries relative to Asset Servicing products (Corporate Actions, Proxy Voting and Income Processing) across all markets within minimal resolution time•Change Agent to effectively share voice of customer, observe trends, and highlight policies, procedures and behaviors•Measure client volumes against Root cause analysis by regular delivery of client labor studies with keen focus on targeting efficiency initiatives, client behavior and process improvements by collaboration with business partners to reduce repeated themes and improve service•Contribute to team projects including OE green belt program•System maintence / enhancements - Kana Software; composing rules; noting IT issues; UAT testing; educating users across various depts; STP automation of Corporate Action elections testing (internal system)•Active participation in various working groups with across peer groups with purpose to contribute and drive capacity reduction and strategic change•Preparation for client visits, scorecard reviews , training & demonstrations

•Expedited domestic voluntary events•Redemptions: reconciled matured repo contracts; Loans/Borrows and fails•DTC Bony allocations weekly average $3,900,000,000•Daily balancing suspense accounts; Recon STP and stock record positions•Systems processing: ADP; BSG Tracking; Impact•Backup for various functions such as event Set Up; Mandatory and International Corporate Actions•Recognition: Raising the Bar; continuously eager to learn and adapt; Outstanding Performances and Exhibit Teamwork

•Expedited heavy volume conversions – 144A to Reg S / Registration•Project Management - Assisted Mgmt team with outsourcing Custody Dept•Back up various department functions as needed

•Extensive knowledge of department functions for processing all Voluntary and Mandatory Corporate Actions in domestic and International currencies•Troubleshooting: monitor and reconcile outstanding share and cash ledgers•Project planning; assisted with system enhancements to handle updated transmissions with ADP System and street-side vendors to Improve quality of information services•Review clients elections •Interpreted prospectus details for financial advisors/traders•Trade support for OTC and listed securities. Applied trade allocation/charges to proper accounts. Balancing and troubleshooting on ledger differences. Knowledge if DOT , Alert and Oasys systems

•Expedited all voluntary offers including cash/stock tenders; exchanges; oddlots; dutch auctions; rights; warrants; conversions; and consents•Accurately calculated and processed retail/institutional customer instructions within restricted time as well as trade activity and payments for Corporate Actions•Balance stock record and insure availability with timely delivery to agent, contra brokers and customer positions•Trained staff in phases of Corporate Actions and processing systems•Established policies and procedures for colloratize mortgage obligation unit. (GNMA; FNMA; FHLMC)•Assisted with systems enhancements to handle updated transmissions•Interfaced with DTC, banks, information agents, contra broker’s registrars and companies to assure proper payment•Fed Funds Wires; balanced Principal & Interest; stock record reconciliation•Seasoned experience with Unit Investment Trust; IVORS; various specialty projects•Processed liabilities via 180 letters to contra brokers

•Processed domestic Voluntary Corporate Actions •Examined letters of transmittal and securities for negotiability, calculated cash payments and/or securities to be issued; certificates for transfer complying with legal transfer; lift restrictions from restricted securities•Processed securities for re-issuance•All maturing securities (bond and preferred stock) full calls partial calls, redemption and liquidations•Handled Treasury bills, notes and commercial paper•Problem solving and research for brokers•Liaison with bankers, brokers and internal departments to ensure accuracy•Responsible for calculating and crediting large quantities to client accounts and provided annual reports on workflow

•Responsible for bond redemption and daily processing of called bonds•Administered the breakdown of units to the agents and handling transmittals•Heavy interaction with agents to redeem coupons on payless redemption•Created reports of exchange announcements, and microfilming items