Vice President (Supervisory) - Client Services Resume Example
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VICE PRESIDENT (SUPERVISORY) - CLIENT SERVICES
Summary
Dynamic, highly qualified accounting professional with supervisory experience. Possess over 15 years of progressive professional experience with superb financial acumen and ability to handle toughest accounts with diligence, accuracy, and skill. Exceptional ability to resolve issues quickly and prevent errors. Proactive with process improvement and customer relationship management to ensure optimal performance and client satisfaction.
Education
Bachelor of Business Administration: AccountingBernard M. Baruch College, The City University of New YorkCity, State
Certifications and Licenses
Series 7 and Series 66
Actively preparing for CPA exam
Core Accounting Competencies
- Perform accounts receivable, accounts payable, accrual accounting, and cost accounting functions.
- Manage journal entries, variance analysis, margins, profit and loss reports, cash flow analysis, and collections.
- Knowledgeable of generally accepted accounting principles (GAAP)
- Supervise and train staff.
- Maintain compliance with regulatory and reporting guidelines.
- Perform monthly, quarterly, and year-end closing.
- Develop and implement process improvements.
- Manage diverse projects efficiently and accurately.
- Audit, review, and analyze accounts and work effectively with external auditors.
Selected Accomplishments
- Reduced costs and improved customer service by spearheading implementation of a self-clearing with TMC Bonds and a conversion to Pershing.
- Developed and implemented procedures to help clear a wider array of fixed-income securities, especially mortgage-backed securities as TMC Bonds evolved from providing a trading platform of just municipal bonds. Greatly increased weekly clearing of mortgage-backed securities.
- Spearheaded clean-up of delinquent account at Deutsche Bank. Brought account current for conversion from monthly-reporting to daily-reporting. Used parallel systems to check reporting and tracking accuracy.
Professional Experience
Vice President (Supervisory) - Client Services06/2008 to 08/2013TMC Bonds, LLCCity , STATE
- Ensured reporting compliance with TRACE and MSRB regulatory agencies.
- Improved trade clearing and reporting to TRACE which helped achieve favorable FINRA report card score.
- Accurately and efficiently researched trades and provided proof to customer auditors on request.
- Monitored pending collateral for covering trade inflows and outflows on a continuous basis through DTC.
- Proactively followed-up on failed transactions to prevent aged sale trades. Addressed aged trades aggressively.
- Oversaw maintenance and update of wide range of instructions to ensure proper settlement to correct accounts.
- Tracked money differences due to factor changes on MBS trades, contra party errors, interest differences due to bad indicative, and price discrepancies.
- Trained associates and provided feedback to officers on procedures, systems, and reporting requirements.
- Prepared profit and loss statements.
Senior Accountant - Investor Services09/2007 to 01/2008The Bank Of New YorkCity , STATE
- Ensured trades were booked with correct cash, proper cost allocation, and proper description in fixed income and equity accounts, especially for corporate actions using tax lot or average cost methods.
- Reconciled and verified accuracy of cash balances, positions, pricing, fixed and variable rate accruals, and TBA pair-offs of mortgage-backed security paydowns. Promptly resolved variances.
- Ensured proper booking of in kinds, free receives, inter-fund transfers, and wires with as-needed adjustments.
- Accurately and efficiently prepared monthly, quarterly, and annual reports for clients.
Financial Consultant - Retail Sales10/2005 to 09/2007AXA Advisors, LLCCity , STATE
- Conducted financial needs analysis and determined risk tolerance.
- Increased knowledge of financial planning products.
- Mediated issues with unhappy clients to resolve issues, ensure satisfaction, and strengthen loyalty and service.
- Effectively networked and developed new sources of business, such as law firms and chambers of commerce.
Institutional Accountant - Institutional Accounting and Operations07/2002 to 03/2005Lord, Abett & Co., LLCCity , STATE
- Reconciled fixed income and equity institutional accounts, mutual funds, and convertible accounts.
- Prepared monthly reports and manager's reconciliation for institutional clients.
- Determined investment cash availability. Maintained near-zero overdraft incidence even on tough accounts.
- Audited interest and dividends payments and accruals to ensure proper posting by updating the security setups.
- Ensured proper accounting procedures were followed on month-end reports. Caught and corrected errors.
Senior Accountant - Global Investor Services10/1999 to 07/2002Deutsche BankCity , STATE
- Verified and monitored transactions, confirmed proper accounting procedures for trades of derivatives, fixed income and equity securities for international and domestic funds
- Assisted in conversion of fund units to InvestOne accounting system, reporting to Investment Manager.
- Developed spreadsheets that ensured simplified, accurate departmental tracking and daily reporting of net asset value calculations of international mutual funds according to indices comparisons, checklists, and procedures.
- Performed detailed research, processing, and reporting of mandatory and voluntary corporate actions, tax reclaims, foreign exchanges, SWAPs, forward contracts, and accruals.
- Accurately tracked fixed income and equity foreign exchange futures price and currency fluctuations.
Pensions Accountant - Global Investor Services03/1997 to 10/1999Chase Manhattan BankCity , STATE
- Prepared and analyzed monthly and quarterly reports for global and domestic portfolios with $3B+ in asset value.
- Calculated and monitored the daily margin flows of future securities.
- Allocated sponsor contributions and benefit payments to pension plan accounts.
- Prepared ERISA and FASB reports for Fortune 500 clients.
Portfolio Accountant - Money Management Group - (Temp) 07/1996 to 03/1997The PrudentialCity , STATE
- Performed record keeping and accounting tasks for global equity and debt portfolios with $100K to $700M values.
- Reconciled custody and general ledger accounts on a monthly basis.
Computer Skills
M.A.R.S., PAM, SunGuard InvestOne, BroadRidge SIS, DTC, Pershing NetX 360, Bloomberg, OMGEO, S&P 500
MS Excel, Word, and Access
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Resume Overview
School Attended
- Bernard M. Baruch College, The City University of New York
Job Titles Held:
- Vice President (Supervisory) - Client Services
- Senior Accountant - Investor Services
- Financial Consultant - Retail Sales
- Institutional Accountant - Institutional Accounting and Operations
- Senior Accountant - Global Investor Services
- Pensions Accountant - Global Investor Services
- Portfolio Accountant - Money Management Group - (Temp)
Degrees
- Bachelor of Business Administration : Accounting
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