**Business Closed** Responsible for account administration and maintenance, gathering KYC information, opening new accounts, completing AML & compliance investigations and providing back up documentation. Executed trade orders on equity, fixed income, options, FX, and mutual funds products, subsequently ensured their prompt settlement and accurate capture in client reporting. Managed the receipt of new corporate actions, contacted clients on elections and followed up with instructions to back office. Executed and monitored free asset transfers, dividends and interest receipts, account journals, loan payments, ACHs, and wires.Helped enhance client relationships by maintaining product and market knowledge, efficiently and accurately completing client requests and by providing professional prompt service, thus maintaining client retention and contentment.Completed an on-boarding project for a new Financial Advisor by efficiently opening over 100 accounts, responding AML queries, overseeing asset transfers, establishing new loans, and obtaining new credit card/checks.Selected to assist RBC in closing its foreign Wealth Management business due to years of experience in operations, knowing the ins and out of migrating an account’s assets, and managing clients’ expectations in a calm and professional manner.

Established policies, procedures, and controls, for Trade Capture, Settlement, Free Asset Transfer, Corporate Actions, Pricing, and Fund order processing for the Investment Operations department comprised of four analysts.Performed gap analysis, identified areas of risk, and developed action plans by creating STPs to mitigate same.Managed the completion of massive cash & position reconciliation project stemming from 25 years of new system implementations and interface integration lacking proper UAT and data integrity reconciliations.Managed the completion of over 180 mutual and hedge fund positions migration to the Euroclear Fund/Settle platform from their individual fund accounts.Constructed a new cost/benefit pricing model resulting in valuation integrity leading to accurate P&L accounting, credit facility extension, and client satisfaction. Generated ideas and executed enhancements for the improvement of Client Reporting by providing transparency and data accuracy.Provided support for the Front Office trading system Charles River and Accounting system, identified and resolves implementation errors, bugs, and omissions.Main point of contact for both Internal Auditors and Federal Reserve Bank examiners, and responsible for responses to audit findings as well as implementation of such.Provided continuous training for own staff as well as education to Brokers.

Liaised with the various departments supporting Global Credit Derivatives Trading, including Front Office and Business Management, to acquire feedback regarding software implementation and upgrades, writing Business Requirements, and working with IT in developments. Subsequently tested and re-addressed issues and bugs until project completion and release to the relevant department users. Products Covered: Credit Default Swaps, Credit Defaults Indexes, C.D.S. Baskets, Index Tranches, Asset Backed Securities, Asset Backed Indexes, Commercial Mortgage Backed Indexes, Commercial Mortgages Backed Securities, Interest Rate Swaps, Cross-Currency Swaps, Collateralized Debt Obligations, Pay-As-You-Go Swaps, CDS Swaptions, First to Default Swaps, and Credit Linked Notes.

Managed a staff of six performing daily Hedge Fund operations of Documentation, Settlement and Reconciliation of OTC Products worldwide including: Credit Default Swaps, Index Credit, ASCOTS, Currency Options and Forwards, Interest Rate Swaps, Vanilla Options, Borrow Swaps, CFDs, NDFs, Variance Swaps, Swaptions, Total Return swaps, Index Options, Index Swaps, and Dividend Swaps.Liaised with traders and legal on non-standard and structured confirmations, originators, and operations by identifying and resolving OTC Documentation breaks across all product types. Negotiated relevant points of the ISDA Master, CSA Agreement, and long form trade documents, providing legal language changes for the implementation of templates.Monitored daily cash flow settlement process for by ensuring timely confirmation, dispatch and receipts of payments through implementation of transfer file loader and the standardization of settlement instructions to a central bank. Established a Trade Capture process by constructing standardized ticket templates, by product, helping alleviate the number of breaks and leading to a more accurate reconciliation of trade economics. Investigated and reconciled the independent amounts and mark-to-market values of trading positions provided by dealer with internal modeling systems and Bloomberg's pricing models, and coordinated trade prices with Risk Management team. Monitored Collateral and cash balances, and prepared cash management reports on fund liquidity. Negotiated margin relief on independent amount rates on hedged positions. Worked with IT programming on the development and functional testing of all new software releases, system enhancements, client data loader, and report building to increase efficiencies of daily procedures.

Exercised trade capture and settlement for European and Asian equity derivative portfolios on the trading desk. Developed and maintained extensive global database for broker, settlement, and stock loan contacts.