Winston Brooks Email & Phone Number

New York, Ny, Us

New York, Ny, Us

Nanterre, Ile-De-France, Fr

Wayne, Pa, Us

• Ensure Cost Lot information is reported correctly in SunGard Cost Basis system• Own the content on the site and ensure information is up to date• Create Fiscal Year End Reports• Retrieve and analyze data from SunGard Client for Cost Basis Training• Work with Department Team Leads to ensure consistency in the quality of training and materials across Cost Basis • Identify resources to articulate clearly both verbally and in writing to clients the following cost basis calculations• Review and validate tax forms (1099, 5498) for data calculations for all security types. • Process corrections and adjustments to Cost Basis and Tax document information for client accounts utilizing an Administration tools.• Assist in processing cost basis transfer statements, CBRS documents and reports related to Account Transfers • Review & research a high volume of transactions, identifying causes of discrepancies & recognize resolutions, document issues & report to clients• Interface and communicate with technical departments regarding reconciliation of a high volume of transactions and data• Knowledge of SunGard Tax Reporting System

New York, Ny, Us

Implementing processes and key controls which govern the day to day activities of the cost basis function to minimize Operational Risk. Developing and maintaining accurate Cost Basis policies and procedures. Develop test cases, script writing and execute User Acceptance Testing; identify, analyzing and communicating defects to IT partners. Maintaining working knowledge of industry best practices and ongoing IRS guidance. Promoting open communication lines with business partners, most importantly service, to ensure unified understanding and direction of all operational initiatives.Process corrections and adjustments to Cost Basis and Tax document information for client accounts utilizing an Administration tools ( Assist in processing cost basis transfer statements, CBRS documents and reports related to Account Transfers Assist in answering questions and resolving issues regarding CBRS systemSystem Conversion Prime business moved off of Broadridge system Aspire and migrated to Paladyne system Geneva (cost basis platform) Worked on UAT test approach and documented and agreed upon by Tax Ops.Deployed test cases in Quality CentreFinalized test execution plan and run book.Regression test suite created and uploaded in Quality CentreTraceability of UAT test cases to business requirements delivered

Jersey City, Nj, Us

Respond to Client inquires via phone, e-mail,, written format on tax issues which may include but is not limited to 1099B, 1099DIV, 1099INT, 1099MISC, 4042s; 480.6a/b & REMIC process, Original Issue Discount, UIT processing, Section 1256 contract reporting, 2439, K-1 reporting, OSI and Cost Basis reporting. Create functional requirements and update existing system requirements. Coordinate requirements walk-through and sign-offs, verifying with client that use cases andprocess models accurately portray specific business needs.Participate in software system testing analyze defects identified by the internally and external. Communicate with client clearly and concisely, both orally and in writing. Duties were to convey technical information in an accessible and understandable manner.Handle analytical problem-solving and troubleshooting issues. Responsible for systems and process flow documentation. Process client product enhancement requests. Worked on day-to-day support of Y/E product stocks, mutual funds, fixed income and options including 1256 contracts. Assisted in product testing in coordination with product assurance area. Stayed on top of new regulations in the Industry.

St. Louis, Missouri, Us

Cost Basis Analyst responsible for maintaining accurate client tax lot reporting data in the Wells Fargo system and ensure compliance with all IRS and industry regulations related to the recording, retention, update, and transfer of cost basis information. Research and resolution of issues and client inquiries, ensuring proper receipt and delivery of transfer statements, and responding to internal client inquiries regarding cost basis data.

St. Louis, Missouri, Us

Transition Consultant trains and supports newly opened brokerage offices during the transition period on operational policies and procedures (AML,Cost Basis) computer systems . This position primarily supports the Wells Fargo Advisors Financial Network and Correspondent Clearing Group channels with occasional support given to the Private Client Group.

St. Louis, Missouri, Us

The Transition Consultant trains and supports newly opened brokerage offices during the transition period. This position primarily supports the Wachovia Financial Network and Correspondent Clearing Group channels with occasional support given to the Private Client Group. The Transition Consultant is responsible for training all brokerage office staff on operational policies and procedures, computer systems (Beta, Smartstation) and Wachovia Securities/First Clearing Corporation processes. Other duties include coordinating and directing efforts of the on-site transition support of new offices, providing industry assistance and operations guidance to all levels of brokerage industry associates, preparing training agendas prior to on or off-site training and preparing post-transition training evaluation reports. Duties also include maintaining training materials and manuals, remaining current on all system upgrades and policy/procedure updates, and completing all reports in a timely manner. These duties are not all inclusive, as other responsibilities may be assigned as needed.

St. Louis, Missouri, Us

Duties are setting up dividend worksheets to pay clients accurately and on a timely basic on back office Beta system. This involves determining how much dividends or interest the client is entitled to receive. Responsible for the distributing of dividend, interest and principal payments to clients who hold securities in street name or SEG. Locations. Also responsible for collecting dividends and interest payments from the appropriate entities. This includes collecting money from depositories, paying agents, broker/deals, and banks. Heavy dealing with DTC for coupon rates inquiry such as coupon rate differences, incorrect payables and no announcements. Also Data Integrity for first coupon, day count bond maturity, frequency codes and interest payment code inquiries. Heavy research with Bloomberg.

St. Louis, Missouri, Us

Responsible for handling inquiries received from the Client Administration groups and money managers regarding mandatory and voluntary corporate actions also responsible for answering questions, providing status information, explaining complex reorganization events, terms and conditions, providing How To instructions, and accepting instructions for voluntary offerings through the back office Beta system. The primary responsibility of the Prospectus Specialist is to oversee the prospectus delivery process handled by ADP Proxy Services and to handle request pertaining to prospectus delivery. The Prospectus Specialist monitors a daily report of open prospectus items, completes research on exceptions, and provides ADP with information required to complete the delivery of open items. The specialist monitors the daily report for prospectus items that are aging and works with ADP to resolve. .

New York, New York, Us

New York, Ny, Us