Tom Huynh Email & Phone Number

San Francisco, California

Global Wealth Investment Managementbranch's Operations Department where responsibilities include Trade Corrections and Document Control, Wire & Order, Cashiering, Funds/Securities Receipt & Processing, and Branch Service Administrator for IT Support. And coordinate all major operations service.

San Francisco Bay Area

• Monitored $1.3 B daily Mutual Fund trading volume and transmitted trade data to over 750 fund companies ensuring completeness and accuracy of transactions. Reviewed and resolved mutual fund exception reports and daily regulatory reports ensuring compliance with SEC regulations.• Coordinated system downtime events, communications and escalation of issues to various trading and technology groups, and management to mitigate financial and regulatory risk to the company. • Administered Blue Sky for Charles Schwab 3rd party Mutual Funds ensuring compliance with regulatory requirements and review of accurate reporting from Charles Schwab as broker dealer.• Managed Trading Restriction requests for 750 Mutual Fund companies, monitored on a daily basis and ensured compliance with Federal trading restrictions • Key team member conducting both mainframe and distributed testing for department across internal business partners and technology groups to maximize uptime for an essential computer infrastructure supporting all company operations. • Maintained accurate compliance records working across teams and Records Management to ensure all documentation in multiple formats aligned with company policy for retention schedule, storage and disposition of records.• Initiated paperless/online archival process increasing efficiency and streamlining compliance approval processes, enhancing client privacy and distributing accesses to documents across distributed offices.

San Francisco Bay Area

• Ensured all mutual fund end-of-day prices were received from vendors and processed into Schwab’s system on short-turnaround deadlines. Executed contingency manual process for system backup when prices couldn’t be transmitted or received automatically.• Reconciled trade data $300 M including stock and cash balances to ensure all aggregated trades were placed at the mutual fund companies and executed in Charles Schwab’s clients’ accounts accurately and any out of balances were identified and resolved in timely manner. • Created a centralized SharePoint site for the department used to store all trading process documentations such as procedures, assignments and links to widely used sites for teams across locations to be able to access all the information within reach.

San Francisco Bay Area

• Computer customization specialist to walk-in individual, non-profit, small business, and school district.• Created weekly advertisement on a flyer and posting to the company website.• Assisted purchase department to purchase new inventory such as monitors, computer cases, networking peripherals, video cards, storage, and memory. • An On-call technician and setting up hardware, installing and configuring software, drivers and solving problems with computer network systems, cabling, and wireless networks.• Troubleshooting and maintaining computer-related equipment such as printers, projectors, web cameras, and scanners.