Ryan Harker Email & Phone Number

United States

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.• Perform root cause analysis for clients to increase STP and reduce inquiries and strategize with Trading and Sales to help change client behavior where required to reduce manual processes.• Participate in various client trading analytics projects pertinent to the Trading desk and assist in new initiatives when required by business demand.• Collaborate with Technology Strategy team to help identify internal and external facing technology improvement opportunities.• Manage and facilitate several internal risk reports capturing various client trading data to assist Risk and Controls with business issues. • Resolve client escalations and utilize effective communication skills to work through multiple tasks of varying difficulty with external and internal stakeholders in a fast paced environment.

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.• Conduct several research initiatives; including analyzing SEC filings, identifying new foreign regulatory changes, communicating the impact to the firm, and updating procedures accordingly.

• 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.