HEATHER HENDERSON

Operations specialist responsible for settlements tasks as defined below.

To ensure day-to-day responsibilities are undertaken in a timely fashion and that the area is covered at all times. Ownership of procedures related to all daily tasks.

Settlement specialist

• Ensuring all timely European and UK Settlements
• Static data

Middle office specialist

• Booked all trade allocations
• exception monitoring
• Three matching/exception monitoring-instructions
• Sorted all client trade discrepancies
• Client post-trade communications
• Creation of Front Office trade processing, back office position reconciliation

New account specialist

• Opened all new client accounts
• Performed all AML & OFAC procedures
• Systems Utilized daily of Alert , CTM , FIDESSA Traiana, Inferno, Mcdonald Information Service
• Input into related procedures
• Liaison with Front Office / UK Counterparts / Other Operational areas as required
• Other operational tasks / duties designed at managers discretion
• Participate in cross training within Operations
• Attend and participate in departmental meetings
• Awareness of NUMIS internal policies
• Ensure any administrative tasks, within the area, or undertaken as required (i.e. archiving, distribution of posts, electronic filling of daily trade ticket & confirms etc.) in a timely and efficient manner.

• Facilitated workshops and training sessions for client staff, enhancing their skills and knowledge in key areas.
• Collected, arranged, and input information into database system.
• pay bills, office management, hire vendors

• Used FINRA CRD system to register new hires U4 and terminate departing employees via U5
• Update firm BD
• Conducted Initial Compliance Meetings with New Hires
• Monitored Email Surveillance for Firm
• Sent out 407 Letters to investment Firms
• Tracked and set up individual FINRA Regulatory training.
• Monitored adherence to industry regulations, ensuring timely reporting of any discrepancies or violations.
• Reviewed audit and monitoring reports related to consumer and client activities.
• Helped create training programs to handle system-wide issues and maintain compliance.
• Stayed current with latest changes to applicable regulatory standards and company procedures.
• Per the Firms Needs Analysis roll out comprehensive firm training programs to ensure staff understanding of relevant regulations and policies

• Developed and wrote the Firms Element Needs Analysis and Training Program. Order and maintain training materials. Prepare initial training packages for new employees track completion of training materials.
• Confirm Continuing Education status Regulatory Element. Notify registered employees of regulatory element tutorial requirements. Send member memos establish files schedule tutorial track completion
• Book conferences planning coordinate special internal events Annual Compliance Meetings arrange participation of outside speakers obtain space notify register representative attend and provide support for smooth running meeting. Follow up on incomplete items or lack of attendance by rep register representatives. Distribute Annual Questionnaires to all non-registered employees.
• Maintain outside account database, prepare and forward 407 letters to brokerage firms check receipt of account statements confirm information with outside vendor McDonnell services
• Conduct initial meeting with new license hires and ensure completion of the form U4 and documentation required with respect to outside brokerage accounts outside business activities, personal securities transactions.

• Answered multi-line phone system, routing calls, delivering messages to staff and greeting visitors.
• Maintained confidentiality of sensitive information by adhering to strict privacy policies and implementing secure filing systems.
• Ensured accurate record-keeping with diligent data entry and database management for vital company information.
• Back up admin to the CEO and CFO
• Scheduling fingerprinting, setting up new employee files
• New license hire ensure completion of their form U-4 and terminated licenses using form U-5