Experience

Platform Securities LLP

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Corporate Actions Deputy Manager

  • Aug 2010 - Present

  • Specialist for Foreign Equity and Fixed Income Corporate actions• Dealt with a comprehensive range of equity and bond CA’s across all Markets including Europe (Inc. UK and Euroclear), US, Far East Asia and Australia.• Investigate and resolve comprehensive range of book cost, Tax & pricing valuation issues.• Resolving internal and external breaks and reconciliation of elections on accounts related to all clients, Trading Desks, and external brokers prior to market deadlines.• Agreeing and booking cash and stock entitlements against internal trading books, clients and external counterparties.• Investigation of historical transactions to confirm book cost and Tax position for sign off.• Involved in the implementation of process and procedural improvements.• Knowledge of various products, including fixed income, debt, equities and unit trust.• Liaison with custodians & registrars for validation/clarification of information.• Responding to queries from all clients, traders, middle-office, finance and custodians.• Organisation through diarising event deadlines in order to offer due diligence when updated information is released and issuing notification in respect of forthcoming deadlines.• Manage day-to-day deadline and sign offs for all corporate action checks• Acting as CA specialist for consultation with a CA system vendor to determine suitability (JHC)• Processing all types of CA events across International Market including UK.• Attend meetings with custodians to discuss service level agreements • Liaise with external clients, as well as internal trading desks, unsettled trades and transfer to discuss issues surrounding Corporate Actions and act as escalation



Deutsche Bank

• Germany
• Financial Services
• 700 & Above Employee

• Asset Services Corporate Actions - Senior Operations Analyst

  • May 2008 - Aug 2010

  • Role description largely covered by my current role in Platform Securities Ltd above though processing function was fragmented across teams, and thus did not cover instruction processing.• Identified processing requirements for capacity modelling as part of an on-going LEAN initiative.• Cover for Synthetic Equity Swaps team to facilitate solicitation of corporate action instructions from Fund managers and subsequent delivery to swaps trading desks by given deadlines.• Facilitate the reduction of reputational and financial risk due to operational failings associated with processing through the documentation of incident reports and establishment of corrective measures and updated procedures.• Performance reporting; collating information and manipulating data for presentation to managers.



Nationwide Building Society

• United Kingdom
• Financial Services
• 700 & Above Employee

• Customer Support Officer

  • Dec 2006 - May 2008

  In this role, I am required to provide a consistently high level of service to all new and existing customers, record and prepare loan serviceability for underwriter, as well as process new commercial loan applications, Instructing Solicitors, Valuers and preparing facility letters (legal documents). I operate the drawdown procedure ensuring all terms of sanction and control aspects have been met. I provide account information and financial statements as requested by internal and external customers. I have to demonstrate the abilities to deal with complex queries. Prior to the client receiving fund from us, I am required to ensure that portfolio documentation is complete in line with group procedures and that the relevant audit trails are in place.I also perform Annual Account Review including obtaining up to date information from customers and maintaining a suitable database, in addition to completing and updating cash flows and reports to underwriter for renewal of the facility. I am also required to operate day to day account servicing processes which I will monitor accounts activity to support the Arrears Management Process. When required.



Lloyds Banking Group

• United Kingdom
• Financial Services
• 700 & Above Employee

• Investment Review Officer

  • Aug 2001 - Aug 2005

  Involved working & supporting front relationship manager to answer client enquiries help to build customer relationship (internal & external) and to review and maintain client’s investment portfolio to the highest standard.This job also includes funds rising, provide investment recommendation for client’s needs, capital gain tax calculation, re-balancing the portfolio, funds switch & dispose of the weak hold stocks, deal settlement, corporate actions etc.This requires the ability to multitask and perform under pressure. Vast knowledge of investment & banking products, risk management, awareness of financial investment policy, government rule & regulation, taxation, money laundry and a wide range of knowledge of market issues as well as a good customer service manner & good attention on details.