Title Change - Promotional - no change in responsibilityManage a staff of 28 employees in the Short-Term Investment Funds Department in 3 locations.Provides oversight and assistance to a staff of 40 employees in the Mutual Funds Operations Department in 3 locations as a point of escalation for issues involving potential risk; either financial or reputational. Represent Operations on regulatory change calls to analyze the impact and develop appropriate actions. This included US and European Money Market reform, CASS and MiFID remediation.Actively participate and coordinate in compliance and regulatory projects and enhancements for Short Term Investment Funds and Mutual funds, including scope, development, testing and implementation.Coordinate the development and implementation of projects to create efficient processes through technology enhancements and employee training.Management responsibilities include interviewing, oversight and development of employees, staff allocations, performance management reviews, corrective actions, and merit distributions. Act as a liaison between our Legal and Compliance Departments and Mutual Fund Companies; including procurement of required agreements, review and approval of operational language, SEC Regulations 22c-1 and 22c-2, NSCC implementation documentation, due diligence questionnaires and compliance surveys.Work alongside the Embedded Control Team to review and establish effective control procedures.Responsible for responding to audit findings and creating/implementing required action plans.Escalate to Risk, Compliance, Sr. Management, and control teams any regulatory breaches that occurs within settlements departments I am responsible for.Business Continuity Plan Coordinator for multiple teams. Responsible for the creation of test scripts, testing, and maintenance of the plans in our Crisis Management System.

Manage a staff of 28 employees in the Short-Term Investment Funds Department in 3 locations.Provides oversight and assistance to a staff of 40 employees in the Mutual Funds Operations Department in 3 locations as a point of escalation for issues involving potential risk; either financial or reputational. Represent Operations on regulatory change calls to analyze the impact and develop appropriate actions. This included US and European Money Market reform, CASS and MiFID remediation.Actively participate and coordinate in compliance and regulatory projects and enhancements for Short Term Investment Funds and Mutual funds, including scope, development, testing and implementation.Coordinate the development and implementation of projects to create efficient processes through technology enhancements and employee training.Management responsibilities include interviewing, oversight and development of employees, staff allocations, performance management reviews, corrective actions, and merit distributions. Act as a liaison between our Legal and Compliance Departments and Mutual Fund Companies; including procurement of required agreements, review and approval of operational language, SEC Regulations 22c-1 and 22c-2, NSCC implementation documentation, due diligence questionnaires and compliance surveys.Work alongside the Embedded Control Team to review and establish effective control procedures.Responsible for responding to audit findings and creating/implementing required action plans.Escalate to Risk, Compliance, Sr. Management, and control teams any regulatory breaches that occurs within settlements departments I am responsible for.Business Continuity Plan Coordinator for multiple teams. Responsible for the creation of test scripts, testing, and maintenance of the plans in our Crisis Management System.

Managed a staff of 18 employees in the Mutual Funds Operations Department.Participated in compliance and regulatory projects and enhancements, including testing.Hiring Manager; including interviewing, oversight and development of employees, and performance management reviews. Act as a liaison between our Legal Department and Mutual Fund Companies; including procurement of required agreements, review and approval of operational language, 22c-2, and NSCC implementation documentation.Work alongside the Compliance and Risk department to review and establish control procedures.Business Continuity Plan Coordinator for 2 teams; responsible for the creation of test scripts, testing, and maintenance of plans in our Crisis Management System.Responsible for the review, establishment and sign off on all of our staff’s system access.Responsible for the safekeeping and use of several of The Bank of New York Mellon's Medallion Stamps.Information Security Administrator for the unit.Member of the S.T.A.M.P. (Securities Transfer Agents Medallion Program) Advisory Council.Complete key risk indicator and key performance indicator reporting for upper management.Develop strong working relationships between BNY Mellon and the Mutual fund companies’ relationship managers.Assist record keepers and advisors in the establishment and testing of their NSCC Identification Numbers.

Verified end of day control reports.Approved outgoing wires for release and delivery.Researched account, transaction, and Fed wire breaks.Day to day control functions; reporting and workflow requirements for management review.Ensured completion of Trade Specialist functions.Assisted in development of Trade Specialists

Serviced more than 100 retirement and non-profit organizations accounts across 4 product lines.Maintained account balances, completed month-end reporting for both equity, and fixed income accounts.Responsible for the movement of Future’s Collateral.Calculated Daily Mark to Market (Margin Variation) and coordinated the movement with the Brokerage House.Completed monthly reconciliation to ensure compliance between broker, advisor, client and Mellon Financial up to and including contracts, positions, Tri-Party Agreements, custodial status, and collateral holdings.Processed margin calls and currency conversions.Journalized entries for both cash and non-cash accounts and maintained daily currency and unit proof.Utilized computer skills to design extensive spreadsheet for the organization, calculation, and automation of client accounts.

Placed Mutual Fund Trades with fund companies.Used the NSCC Based Systems to place trades.Approved outgoing wires for release and delivery.Journalized monthly, quarterly, and yearly dividends on our Custody Management System and Internal Accounting System.