Experience

The Marlborough Group

• United States
• Business Consulting and Services

• Business Change and Process Improvement Fund Senior Analyst

  • Aug 2023 - Present

• Corporate Actions and Settlements Project Analyst

  • May 2023 - Jul 2023



BNY Mellon | Pershing

• United States
• Financial Services
• 700 & Above Employee

• Vice President, Corporate Actions

  • Jul 2018 - Feb 2023

  • Management of a team of 8 conducting appraisals, one to ones, Personal and Professional Development alongside managing all recruitment for Corporate Actions• Training of all new starters• Allocation of workload distributed amongst the team via workflow tool• Approval and releasing of our instructions to elect on voluntary events• Reconciliation of Bank Accounts, Internal Suspense accounts for both cash and stock• SME in fractional client payments to accounts• SME in manual Corporate Action processing and payment to accounts• Client Query Management via Microsoft Dynamics• Procedure updates• Testing• Corporate Actions Monthly Finance Reconciliation Owner• Complaint Owner for Corporate Actions Processing• Risk and Regulatory Reporting Owner Show less

• Vice President, Unit Trust Settlement

  • Jan 2018 - Jul 2018

  Working on a number of efficiencies and best practice standardisations within the business area

• Vice President, Wrapper Management

  • Feb 2017 - Jan 2018

  • Management Fee Owner - including calculation, reconciliation and posting from Clients accounts• ISA Subscription and GIA Account Payments approver• ISA Controls ensuring that ISA accounts meet HMRC regulations and working closely with Product, Account Managers and Clients in any Remediation of Accounts due to non-compliance• High level of interaction with Clients with escalations and resolution of issues

• Vice President, Transfers

  • Jun 2015 - Feb 2017

  Role Responsibilities• Management of a team of 19 including 3 supervisors and offshore administration • Responsible for the end to end completion of account transfers in and out of our client firms custody for Crest, International, Unit Trust and Offshore assets as well as cash movements. Both manual and electronically • Performing quality assurance on aged items to reduce processing times of transfers.• Lead regular client update meetings, identifying themes of issues and working with Account and Relationship Managers to resolve• Working closely with Onboarding and Account Managers in bringing new clients on board to the PAS and third party wrapper service for client firms • All Risk and Regulatory event reporting • First line of contact with clients in receiving complaints, working alongside Compliance and Account Managers to resolve• Owner of teams Control Models, Procedures and Business Continuity plans • Business attendee for all TeX and Electronic Transfers Market Practice Groups Show less



TD Direct Investing (Europe)

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Asset Maintenance - Mandatory Manager

  • Oct 2012 - May 2015

  • Management of a team of 10 administrators and 2 Specialists conducting appraisals, one to ones, Personal and Professional Development• Lead all Recruitment for Asset Maintenance• Developed and Maintained Departmental Skills Matrix and set Objectives for all of Asset Maintenance• Budget Manager for Asset Maintenance and Stakeholder Business Owner for Corporate Actions and Dividends Process Workgroup• Ensuring all Dividend processing meets SLA- UK, Unit Trust, International, DRIP and SCRIP.• Lead a small team in building automated efficiencies to enhance Customer Experience• Stock File Management, Trade Routing Configuration – Including Commissions, Unit Trust Set Up, Member/Omnibus Account Management, Settlement Holidays, Payments and Fees.• Custodial Relationship Management for 3 of our Custodians/Service Providers• All Risk and Regulatory event reporting within my area and own departmental Risk Register• Project lead for Asset Maintenance• Covered Senior Manager role for 6 months• High results in 2014 Annual Employee Satisfaction Survey with highlights of 4.78 out of 5 for team members development and 4.67 of 5 for personal Inclusion Show less

• Exceptions Resolution Team Leader

  • Aug 2010 - Oct 2012

  • Primarily responsible for a team of 18• Organised my team via cross training and up to date skills matrix to consistently meet the department targets• Ensuring all Contracts are processed to clients within the regulatory time frames and conducting daily reconciliation of fulfilment• Stock and Trade Reconciliations ensuring 100% of breaks were assigned to other departments or resolved within the team and that 95% of Cash Reconciliation breaks were resolved on day one.• Internal Account Transfers and Reconciliation of Transfer Holding Accounts• International and Unit Trust Settlement• Realigned all processes due to redundancy of this team Show less



Pershing

• United States
• Real Estate
• 1 - 100 Employee

• CREST Senior Administrator

  • Sep 2007 - Jul 2010

  Responsible for two Model sets of clients CREST trades enduring timely matching and settlement. Heavily reliant on building up networks and relationships with clients and third party counterparties. Responsible for testing and worked on projects for Settlement Netting, auto price matching and roll out of Settlement Workflow to clients. Responsible for two Model sets of clients CREST trades enduring timely matching and settlement. Heavily reliant on building up networks and relationships with clients and third party counterparties. Responsible for testing and worked on projects for Settlement Netting, auto price matching and roll out of Settlement Workflow to clients.



UKPA

• United Arab Emirates
• Renewable Energy Semiconductor Manufacturing
• 1 - 100 Employee

• Passport Officer

  • 2005 - 2008

  Processing of Passport applications Processing of Passport applications