Scott Nellis Email & Phone Number

Charlotte, North Carolina Area

• Manage Dividend and Reorganization Department• Process Dividend, Interest and Corporate Action payments in many different currencies (Including Euro Dollars, AUS, NZD, GBP, DKK, NOK etc.)• Taken on HR responsibilities such as interviewing, training, recruiting and managing staffing issues. Cutting overtime to minimize costs.• Work with IT, trading floor and sales to implement system enhancements.• Coordinate the documentation of department’s procedures in the Mentor system. • Monitor and maintain clean suspense accounts.• Create and administer staff’s yearly objectives and year- end performance appraisals.

Charlotte, North Carolina Area

• Manage Dividend and Reorganization Department• Process Dividend, Interest and Corporate Action payments in many different currencies (Including Euro Dollars, AUS, NZD, GBP, DKK, NOK etc.)• Taken on HR responsibilities such as interviewing, training, recruiting and managing staffing issues. Cutting overtime to minimize costs.• Work with IT, trading floor and sales to implement system enhancements.• Coordinate the documentation of department’s procedures in the Mentor system. • Monitor and maintain clean suspense accounts.• Create and administer staff’s yearly objectives and year-end performance appraisals.

Greater New York City Area

Types of Events: Tenders, Exchanges, Mergers, Reverse Splits, Name Changes, Maturities etc.Types of Products: Domestic/International Equities, Corporate/Government/International /Municipal bonds, CD’s, Rights, and Warrants Accomplishments:• • Managed all areas of Voluntary, Mandatory Corporate action & Proxy Processing. • Augmented the cross-regional adaptation for the creation of Dividend & Corporate Action entitlement projections for NY and London Prime Broker customers & the Agency lending business to streamline process in NY. • Client service and efficiency improved allowing for redeployment of 20% of staff.• Procured the documentation for internal/external audits, voluntary Corporate Action alarm report for the front office agency lending trading desk, streamlining procedures in the “Hyper knowledge system”.• Monitored & maintained clean suspense accounts.• Produced staff’s yearly objectives and year-end performance appraisals. Created a team that made client service ownership presentations to the firm.• Contributed to the development, testing & implementation of the Xcitek XSP system, focused on notifications & capturing all elections on voluntary events. • Teamed with IT to deliver precision processing solutions to meet the demands of Prime Broker Hedge Fund clients, increasing client satisfaction by 25%.

Greater New York City Area

Types of Events: Cash & Stock Dividends, Splits, Spin-offs, Rights/Warrants & Bond InterestAccomplishments:• Managed all areas of Dividend and Interest processing.• Documented business requirements & performed analysis for project to create all Dividend, Interest and Corporate Action cash entitlements in the Firm’s Cash Management system. o Resulting in enhanced management reporting, linkage to the general ledger & increased efficiency that allowed for transfer of 30% of staff.• Processed Dividend & Interest payments in many different currencies (Including Euro Dollars, AUS, NZD, GBP, DKK, NOK etc.)• Successfully streamlined processing to reduce staff and overtime and improve risk control.• Controlled clean Cash & Stock receivable/payable ledgers.• Worked closely with IT on enhancements to the in-house Domestic & International Dividend & Interest processing system. o Enabling the firm to post payments to clients in the native currency and increased the overall efficiency of the process. **My time in this particular role started in 1997, prior to that time frame I moved up through managerial roles at Credit Suisse.