securities operations specialist resume example with 9+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
  • :
Professional Summary

Internal Audit Officer (Senior Clerk) with over 3 years experience in providing analyzed input on audit projects, seeking the opportunity to contribute my skills as a team member of the organization. Self starter with a great sense of initiative who has consistently added value by conducting 100% accurate accounting reconciliations, testing internal procedures to improve efficiency, and mitigating risk.

  • Knowledge of the IIA International Standards for the Professional Practice of Internal Auditing and the Code of Ethics.
  • Demonstrated skills in executing detailed audit projects with accuracy by reviewing transactions, documents and internal record
  • Applied knowledge of risk assessment and risk mitigation in transactional anaysis and banking line of businesses
  • Ability to use Microsoft Word, Excel and Outlook.
  • Ability to build effective cross-functional relationships with team members.
  • Comprehensive understanding of the implications of the General Accepted Accounting Principles (GAAP).
  • Developed comprehensive skills to interpret polices, procedures and financial regulatory correspondence.
  • Demonstrated analytical skills with the aptitude to quickly understand work-flow processes and internal AMS applications.
  • Possess excellent verbal and written communication.
Work History
Securities Operations Specialist, 04/2020 - Current
Visiting Nurse Service Of New York Maywood, NJ,

· Analyze and process Depository Trust & Clearing Corporation (DTCC) held collateralized mortgage obligation (CMO) bonds income payments which require excellent knowledge of unit functions and application systems

· Research asset account entitlement for upcoming income payment events through system routines and reports

· Computes income payment of interest and principal by using factors and rates obtained from external data sources such as DTCC, Bloomberg and paying agent statement

· Reconciles operating suspense account outages and process appropriate corrections

· Completes position differences of CMO by analyzing Bloomberg statements to ensure department meets reporting and resolution requirement

· Oversee and ensure timely resolution of incoming inquiries related to impacted processes and process formal claims for entitled funds not received by Wells Fargo Bank

· Acts as liaison between supporting lines of business and financial institutions in support of income entitlements and payment resolutions

Staff Accountant-Direct Billing, 07/XXX9 - 03/2020
Aerotek- Contracted With USI Insurance Services City, STATE,

· Conducted bank reconciliations by accurately coding deposits to ensure accountability of all funds received

· Reconciled regional suspense billing worksheets with cash balances exceeding $1,000,000.00 by ensuring correspondence with the General Ledger account by investigating and resolving discrepancies

· Researched and processed 100 plus bank receipts monthly, from Suspense Accounts to an AMS system, by applying accurate billing postings to 200 plus invoices manually, and over 2,000 invoices systematically

· Conducted cross-referencing checks of 100 plus clients monthly, by reviewing client/policy/term criteria and insurance policy contracts to ensure broker’s commissions are paid accurately

· Investigated and processed journal entries from Suspense and General Ledger accounts based on classification of revenue/fee payments received

· Examined accounts receivable client payments by performing thorough investigation of client’s policy history and processed return checks to insurance carriers for over-payment of commissions

· Resolved aged accounts receivable credits by investigating each on a case basis by liaising with account executives and insurance carriers

· Utilized MS EXCEL to maintain logs, perform statement export and import files, used formulas for computation and analysis of client payment history

· Supported the finance team by preparing the accrual entry for month end reporting

· Managed the regional email box by responding to requests for information and investigating queries done by team members, to ensure month end goals are met

Internal Audit Officer (Senior Clerk), 10/XXX5 - 01/XXX9
Demerara Bank Ltd City, STATE,

Reconciled 15 plus internal accounts and over 100 plus transactions daily, ensuring accounting processes were accurately performed, legitimacy of the audit trail and provided 100% documentation for the resolution of discrepancies detected

· Reviewed over 100 daily financial records and critically assessed internal control operations to confirm their reliability hence, achieving organization’s sustainability by reducing the risk of fraud

· Monitored, investigated and reported on all of the bank’s suspense accounts to ensure accountability and mitigation of financial risk

· Operated in a financial services environment which required sound knowledge of AML and Counter Terrorist

Financing compliance and methodologies to conduct investigations and assigned projects

· Gathered and objectively analyzed internal data related to the scope of audit projects

· Conducted audits on operational areas which ensured procedures, policies, and regulations are correctly complied with

· Reported and communicated findings and risks; and provided practical, and value-added solutions to management which aided in improving their decision-making process

· Performed preliminary review of routine audit reports

· Conducted verifications and monitored cash unit areas-Treasury, Tellers, Commercial Cash and ATMs to ensure accountability of cash on hand and reported on findings and observations

· Reviewed internal expense records to ensure company spending controls/policies are adhered to

· Confidentially conducted ad hoc special audits and fraud investigations as requested by management

· Supervised team members periodically on assigned projects

Junior Clerk, 02/XXX1 - 06/XXX5
Guyana Bank For Trade And Industry Ltd. City, STATE,

· Provided excellent customer service in retail banking in operational areas such as General Inquiries, Deposit Accounts, Foreign Trade and Visa Card Centre.

· Performing front line clerical work such as opening, closing and updating of accounts, Forex exchanges, drafts, telex transfers, cash secured loan advance, and Debit/Visa ATM card creation and queries

· Functioned as the main marketeer of the Point-of-Sale service who conducted field work to increase in client base

· Used cross-selling techniques to promote banking services such as loans, online banking and mobile banking

· Collaborated with other departments and identified opportunities to make effective referrals where appropriate

· Engaged in regular training and professional development to enhance professional and personal growth through cross training with other departments within the bank

Bachelor of Science: Bachelor of Social Science in Business Management, Expected in XXX7
University of Guyana - Georgetown,
Status -
Diploma in Marketing

University of Guyana (XXX2-XXX4)


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Resume Overview

School Attended

  • University of Guyana

Job Titles Held:

  • Securities Operations Specialist
  • Staff Accountant-Direct Billing
  • Internal Audit Officer (Senior Clerk)
  • Junior Clerk


  • Bachelor of Science

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