Montgomery Street, San Francisco, CA94105(555) 432-1000, resumesample@example.com
Professional Summary
An experienced financial professional with a successful career managing risk, performing due diligence, implementing projects and handling time-sensitive, complex transactions.
Skills
Highly detail-oriented
Superior time management
Exceptionally organized
Complex problem solving
MS Excel expert
Test cases and script creation for project management
Internal and external auditing
Websites, Portfolios, Profiles
Work History
05/2009 to CurrentTrade Support AnalystSpiderrock | Chicago, IL,
Supervised and coordinated projects for external auditors and examiner evaluations.
Supported management through risk identification, control testing and process improvement procedures.
Reported internal control issues to management and supplied comprehensive recommendations to mitigate the associated risks.
Met with clients to identify and assess business controls, risks, process gaps and work flow inefficiencies.
Evaluate QC on daily trading systems to ensure proper flow and communications.
Streamline processes from other depts as migrated over
Liase with LOB for UAT development/testing/validation .
Train the LOB on the implementation to prodcution.
Trained offshore teams as well as manitain the US touch point for questions.
Train new associates as they join the team on the system links and process flows both internal and external.
11/2005 to 05/2009COE analystCharles Schwab Corporation | Sarasota, FL,
Maintained friendly and professional client interactions at all times.
Wrote procedures for internal and external auditing purposes.
Assigned tasks to associates, staffed projects, tracked progress and updated managers, partners and clients as necessary.
Trained new team members on applying due diligence procedures and regulatory mandates.
Audited and documented all processes and procedures for the non-standard assets total over 700 assets worth over $7 Billion. Worked closely with Employee Benefit Reporting Group to ensure accuracy of client statements.
Responsible for continues offshoring efforts for of COE (center of excellence) and personally responsible for maintaining liaison relaion. Liason role includes communicting daily with overseas partners to assist in recon, ensuring proper access to perform daily duites, as well as continued training and writing of procedures.
Responsible for continued efforts to identify additional possibilites of process gaps/improvements.
Liaise between technology and LOB to analyze, identify, re-engineer and/or implement processes resulting in process efficiencies and risk mitigation.
Coordinate testing in UAT to ensure enhancements requests by technology correspond with those request for business needs.
09/2003 to 11/2005Outside Investment Mgr Trade ProcessorMemorial Sloan-Kettering Cancer Center | Brooklyn, NY,
Interact wtih mutual fund companies, IM brokers, both front and middle office personnel, investment service operatons as well as both internal/external trading desks to facilitate trade activity.
Complete timely execution of all trade transactions regardless of volume fluctuations and external constraints.
Complied with regulatory requirements and instructions.
Research, process and resolve any breaks related to trade activity and notifiying the appropriate parties.
2002 to 02/2003Mutual Fund SpecialistBanc One Investment Mgmt Group | City, STATE,
Process all exception reporting and outstanding issues.
Responsible for transfer, registration of Im accounts as well as dividends and income.
Maintain audit requests on accounts and verification of legal documentation.
Responsible for cross-traiing of new and current employees to ensure proper coverage.
10/2000 to 2002Middle Office Fixed Income TraderBanc One Investment Mgmt Group | City, STATE,
 Responsible for placing and executing Third Party Mutual trades per PM requests.
Conduct research on breaks and out of balance accounts.
Responsible for posting dividends, cap gain/loss, income and fees respecitively for each client.
Interact daily with outside investment firms, relationship managers and operation specialist to complete trading and exchange of funds.
Current to CurrentAudit Control SpecialistBanc One Investment Mgmt Group | City, STATE,
 Initiated the first audit control team for the department. role designed specfically for my skill set.
Responsible for auditing all security movement transaction posting on a daily basis to alleviate risk in the market.
Review and verify all security transfers were completed to between the various internal and external investment companies per client request. Responsible for reviewing peers work on a daily basis.
Interact with outside transfer agents to resolve discrepancies between client accounts.
Current to 04/2000Depository Transfer SpecialitsBanc One Investment Mgmt Group | City, STATE,
Responsible for account closing, asset distribution and receipts, gifting of assets.
Operated depository transfer databases to move securitites.
Research asset information on Bloomberg and determine current values based on paydowns.
Transfer assets in various regulatorydepositories: DTC, Fed, Euroclear.
Research and resolve breaks/outages generated by incorrect postings or timing issues.
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1998 to 11/1998Broker Account SpecialistBanc One Capital Markets | City, STATE,
Open and closed broker-dealer accounts.
Verified funding delivery isntructions for each client.
Operated DTC terminal to move securities between accounts.
Research fund discepancies on Bloomberg and communiate with outside brokerage firms.
Education
Expected in 1999Bachelor of Science | FinanceThe Ohio State University, Columbus, OHGPA:
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