Experience

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  First union national bank

  Jun 1995 - Nov 1997

  Assistant manager-corporate trust document custody

  • Responsible for certifying that mortgage notes and other legal documents are official, recorded, original documents.• Review all documents to make sure they are in compliance with State and Federal regulations.• Maintained custody and control of all Notes and assignments• Helped develop and maintain an independent tracking and reporting system.• Maintained a safe, fireproof, temperature-controlled facility to house 20,000+ mortgage documents.

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  First tennessee bank

  Jan 1998 - Jan 2002

  Mbs p&i specialist/trust operations

  • Resolved payment related queries from customers and colleagues.• Performed daily cash management functions, including, but not limited to determining daily cash position, processing wires, and ACH transactions, performing cash management related research and resolving errors.• Processed daily net settlement of income (dividend, interest, pay downs, etc.) ensuring that client accounts are credited accurately and in a timely manner.• Assists with month end close activities, including reconciliations.• Lead department’s United Way campaign, resulting in the Bank’s Top Level Contribution Award. Show less

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  Ftn financial

  Jan 2002 - Jun 2013

  • Responsible for due diligence on all accounts, utilizing Bank Secrecy Act, Anti-Money Laundering and FINRA while focusing on foreign and high risk accounts.• Managed daily workflow of all team members in compliance department.• Preformed extensive research on entities, built files and made recommendations to senior management for approval and acceptance of retail and institutional accounts, using LexisNexis, OFAC, and various domestic and foreign government websites for investigation.• Responsible for all Prime Brokerage documentation.• Maintained expertise in all aspects of client onboarding/opening accounts including; Know Your Customer paperwork and documentation requirements.• Worked with internal auditors and regulators to coordinate audits and inquiries.• Served as the primary account liaison for FTN’s International expansion into Asia.• Extensive knowledge of all banking and financial requirements including FINRA, OCC and the SEC.• Knowledgeable of the SAR filing process, monitoring accounts for Compliance and SAR proceedings.• Systems Department liaison for system design, implementation, modification, testing, and training. Show less • Handled entire trade life cycle, from trade capture, matching, clearance and settlement, of all FNMA, FHLMC, GNMA TBA and specified pool trades.• Confirmed all mortgage-backed trades using MBS Clearing Corporation and Real-Time Trade Matching.• Provided monthly pool allocation for all To Be Announced (TBA) trades under strict cutoff times.• Monitored Fail reports for aged settlements, and Exception reports for money differences due to factor updating and interest rate changes.• Responsible for payment or collection of money differences to customers, Institutional or Broker Dealer.• Resolved issues regarding billing, comparison, settlement, and trader inventories.• Process analysis to improve control, scalability and efficiency.• Project management leadership, supporting new and existing products with an emphasis on co-operation with Information Technology for the development and enhancement of processes and systems.• Created Disaster Recovery Plan and Training Manual for various Fixed Income desks. Show less • Settled all asset-backed and CMO securities through the Fed and DTC.• Supported traders, sales reps, and portfolio managers across various asset management businesses.• Had to multi-task and handle pressure in fast-paced and intense environment.• Performed factor updates and rate changes before or after settlement to ensure proper settlement of funds and current par value of bonds.• Resolved daily settlement issues with executing broker, trading desk, customer, or Prime Broker.• Built relationships with outside financial institutions (brokers, custodians, Prime Brokers and fund administrators) to improve quality and productivity of work.• Stayed up to date with regulatory requirements, policies and procedures.• Working knowledge of Bloomberg, DTCC and Fed clearing systems.• Updated new issue CMO trades with proper CUSIP once available from issuer.• Provided customers and sales reps with final trade confirmations.• Responsible for entire settlement process of deals underwritten by First Horizon.• Identified opportunities and enhancements to improve functions.• Served as backup for other Fixed-Income and Bond Settlement desks, e.g. Derivatives, Treasuries, Agencies, Municipals, Corporate bonds, and CDs. Show less

  • Operations Coordinator III: Account Compliance

    Apr 2011 - Jun 2013

  • MBS Allocations/Trade Support

    Jan 2007 - Apr 2011

  • Fixed Income Operations/CMO Desk

    Jan 2002 - Jan 2007
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  Ubs

  Apr 2019 - now

  • Associate Director

    Feb 2025 - now

  • Global Equity Derivatives Sales Support

    Oct 2023 - now

  • Integrated Middle Office Specialist MBS/CMBS/ABS

    Jul 2022 - now

  • Securities Analyst

    Apr 2019 - Jul 2022