Settlement Officer
ADECO
مجموع سنوات الخبرة :20 years, 3 أشهر
Settlement Officer, ADECO (Posted at TD Waterhouse, WM Operations & Technology, Toronto, ON) Feb 2010 - Present
* Monitoring trade settlements with investigations and resolutions of abnormal unsettled trading entries including manual amendments and adjustments, respectively.
* Preparing payments for settlement dues and valuating daily net broker position for appropriate inclusion in MIS periodical settlement.
* Coordinating with financial advisors and brokers on daily basis to resolve the settlement inquires.
* Identifying non standard items with escalation to seniors to get necessary guidance for suitable resolution within the boundaries of standard compliance protocols.
* Assisting groups in analyzing, developing, testing and implementing operations/processes to ensure improvements.
Operations Officer, Canaccord Capital Corporation Apr 2006 - Dec 2009
* Executed manual settlement of mutual funds for branches and head office.
* Drafted and issued letter of indemnities as required.
* Maintained clients' accounts information on system.
* Effectively responded to partner inquiries with adequate resolution.
* Involved in the verification process of clients and partners as per the KYC corporation protocols.
* Regularly maintained policy and procedure manual.
Account Coordinator, International Financial Data Services (IFDS) Apr 2005 - Mar 2006
* Worked in a Clarington Capital Management mutual funds processing environment.
* Scrutinized account applications and related documents with authorization or rejection of account set-up as per the company's compliance protocols.
* Conducted batch processing of financial and non financial transactions on daily basis.
* Communicated with transfer agents, issuers, both internal and external staff in respect of account related inquires with their appropriate solutions.
* Developed and maintained control documents including updating of daily and monthly statistics.
Client Service Associate, CIBC, World Markets Jan 2004 - Apr 2005
MBA in Marketing Management, Western International University, London, UK Sep 1988 - Dec 1990
BBA in International Business, Schillar International University, London, UK Jun 1984 - Jun 1988