Experience

Continental Stock Transfer & Trust Company

• United States
• Financial Services
• 100 - 200 Employee

• Account Administrator: Transfer Agency

  • Jul 2020 - Present

  New York, New York, United States Client-focused Relationship Manager offering knowledge and expertise in Transfer Agency and other financial services. Adept at communicating effectively and professionally with various business clients to deliver the highest levels of client service as well as determining and addressing their financial needs. • Overseeing a portfolio comprising of approximately 150 Transfer Agency and Co-Transfer Agency clients with a shareholder base between 100 to 2,000 holders. • Successfully… Show more Client-focused Relationship Manager offering knowledge and expertise in Transfer Agency and other financial services. Adept at communicating effectively and professionally with various business clients to deliver the highest levels of client service as well as determining and addressing their financial needs. • Overseeing a portfolio comprising of approximately 150 Transfer Agency and Co-Transfer Agency clients with a shareholder base between 100 to 2,000 holders. • Successfully fostering and developing long-term relationships with small to large-sized business clients. Responsible for reviewing various contractual agreements such as Transfer Agency and Registrar Agreements, Warrant Agreements, Rights Agreements, Stock Escrow Agreements to ensure the terms are compliant with Continental's policies and procedures. • Fostering all aspects of client service delivery and corporate/shareholder relationships for proxy communication needs, as the point-of-contact providing problem resolution for client shareholder base. • Recognized for excellence as Client Advocate, interfacing between internal departments to manage Transfer Agent functions such as IPOs, Stock Option Exercises, Warrants, Spin-offs, and Restricted Stock Grants. • Managing and onboarding Special Purpose Acquisition Company (SPAC) clientele as well as handling the consummation of their future Business Combinations to ensure they are retained as long-term clients. Show less



Broadridge

• United States
• Financial Services
• 700 & Above Employee

• Relationship Manager: Corporate Issuer Solutions | Transfer Agency

  • Jan 2019 - Jun 2020

  Newark, New Jersey, United States Provided oversight and direction to drive success for a portfolio of businesses consisting of 26 clients across industries including Healthcare Providers, Business Development Companies, Pharmaceuticals, Banks, a Start-up Tech Company, Small Business Lending, and Solutions providers. Selected Contributions: • Cultivated relationships through communication and coordination with key stakeholders for mailing and vote tabulation of annual shareholder meeting/proxy campaign management. •… Show more Provided oversight and direction to drive success for a portfolio of businesses consisting of 26 clients across industries including Healthcare Providers, Business Development Companies, Pharmaceuticals, Banks, a Start-up Tech Company, Small Business Lending, and Solutions providers. Selected Contributions: • Cultivated relationships through communication and coordination with key stakeholders for mailing and vote tabulation of annual shareholder meeting/proxy campaign management. • Considered subject matter expert in client processes and needs as well as industry standards, best practices, and solutions creating and implementing Management Business Objectives (MBOs) to support the needs of current and future fellow associates. • Instrumental in researching, escalating, executing, resolving inquiries, transaction requests, and complaints to deliver service excellence to clients and shareholder base. • Worked in tandem cross-departmentally to increase the efficiency of daily processes, serving as a full-service Client Liaison and interfacing between internal corporate departments on the clients' behalf. • Lauded for outstanding service through multiple ACE Awards in 2019 from colleagues for going beyond daily expectations and demonstrating the company's values. • Compensated in 2020 for cross-selling the Virtual Shareholder Meeting platform to clients during the annual shareholder meeting/proxy campaign season. Show less



BNY Mellon

• United States
• Financial Services
• 700 & Above Employee

• Team Leader | Vice President: Client Service Delivery (CSD) | Global Structured

  • Oct 2016 - Dec 2018

  New York City Metropolitan Area Spearheaded a team of 17 Trust Associates/Senior Trust Associates and four Section Managers in New York and New Jersey within Client Service Delivery in management of the team as the point of escalation for problem resolution, conducting annual performance reviews, planning annual Merit Increase and Incentive Awards. Orchestrated five high-level daily functional metrics within Client Service Delivery: daily overdrafts monitoring, outstanding unreleased ticklers, reconciliation of internal… Show more Spearheaded a team of 17 Trust Associates/Senior Trust Associates and four Section Managers in New York and New Jersey within Client Service Delivery in management of the team as the point of escalation for problem resolution, conducting annual performance reviews, planning annual Merit Increase and Incentive Awards. Orchestrated five high-level daily functional metrics within Client Service Delivery: daily overdrafts monitoring, outstanding unreleased ticklers, reconciliation of internal operating accounts. Selected Contributions: • Optimized processes as dotted-line manager of a team of five Trust Associates and two Section Managers in Chennai, India within Client Service Delivery, providing offshore support for debt service payments and security trades processing. • Nominated and selected as a Privacy Champion to represent the business area, recognized as the company's core advocate for Privacy and Data Protection controls. • Initiated monthly meetings with senior managers of the support team in Chennai, India to discuss service level agreements: debt service payment processing, trades processing, daily status updates, and overall issues and concerns. • Transitioned and streamlined 15 Client Service Delivery admin's to be fully functioning in the Corporate Trust operating model for all debt service payments and security trades processing from to 10 offshore Transaction Service Delivery (TSD) admins in Chennai within one calendar year.

• Section Manager: Client Service Delivery (CSD) | ABS/Resecuritizations

  • Nov 2012 - Oct 2016

  New York City Metropolitan Area Lauded for top tier performance and client service delivery, serving as front line manager for a team of five Trust Associates/Senior Trust Associates on the ABS/Resecuritizations product on day-to-day job functions: validating and releasing debt service transactions, updating/releasing cash related ticklers, approving trade processing, monitoring, and reducing possible overdrafts. Selected Contributions: • Launched and assessed performance and career goals for the team, mentored, and… Show more Lauded for top tier performance and client service delivery, serving as front line manager for a team of five Trust Associates/Senior Trust Associates on the ABS/Resecuritizations product on day-to-day job functions: validating and releasing debt service transactions, updating/releasing cash related ticklers, approving trade processing, monitoring, and reducing possible overdrafts. Selected Contributions: • Launched and assessed performance and career goals for the team, mentored, and coached, providing professional guidance and training on short-term and long-term goals. • Designed and delivered a PowerPoint presentation and as the Subject Matter Expert (SME), conducted a web-ex tutorial on the Restatement process for the Resecuritization product used as an onboarding training guide for new hires. • Championed conceptualization and delivery of training manual for Short-Term Investment Funding trade processing. • Vital in leading multiple web-ex courses to Trust Associates/Senior Trust Associates across all Corporate Trust products throughout various US offices on the process. • Achieved two Winning Our Way (WOW) Recognition awards in Q1 of 2015.

• Trust Associate Corporate Trust | MBS/ABS/Resecuritizations | Tender Option Bonds

  • May 2007 - Nov 2012

  New York City Metropolitan Area Propelled financial and operational success for more than 90 MBS accounts and over 60 ABS/Resecuritization accounts. Key in professional development, training new Trust Associates on business processes and best practices, administrative and operational product knowledge, and utilization of bank-specific systems. Selected Contributions: • Received Outperformance Awards in Q1 of 2011 and Q2 of 2012. • Recognized with Thank You Notes from colleagues in 2011 highlighting teamwork… Show more Propelled financial and operational success for more than 90 MBS accounts and over 60 ABS/Resecuritization accounts. Key in professional development, training new Trust Associates on business processes and best practices, administrative and operational product knowledge, and utilization of bank-specific systems. Selected Contributions: • Received Outperformance Awards in Q1 of 2011 and Q2 of 2012. • Recognized with Thank You Notes from colleagues in 2011 highlighting teamwork, judgment, and leadership abilities.