Summary
Overview
Work History
Education
Skills
Affiliations
Timeline
Generic

Brian Dougherty

Springfield,PA

Summary

Highly skilled and reliable financial professional with a superb workplace record. I possess great attention to detail and am well versed in Analyzing, problem solving and multitasking. I am highly result driven and enjoy taking on new challenges.

Overview

16
16
years of professional experience

Work History

Trade Support Analyst

Vanguard Group
07.2018 - Current
  • Supporting daily trading activities on the desk, working directly with Traders and Trading Managers.
  • Monitor, analyze, and process transactions via numerous proprietary and vendor systems.
  • Manage complex operational and settlement issues.
  • Facilitate the accurate and timely settlement of securities transactions across domestic and international markets.
  • Master the complexities of many products as well as gain a solid understanding of the business model and infrastructure as well as mitigate the risks related to the trade life cycle.
  • Identify issues relating to Trade Related failures and the resolution..
  • Ensure risk is accurate across the board.
  • Act as the escalation point for issues relating to primarily Commercial Paper, Investment Grade, High Yield, Emerging Markets LATAM, Preferred Shares, and ETF Trading Desks.
  • Enhanced client satisfaction through prompt resolution of trade-related issues and effective communication of updates.
  • Interact daily with the back office, counterparties, traders, corresponding banks, immediate supervisors, and the finance desk.
  • Facilitated efficient trade settlements by liaising with custodians, brokers, and counterparties on a daily basis.
  • Conducted research to answer questions and handle issues using multiple systems and resources.

Corporate Actions Specialist

Vanguard Group
Malvern, PA
05.2008 - 07.2018
  • Responsible for a team of 6 members in the absence of the team Leader.
  • Ensure that deadlines are met.
  • Enhanced team efficiency with comprehensive training programs for new hires and ongoing professional development initiatives.
  • Ensure that team productivity targets are met.
  • Improved data accuracy by diligently validating incoming information from various sources such as stock exchanges, custodians, and data providers.
  • Conducted daily reconciliation of cash and securities positions related to corporate actions, resulting in minimized discrepancies in accounting records.
  • Anticipated potential challenges associated with upcoming events such as spin-offs or reverse stock splits proactively addressing these issues before they impacted operational efficiency.
  • Developed strong relationships with key custodians and agents by maintaining open lines of communication for timely updates on ongoing events or new developments in the field.
  • Liaised with trading desks, portfolio managers, and other key personnel for seamless execution of transactions during major corporate events

Education

Associate of Arts - Urban Education And Leadership

Penn State Brandywine
Lima, United States
05.2001

Associate of Science - Early Childhood Special Education

Delaware County Community College
Media, PA
05.1999

Skills

  • Financial analysis
  • MS Excel
  • Bloomberg
  • Detail-oriented
  • Securities Processing
  • Bonds
  • Credit Derivatives
  • Exchange Traded Funds
  • FINRA Trace Reporting
  • Profit and Loss

Affiliations

  • FINRA Series 7 and Series 63 License

Timeline

Trade Support Analyst

Vanguard Group
07.2018 - Current

Corporate Actions Specialist

Vanguard Group
05.2008 - 07.2018

Associate of Arts - Urban Education And Leadership

Penn State Brandywine

Associate of Science - Early Childhood Special Education

Delaware County Community College

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Brian Dougherty