Registered Client Associate

• Sep 2021 - Present

Registered Representative

• Oct 2020 - Aug 2021

A brokerage representative who works directly with a wide range of customers, Financial Advisors and retail banking to efficiently take and process securities orders and respond to customer inquiries. • Validate transactions by confirming trade details and process trades electronically which includes, equity, mutual funds, fixed income and options trades. Facilitate money transfers including IRA RMD requests. • Apply specialized knowledge and skills to provide outstanding customer service to internal and external customers. Identify customer needs and provide feedback to management • Assists customers with complex questions, concerns and assist in resolving problems related to brokerage accounts. • Process various paperwork requests including transfers of assets, payment instructions setup and distributions requests.

Sr. Implementation Analyst

• May 2018 - Jun 2020

Oversee the planning of the project timeline/plan, prepare governance documentation and to review the project plan with internal stakeholders and senior management, and client. Communication with client, internal project group and senior management to ensure proper support and resources are provided to the project and the project stays on target. Track project status and follow up with various groups (Dev, support, etc.) to ensure all tasks are on target and scheduled to be delivered on time. Ensure Sentry is deployed optimally and that the client is set up for success. Responsible for scoping the project and making sure the proper implementation approach is taken. Analyse and plan the onboarding process and successful handoff of the client to the client support team • Lead the discovery effort • Evaluate clients’ existing business processes to create specifications for the configuration of Sentry • Identify business requirements and workflows • Identify and analyze gaps • Be called upon during the life of the project to consult on best practices within Sentry

Vice President, Business Analyst and Data Integrity Analyst

• Feb 2015 - Feb 2018

• Analyzing the needs of the business and developing solutions to business problems• Manage multiple projects to introduce new and enhance existing functionality from initial request through requirements, build and implementation• Team lead on implementation of new data warehouse system to centralize data storage and increase data integrity • Co-lead on implementation of new trading and order management system with proprietary allocation algorithm

VP Portfolio Administration

• Nov 2002 - Feb 2015

Oversee post trade operations for $30b High Yield asset manager, assets include Fixed Income Corporate Bonds, Syndicated Bank Loans, Convertible Bonds, and Equity. Managed valuation process of all asset classes, which included Markit Loan pricing service and proprietary valuation tool.• Assist with oversight of Portfolio Administration team, consisting of 15 team members in areas of trade support, reconciliation, reporting, bank loan operations, and corporate actions. Designed procedures and internal controls for Type I and II SSAE 16 audit report• Liaise with Client Service/Marketing on all client requests for 200+ separately managed accounts and mutual funds. Interact with clients to review client requirements. Control process for completion of monthly client statements for distribution• Part of lead implementation team to migrate firm assets to the Advent Geneva accounting and reporting system