Experience

Sumitomo Mitsui Banking Corporation (SMBC) Asia Pacific

• Singapore
• Banking
• 400 - 500 Employee

• Senior Middle Office Associate

  • Jul 2019 - Present



Alliance Bernstein

• New York, NY

• Associate Officer - Senior Trade Support Operations Analyst/Team Leader

  • Dec 2014 - Jul 2019



Hillswick Asset Management

• Stamford, CT

• Senior Trade Support & Operations Administrator/Client Service Portfolio Management

  • Jun 2013 - Sep 2014

  Process and verify trades daily. Prepare, analyze and exchange internal and external reports of outstanding unverified/failed/missing trades, process broker DTC confirms. Advise trading desks of overdrafts or potential overdrafts Interact daily with brokers and custodians in resolution of failed trades, both Fixed & Equities Client Service/Portfolio management - Administer and maintain clients’ accounts. Reconcile cash, transactions/securities and holdings (daily, weekly and monthly) Advise traders in a timely manner about significant cash in/outflows Monitor to ensure that client cash requests are processed timely Process and record security payments and corporate actions timely. Ensure that such transactions are reflected timely and correctly by the custodian banks. Prepare and distribute daily, monthly and quarterly reports to clients/consultants via email and or website by specific deadlines. Respond to ad-hoc requests for reports Calculate and record prices for funds (weekly and monthly) based on data provided by the custodian banks. Reconcile investors’ positions in funds on monthly basis Process month – end tasks by assigned deadlines (includes clients reporting, internal backup, asset reconciliation, etc.) Attend to special projects as assigned Show less



USG

• United States
• Wholesale Building Materials
• 700 & Above Employee

• Production Operations

  • Feb 2013 - Jun 2013

  Produce, record and track firm’s various dry joint compounds for various clients Monitor and ensure proper mixture proportions on all firm’s dry joint products Monitor and maintain various machines, robots and equipment to ensure proper working conditions and constant availability Work closely with quality control department and service department to ensure all products are sampled and tested to meet both company and industry standards in order to maintain both client satisfaction and firm’s industry leading position Show less



Citigroup IPS

• AVP Fixed Income Operations

  • Sep 2011 - Dec 2012

  Team Leader in charge of the GTS Operations team for day to day trade settlements processing and follow ups, resolve failing trades Instruct custodians and brokers to pay variation margin on daily basis and assist in reconciliations Instruct brokers and track commodity margin collateral on index futures Provide, track and balance futures trade activity with various custodians Instruct custodians and liaison with brokers on coupon payments Process daily MFO’s, process and settle daily options trades, futures, treasury bills and treasury bonds Instrumental in training European migration team Show less



RBS

• United Kingdom
• Banking
• 700 & Above Employee

• Consultant/Clearance Analyst Treasuries

  • Apr 2011 - Jul 2011

  Responsible for clearance, reconciliation and settlement Ensure that all firm trade activity is properly funded and cleared through appropriate clearing depositories – DTC, GCSS CNS (Settlements of approximately 60 billion per day) Monitor trade flow between RBS, affiliates, counterparty, and the clearing bank for all fixed income securities including mortgage backed securities and treasury Determine whether payments meet agreed specifications and decide which transactions require additional action Assist Repo Desk in matching collateral to customers Show less



Hoenig/ Division of ITG

• Senior Operations Associate

  • Aug 2001 - Dec 2009

  Lead operations support team and responsible for clearance, reconciliation, settlements and daily tasks for several accounts Tested new software for operations group for system migrations Booked client trade allocations timely and accurately; opened and maintained client accounts. Calculated and maintained accurate account of traders’ commission totals on a daily, weekly and monthly basis. P&L on select firm trading accounts. Monitored and adjusted both firm and client accounts to maintain proper share balance positions. Calculated daily trade error spread sheet and notified traders of any market exposure. Served as liaison for prime brokers and custodians to resolve all domestic trade problems and potential problems. Assisted various departments such as compliance, finance and client service on monthly projects. Experienced in self clearing Show less



J&W Seligman

• Investment Management
• 1 - 100 Employee

• Trade Support/Settlements Associate

  • May 2000 - Aug 2001

  Daily trade entry of fixed income and high yield products as well as assisting trading desk on equity based cancels and re-bills. Identified, researched, and resolved failing trades. Head of domestic special projects team, which reduced un-affirmed trade confirmations by 20% over 8 month period. Reviewed domestic trade confirmations to ensure proper trade details and settlement instructions. Daily trade entry of fixed income and high yield products as well as assisting trading desk on equity based cancels and re-bills. Identified, researched, and resolved failing trades. Head of domestic special projects team, which reduced un-affirmed trade confirmations by 20% over 8 month period. Reviewed domestic trade confirmations to ensure proper trade details and settlement instructions.



Credit Suisse Asset Management/Warburg Pincus

• Trade Support Specialist

  • Aug 1997 - May 2000

  Liason between custodian banks and brokers to facilitate resolution of trade settlement related difficulties Worked directly with fund accountants as well as Auditing Department to ensure accurate weekly and monthly account balances and statement information Liason between custodian banks and brokers to facilitate resolution of trade settlement related difficulties Worked directly with fund accountants as well as Auditing Department to ensure accurate weekly and monthly account balances and statement information



Merrill Lynch

• United States
• Financial Services
• 700 & Above Employee

• Senior Mutual Fund Treasury Accountant

  • Oct 1994 - Aug 1997

  Calculated and reported distribution payments made by mutual funds under the National Association of Securities Dealers, Securities and Exchange Commission and Board of Director’s approved plans. Calculated and reported distribution payments made by mutual funds under the National Association of Securities Dealers, Securities and Exchange Commission and Board of Director’s approved plans.