BRIAN PAUL
Saint Augustine,FL
Summary
Professional in financial services with extensive experience in securities operations, known for reliability and adaptability. Expertise in managing settlements and documentation, along with strong focus on compliance and operational efficiency. A collaborative team player committed to achieving results and maintaining high standards in all tasks.
Overview
9
9
years of professional experience
Work History
Stock Loan Operations
Canon Recruiting Group
06.2024 - 12.2024
- Company Overview: Contractor for Bank of America Securities
- Process owner for Domestic Stock Loan Recalls management
- Skills learned: Securities Lending Operations, Stock Loan Recalls Management
- Further knowledge attained in process improvement and project management
- Provided exceptional support during high-volume periods, assisting colleagues with workload management and prioritization.
DAO/DMI Verification Analyst
Capital Staffing Solutions, Inc.
04.2023 - 11.2023
- Company Overview: Contractor for CAPCO on Multiple Projects
- Trained in Agile project management process to perform verification of risk controls in the Data risk space per OCC mandate
- Subject Matter Expert in Quality Control for the verification function, co-leading triage calls with DMI Remediation Team
- Team leader supporting Business Analysts and new joiners with training in verification process and Quality Control expectations
- Contractor for CAPCO on Multiple Projects
- Skills learned: Regulatory compliance, control testing, evidencing and Jira
- Managed high-volume caseloads efficiently, prioritizing tasks based on level of urgency or complexity.
Asset Transfer Analyst - Alternative Investments
Morgan Stanley
08.2022 - 04.2023
- Company Overview: Alternative Investments Transfer Operations
- Liaison between branch offices and funds for transfer of alternative investments to internal and external MS accounts
- Supported the AI Transfer team during backlog of incoming requests for manual transfers and general inquiries from the field
- Provided insight and analysis of current processes and created an exceptions process guide for field inquiries and escalations
- Alternative Investments Transfer Operations
- Collaborated with cross-functional teams to identify opportunities for process improvement and increased efficiency.
Bank Operational Risk Management
KFORCE
12.2021 - 04.2022
- Company Overview: Contractor for USAA
- Project assistant for OCC Consent Order Audit performed February-March 2021
- Developed and implemented a new control test validations process as part of OCC audit process which is under consideration for use across the Bank Operational Risk Management team
- Provided guidance to Bank ORM team and developed strategy to enhance monthly monitoring reports
- Offered consultation on re-engineering techniques to improve process performance and product quality.
Regulatory Reporting
Capital Staffing Solutions, Inc.
05.2021 - 10.2021
- Company Overview: Contractor for Deutsche Bank
- Creation and analysis of reports filed for DBSI’s Daily Net Capital reporting to FINRA
- Review of monthly regulatory filings ensure accuracy and integrity of data versus established DBSI benchmarks
- Review and revision of the group’s Key Operating Procedure (KOP) documents for final approval by Director
- Testing and transition of manual reporting tasks to the Alteryx workflow automation project and revision of KOP’s
- Streamlined regulatory reporting processes for increased efficiency and accuracy in submissions.
Officer, Ops Sr. Analyst MKTS – ADR Settlements
Bank of America Securities
05.2016 - 04.2021
- Worked with institutional clients who are converting American Depository Receipts into foreign equity stocks.
- Daily processing and monitoring of conversion settlements in both domestic and international markets.
- Worked with clients and external stakeholders to settle conversions related to Corporate Action events or other regulatory actions.
- Daily reconciliation of client and internal accounts.
- Promoted to Senior Analyst February 2017.
- Awarded Corporate Title - Officer, February 2020.
- Co-Coordinator for the ADR Robotics and Arbitrage Enhancement Projects.
- Maintained strict adherence to industry regulations, minimizing risk exposure for the organization.
- Implemented process improvements that streamlined workflows, reducing redundancies and increasing operational efficiency.
Education
Master of Management -
University of Phoenix
01.2009
Bachelor of Arts - Spanish, Sociology
Florida State University
01.2002
Skills
- Versed in Microsoft Excel using macros, VLOOKUP and pivot tables
- Basic knowledge of JIRA and Agile process
- Bilingual in Spanish
- Basic knowledge of Alteryx workflow, serving as liaison between front line business and technology teams
- Strong communication skills
- Decision-making
- Regulatory compliance
Timeline
Stock Loan Operations
Canon Recruiting Group
06.2024 - 12.2024
DAO/DMI Verification Analyst
Capital Staffing Solutions, Inc.
04.2023 - 11.2023
Asset Transfer Analyst - Alternative Investments
Morgan Stanley
08.2022 - 04.2023
Bank Operational Risk Management
KFORCE
12.2021 - 04.2022
Regulatory Reporting
Capital Staffing Solutions, Inc.
05.2021 - 10.2021
Officer, Ops Sr. Analyst MKTS – ADR Settlements
Bank of America Securities
05.2016 - 04.2021
Bachelor of Arts - Spanish, Sociology
Florida State University
Master of Management -
University of Phoenix
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