Sam Neicho Email & Phone Number

Gillingham, GB

London, England, United Kingdom

• Assisted with the return of client portfolios and holdings to new firms for approximately 14,000 clients. Customer entitlements include ca. £37m of client money and £664m in client assets
• Returned client assets via bulk transfers to nominated brokers and client’s own selected brokers, assisting with both CREST and International settlements
• Built relationships with external executing broker, managed the full life cycle of the liquidation process, ensuring all orders are executed, booked, and fully settled in the relevant markets and reflected on the.
• Performed a daily stock reconciliation, investigated, and resolved breaks.
• Controlled the stock withdrawal process, withdrawing assets into certificated form to assist the return of client assets
• Upheld ongoing relationships with International agent and executing broker

• Managed the arbitrage and International business, confirming and pre-matching on trade date to ensure timely settlement and prevent buy-in/ market fines
• Processed stock withdrawals from CREST into other International markets supporting the arbitrage business
• Liaised with the equity dealing desk and International agent to resolve settlement issues in a timely manner prioritising high risk markets
• Worked with International agent to dematerialise share certificates
• CREST matching and settlement
• Assisted with the integration of a new MO/BO system, including testing, and raising issues that arose post go live

• Main responsibilities are to support the Pershing Dealing Desk and to ensure that all Middle Office processes are performed in a timely and accurate manner. Achievements include-
• Worked on a project implementing a new FX affirmation system called BNY iConfirm, analysed impacts to current processes, tested production and reported on MI production
• Deputised in the absence of my line manager and selected by management to help build and test a new stock borrow contract offering, analysed results, then suggested and implemented improvements
• Produced reports for senior management outlining daily P&L
• Involved with the resolution of high-level queries for front to back processes
• Liaised with internal front and back office departments including the equity/fixed income dealing desk