Ryan Harker Email & Phone Number

New York City Metropolitan Area

New York, United States

New York City Metropolitan Area

• Provide high level of support to clients trading equity swaps in global and local markets. Covering clients in NA, EMEA, and APAC regions.
• Point of contact for clients on several operational issues including: trade bookings; swap resets, valuations, collateral, settlements, documentation, and audit technology.
• Frequently meet with clients in person; at their offices or hosting various dining and social events.
• Partner with Account Management, Front Office Trading and Sales on trade bookings and client issue resolutions.
• Coordinate globally with London and Asia peers on process and system improvements, along with improving client relationships.
• Provide operations subject matter expertise and value added services to clients where required.

Baltimore, Maryland Area

• Monitor trading operations for potential aggregated beneficial ownership threshold issues and security restrictions over our US, London and Hong Kong offices.
• Effectively communicate to traders, legal counsel, portfolio modelers and management when security ownership or restriction issues arise, along with coordinating proper next step actions.
• Run and analyze multiple daily reports involving the surveillance of firm-wide aggregated ownership in foreign securities for potential filing or ownership disclosure obligations.
• Submit foreign filings or ownership disclosures directly to companies and/or the proper regulatory bodies.
• Responsible for leading the analysis of associate and firm trading for market abuse through a third-party software system, along with maintaining a positive relationship with the vendor.
• Research and facilitate necessary information about IPO’s the company intends to participate in, comprising the share class structures and share availability.

• Provided exceptional service to clients and maintained strong relationships by effectively offering needs driven solutions, and, when necessary, taking ownership of issues to bring viable resolutions.
• Attained a high understanding of and factually answered inquiries in regards to taxable and retirement products such as all types of IRA’s, Estate, Trust, Corporate, UGMA/UTMA, ESA’s, and College Savings 529’s accounts.
• Used several databases and web platforms to efficiently and accurately communicate, and analyze financial information to help clients.
• Created and presented multiple best practice projects and processes to my team and management in order to improve overall efficiency, accuracy, and meet performance metrics for representatives.
• Assist in the training and development of new hire associates, in a coaching capacity.