Brokerage/Cashiering Analyst Resume

PROFESSIONAL PROFILE

Seeking a Financial Services position that will utilize my strong organizational and problem resolution skills.
Extremely responsible and self - motivated
Pays attention to detail
Enthusiastic with a positive attitude
Strong knowledge of financial and investment industry
Ability to thrive on challenging tasks in a busy office
Working knowledge of Microsoft Office programs

PROFESSIONAL EXPERIENCE

Confidential

Brokerage/Cashiering Analyst

Responsibilities:

Assisted brokers with trades and cancellations.
Process and open new Accounts
Assisted correspondents and brokerage firms in preventing accounts from transferring out and thereby retaining assets under management.
Process incoming and outgoing Acats for Confidential
Process DRS and DTC Transfers
Process Retail and IRA checks into clients’ accounts
Process and complete IRA distribution Request forms
Process Direct incoming and outgoing mutual fund Transfer
Maintaining Retirement Plan Account
Setting up Confidential and third party accounts in line with Finra regulation.

Confidential

Settlement Operation Specialist

Responsibilities:

Position requires knowledge non - CNS transactions with other broker dealers through various depositories and cleaning organization.
Completed transactions to include ACATs, Broker to Broker, Institutional Prime Broker, and RVP/DVP.
Performed a wide variety of activities on a daily basis under strict time constraints.
Tasks range from simple to highly complex, and most activities performed involves risk.
Completed daily tasks using internal systems such as Legacy, Alleycat, OnDemand, & Client Central and external applications include DTC, CitDirect, JPMorgan and
Responsible for working with several business partners such as Advisor Services, Fixed Income Operations, Purchase & Sale (P&S), Corporate Action, Asset Transfer Services, Trade Support Group, Client Services & Support Operations and Security Information Services.

Confidential

Analyst

Responsibilities:

Assisted brokers with trades and cancellations.
Utilized strong customer service and problem resolution skills.
Managed clients high net worth accounts
Reconcile debits by submitting reclaim letters for accounts.
Completed report analysis of high worth clients and submitted documentation to the management team.
Assisted correspondents and brokerage firms in preventing accounts from transferring out and thereby retaining assets under management.

Confidential

Buy In and Stock Loan Representative

Responsibilities:

Completed publicly traded and private placement securities, i.e. equities, fixed income, bonds, foreign securities, derivatives, futures and option. Highly interactive with various departments within Fidelity and across the financial industry.
Reconciled and settled daily multiple securities for National Financial Services based on information obtained from generated reports.
Interacted with Foreign Trading Department, Government Clearing, Equity Trade Desk, Physical Securities, and Mutual Funds Departments for the research and resolution of trading issues.
Utilized problem solving, communication, investigation, documentation, and problem resolution skills in interactions with brokerage firms throughout the financial market with National Financial Services.
Pay attention to detail to minimize risk to firm.
Provided strong relationship building skills both inside unit and with outside firms.
Utilized systems such as DTC, Smart Track (including CNS), and Fidelity internal mainframe systems (Autocage, PMNU Trade Engine, and FBSI Fidelity Brokerage Services Interface.

Confidential

Analyst .

Responsibilities:

Utilized strong customer service and problem resolution skills.
Managed clients high net worth accounts
Reconcile debits by submitting reclaim letters for accounts.
Completed report analysis of high worth clients and submitted documentation to the management team.
Assisted correspondents and brokerage firms in preventing accounts from transferring out and thereby retaining assets under management.

Confidential

Claims Representative

Responsibilities:

Responsible for processing incoming and outgoing Confidential transfers of accounts.
Ensured accuracy of transfer related forms to reduce rejections and improve receipt of assets timeframes
Analyzed settlement reports and rejected unacceptable requests for transfers.
Submitted claim letters to retrieve assets and reconcile debits in clients accounts.

Confidential

Advanced Socio-Therapist

Responsibilities:

Directed responsibility and supervision of sixteen male residents
Supervised and lead independent living skills groups.
Maintained cottage safety and daily activities.
Maintained daily progress notes and communication of all cottage occurrences to all staff members.
Organized and maintained leadership of therapeutic community based trips.
Managed recordkeeping of resident s allowances.