Leila Dunlap

Experience

• 

  BBVA Compass

  Jul 1998 - Aug 2005

  Operations Specialist II

  Lead approximately 4-5 employees in the research area ensuring that all daily goals are met in a timely accurate manner.Process daily downloads entered through ASI6 to the ASI4 / ASI14 / ASI100 systems.Complete the daily totals for the Lumen and SLA reports within the department.Set goals and assist in any area of which I have knowledge.Process customer financial statementsAnswer incoming calls for the Research area and direct to the appropriate person or area.Research and resolve any problems.Perform data entry, review and verification. Show less

• 

  Sterne Agee

  Sept 2005 - Apr 2010

  Purchase and Sales Clerk

  Process daily monetary Options SettlementReview weekly OCC Margin Requirement ReportProcess monthly and daily Assignment/Exercise requestsMonitor Option Suspense AccountProcess inventory cancel and re-bill requests and step out tradesWork with correspondents regarding Q&A in reference to equity and option trade issues Coordinate broker dealer account set-ups with new accountsInput and compared trades on the NASDAQ ACT Workstation II

• 

  Sterne Agee

  Nov 2010 - Apr 2015

  Reconcile P&S suspense accounts vs. NSCC exception reports for discrepanciesAnswer questions related to P&S operational duties and resolve issues as neededMonitor team member duties to ensure timely processingMonitor Bloomberg for various issues such as trade rejects, security verification, changes in interest, etc.Provide backup support for the Options, Equity, Fixed Income, Broker Dealer, and Finra Trace Reporting desks during team member absences Reconcile P&S suspense accounts vs. NSCC exception reports for discrepanciesBalance Equity and Fixed Income ContractsProcess Journal Entries Notify correspondents of unaffirmed tradesVerify all paper work for new prime broker accounts have been received and process correctlyEnsure trades have been received and delivered (settled) via Continuous Net Settlement and delivered via Depository Trust & Clearing Corporation

  • Purchase & Sales Team Lead

    Oct 2014 - Apr 2015

  • Balancing Specialist

    Jun 2012 - Sept 2014

  • Institutional Support Specialist

    Nov 2010 - May 2012
• 

  Regions Bank

  Apr 2015 - Aug 2016

  Registered Resource Specialist

  Respond to Financial Consultant compliance inquiries and escalated issuesAnalyze account information to discover any issuesRecommend best paths for Financial Consultants and clientsMonitor and follow up on new businessRespond to client inquiries and requestsUpdate and review operational tasksClerical duties such as answering telephones, mailing, filing, and processing formsProcess client's buy and sell tradesProcess new account applications

• 

  StoneX Group Inc.

  Aug 2016 - now

  Operations Control Manager

  Reviewing/approving daily bank reconciliationsReviewing/approving weekly suspense reconciliationsCreate monthly Focus Schedules for Regulatory Reporting Support with firm compliance to SEA Rule 15c3-3 and 17a-5Work in partnership with internal and external audit teams on assignmentsCreating and analyzing departmental reportsProviding back office access to requested usersParticipating in statement testingWeekly vault/stock record counts Respond to and resolve customer service and support issuesParticipate in employee performance reviews, cross training and development opportunitiesMentoring team members to help improve performance and production Show less