Thomas Bui Email & Phone Number

Salt Lake City Metropolitan Area

New York, New York, Us

• Manage and execute Canadian Dividend Reinvestment (DRIP) and Dividend with Option (DVOP) Corporate Action events including expirations, payments and reconciliation.• Ensure timely processing of client instructions regarding participation, confirm eligibility and proper allocation of shares and submit expiration report.• Prepare payment reports by monitoring Canadian Depository Securities (CDS) and collaborate closely with custodians, brokers, and other stakeholders to reconcile positions and resolve discrepancies.• Assist and provide coverage for team members during periods of high work volume and perform all other job duties as assigned.• Participate in UAT testing for new software implementations and develop a standardized checklist to improve operational efficiency and reduce processing times.• Stay informed on regulatory requirements and market practices related to corporate actions and dividends processing to ensure compliance with Canadian securities regulations.

London, Uk, Gb

• Reviewed thousands of files for a large financial institution to ensure compliance with federal and state consumer protection laws and regulations.• Completed the Excel testing spreadsheet and work paper, and input the testing results into the Compliance Management Tool (Salesforce)• Conducted compliance loan file review analysis for Servicemembers Civil Relief Act (SCRA) protected accounts, including mortgages, consumer loans, and credit cards.• Identified outstanding compliance issues and recommended solutions for implementation of business and regulatory requirements.• Assessed personal financial statements and determined the overall credit worthiness for detailed credit reports.• Report to the Software Engineer and Quality Assurance on any challenges of the Loan Origination Mortgage System.

• Created, shared, and delivered posts on social media promoting the event, as well as encouraging students to sign up for the GMAT.• Utilized connections and networking skills to deliver presentations at clubs/organizations.• Collaborated with other Ambassadors to spread the word about the GMAT-sponsored Entrepreneurship Competition on the campus.

Tampa, Florida, Us

• Worked side by side with senior advisors, helping them follow up with clients, prepared necessary meeting materials for client meetings.• Researched securities and provide knowledgeable insight.• Assisted the advisors with networking and community involvement.

Seattle, Washington, Us

• Resolved customer’s problems and complaints to maintaining customer relations for future business.• Created strategies and projects with co-workers to expand sales by 15% increase in monthly sales.• Assisted Managers to increase profits through reorganizing the sales floor to meet company meets.