Analytical, resourceful with more than 20 years of KYC, International equities and Domestic, back office operations, Broadridge, derivatives, Obligation Warehouse, LOFFA, fixed income and ETF experience. Ambitious and team-oriented individual who thrives on learning and effectively communicating with others. Fluent in English and Spanish.
Reviewed accounts for completeness according to AML/KYC Policies.
Examined account documents as well as using internet based websites to identifying institutional and retail clients.
Identified accounts for high risk or negative information using World check and OFAC.
Monitored and review Suspicious Activity report on client.
Updated Access database with CIP Information.
Performed risk score and business entities.
Searched for existence of clients.
Manage all trade capture and trade rejects on two platforms. ADP System and Domestic trade executed in the U.S. Gloss Systems for trades executed in both U.S currency and foreign currencies.
Interact one on one with International and Domestic traders in London and the U.S. monitoring no-name accounts in regards to pending trades.
Communicate with clients regarding any discrepancies in regards to settlement instruction to assure trades settled on trade date.
Reviewed all trade processing reports for the international Market and resolve any issues relating to clients that are supported by sales marketers.
Set up new accounts for Domestic and Equity International Desk.
Retrieved all legal documents according to the USA Patriot Act regulations.
Worked directly with Traders in London, Asia and the U.S.
Liaise with Compliance Officers, Client Managers Credit Officers.
Responsibilities include reviewing and processing equity fixed income, exchange traded funds, and derivative orders
Review and resolve trading inquiries for domestic, international, capital markets, fixed income, and derivative trading.
Assist the trading department in reconciling and auditing trading error accounts.
Create daily reports distributed to various departments delineating updated and changes to individual securities, stock distribution, cash distributions, reconciliation of trading symbols between operating systems, and accelerated option settlements.
Recipient of GEMS award Excellence in Innovation Award for the Second Quarter of 2010.
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