Nicholas Lee Email & Phone Number

Saint Paul, MN, US

Minneapolis, Minnesota, United States

Minneapolis, Minnesota, United States

Greater Minneapolis-St. Paul Area

• Responsible for operational support and processing for various types of security trades including alternative investments, foreign and/or domestic debt and equity securities, derivatives, foreign currency, and mutual.
• Maintains high levels of customer expectations with both internal and external clients, while monitoring and processing daily trade activity consistent with U.S. Bank policies.
• Prompt research of failed trades to ensure timely delivery or receipt of trade.
• Supports internal operational teams with knowledge of trade activity, failed trades, and overdraft situations.
• Consistent adherence to strict internal guidelines to mitigate processing errors, and trade order errors as these may result in a monetary risk and/or reputation risk to the bank.

Greater Minneapolis-St. Paul Area

• Managed $1M+ fund by guiding and training team of 12 research analysts, preparing monthly macroeconomic reports and portfolio updates, and regularly connecting with fund administration
• Collaborated with other functional positions such as relationship managers, marketing, and operations and risk managers to streamline diversified fund advancement
• Utilized FactSet and Morningstar to collaborate with team of research analysts on background research of possible additions to fund

Minneapolis, Minnesota, United States

• Performed enterprise financial crime case investigation through quality control measures and Actimize software to minimize money laundering
• Provided validation of management resolutions for moderate and low risk Corporate Audit Services issues using Archer database
• Created reports on a variety of credit statistics while gaining strong acumen and experience in credit risk’s continual cycle of control review, testing, and implementation
• Utilized Spanish to translate documents from Elavon Mexico merchants to assist with business line review of controls and exposure sizes