• Manage trade authorizations and build financial holding statements for unified and separately managed accounts.• Create, manage and execute trades for managed accounts with $40 billion total AUM.• Manage orders for execution at the US Equities Trading Desk across a variety of Managed Account Strategies.• Process and examine KYC due diligence reviews as prescribed by AML, compliance and legal standards • Interact with internal/external client advisors and investment platform sponsors for new account inquiries.• Establish new managed accounts via APL, OnBase, Morcom, FISERV, UBS GIM2 and other financial institution software systems• Reconcile individual account holdings to ensure proper funding and consistency in the client experience• Identify & resolve individual account discrepancies accurately and efficiently, to ensure systems are ready for trading

• Examine all documentation regarding third party transfers ensuing cooperation with SEC, FINRA, AML and OFAC regulations• Analyze and validate Federal, House, New York Stock Exchange and Equity calls• Calculate individual investors buying power based on account holding, trading history, industry regulations and internal risk management factors• Research and sought resolutions of any margin or risk related problems in order to keep accounts in proper standing• Review and resolve any department out of balance due to payments and journals • Evaluate multiple currency accounts on trading violations to ensue validity

• Prepared and analyzed daily reports highlighting items in Seg deficit according to (15c3-3) regulations• Processed fail trade files• Balanced and reconciled transaction of money for settling trades • Confirmed quarterly stock borrow and loan audits • Conducted Merger & Acquisition presentation to intern class and various Broadridge senior executives with a team of five interns• Completed an eight hour presenting and persuasion management training course• Gained understanding of financial industry through various management training classes