Experience

PGIM Fixed Income

• United States
• Investment Management
• 500 - 600 Employee

• Senior Investment Operations Associate

  • Oct 2021 - Aug 2022

  • Collaborate with internal business developers and analysts to obtain final business deal information and outside counsel point of contacts to achieve 100% lien monitoring for UCC Trade Management Team • Inquire on UCC issues with PPC deal teams, attorneys, and borrowers to update all deals at 100% • Implement detail orientation and communications to achieve and build professional confidence and secure a level of comfort during UCC monitoring to 100% • Compose due diligence of new and… Show more • Collaborate with internal business developers and analysts to obtain final business deal information and outside counsel point of contacts to achieve 100% lien monitoring for UCC Trade Management Team • Inquire on UCC issues with PPC deal teams, attorneys, and borrowers to update all deals at 100% • Implement detail orientation and communications to achieve and build professional confidence and secure a level of comfort during UCC monitoring to 100% • Compose due diligence of new and current policies and procedures to ensure compliance with operational standards and protect the firm from risks • Generate weekly update reports on all deal balancing and monitoring for management review • Prepare legal documents, term sheets, charts/tables/graphs, spreadsheets and/or PowerPoint presentations of moderate to significant complexity Show less • Collaborate with internal business developers and analysts to obtain final business deal information and outside counsel point of contacts to achieve 100% lien monitoring for UCC Trade Management Team • Inquire on UCC issues with PPC deal teams, attorneys, and borrowers to update all deals at 100% • Implement detail orientation and communications to achieve and build professional confidence and secure a level of comfort during UCC monitoring to 100% • Compose due diligence of new and… Show more • Collaborate with internal business developers and analysts to obtain final business deal information and outside counsel point of contacts to achieve 100% lien monitoring for UCC Trade Management Team • Inquire on UCC issues with PPC deal teams, attorneys, and borrowers to update all deals at 100% • Implement detail orientation and communications to achieve and build professional confidence and secure a level of comfort during UCC monitoring to 100% • Compose due diligence of new and current policies and procedures to ensure compliance with operational standards and protect the firm from risks • Generate weekly update reports on all deal balancing and monitoring for management review • Prepare legal documents, term sheets, charts/tables/graphs, spreadsheets and/or PowerPoint presentations of moderate to significant complexity Show less



Pershing LLC Bank of New York Mellon

• Jersey City, NJ

• Alternative Investments Senior Representative / Senior Client Processing

  • Sep 2005 - Sep 2021

  • Established and demonstrated point of contact for Alternative Investments subscriptions for 100% of clients pending • Collaborated with internal firm departments 60% of every quarter including Custody, Client Services, Compliance and Risk • Implemented detail orientation and communications to achieve and build client confidence and secure a level of comfort during subscription completion to 100% • Composed due diligence of new and current Alternative Investments to ensure compliance… Show more • Established and demonstrated point of contact for Alternative Investments subscriptions for 100% of clients pending • Collaborated with internal firm departments 60% of every quarter including Custody, Client Services, Compliance and Risk • Implemented detail orientation and communications to achieve and build client confidence and secure a level of comfort during subscription completion to 100% • Composed due diligence of new and current Alternative Investments to ensure compliance with operational standards and protect the firm from risks and money laundering • Complete expedited priorities in a fast-paced environment to meet changing daily deadlines • Generated weekly and monthly regulatory & compliance reporting processes involving all aged subscription and re-registrations • Process retirement plan requests regarding to purchases, transfers, and redemptions of investment products within the 72-turnaround period • Address and complete client inquiries while maintaining high levels of service quality at 100% • Liaised and support in internal and external audit and compliance on a quarterly basis to complete with 100% accuracy • Resolved matters relating to the delivery of electronic shares and accuracy of submission approval • Serviced and act as a subject matter expert on retirement plan related processes • Maintained continual collaboration and communications with Broker Dealers, Fund Administrators, Financial Consultants, Client Associates, and other branch personnel to reduce customer service inquiries by up to 70% • Process routing of physical stocks and bonds to safekeeping within 48 hours of receipt • Arranged with the team of up to 20 associates to complete business continuity during testing and implementation to deliver 100% production of critical and non-critical processes • Team with all general partners and fund administrators to deliver 95% reporting reconciliation within the time frame detailed upon platform fund approval Show less • Established and demonstrated point of contact for Alternative Investments subscriptions for 100% of clients pending • Collaborated with internal firm departments 60% of every quarter including Custody, Client Services, Compliance and Risk • Implemented detail orientation and communications to achieve and build client confidence and secure a level of comfort during subscription completion to 100% • Composed due diligence of new and current Alternative Investments to ensure compliance… Show more • Established and demonstrated point of contact for Alternative Investments subscriptions for 100% of clients pending • Collaborated with internal firm departments 60% of every quarter including Custody, Client Services, Compliance and Risk • Implemented detail orientation and communications to achieve and build client confidence and secure a level of comfort during subscription completion to 100% • Composed due diligence of new and current Alternative Investments to ensure compliance with operational standards and protect the firm from risks and money laundering • Complete expedited priorities in a fast-paced environment to meet changing daily deadlines • Generated weekly and monthly regulatory & compliance reporting processes involving all aged subscription and re-registrations • Process retirement plan requests regarding to purchases, transfers, and redemptions of investment products within the 72-turnaround period • Address and complete client inquiries while maintaining high levels of service quality at 100% • Liaised and support in internal and external audit and compliance on a quarterly basis to complete with 100% accuracy • Resolved matters relating to the delivery of electronic shares and accuracy of submission approval • Serviced and act as a subject matter expert on retirement plan related processes • Maintained continual collaboration and communications with Broker Dealers, Fund Administrators, Financial Consultants, Client Associates, and other branch personnel to reduce customer service inquiries by up to 70% • Process routing of physical stocks and bonds to safekeeping within 48 hours of receipt • Arranged with the team of up to 20 associates to complete business continuity during testing and implementation to deliver 100% production of critical and non-critical processes • Team with all general partners and fund administrators to deliver 95% reporting reconciliation within the time frame detailed upon platform fund approval Show less



Pershing LLC Bank of NY Mellon

• Jersey City, New Jersey

• Alternative Investment Reconciliation Associate

  • Oct 2004 - Sep 2005

  • Team with all general partners and fund administrators to deliver 95% reporting reconciliation within the time frame detailed upon platform fund approval • Maintained continual collaboration and communications with Broker Dealers, Fund Administrators, Financial Consultants, Client Associates, and other branch personnel to reduce customer service inquiries by up to 70% • Team with all general partners and fund administrators to deliver 95% reporting reconciliation within the time frame detailed upon platform fund approval • Maintained continual collaboration and communications with Broker Dealers, Fund Administrators, Financial Consultants, Client Associates, and other branch personnel to reduce customer service inquiries by up to 70%