JORGE RIVERA
Sanford
Summary
Results-oriented financial operations leader with over 20 years of expertise in trade support, client service, and investor relations within fixed income and equity markets.
Overview
28
28
years of professional experience
1
1
Certification
Work History
Vice President, Alternative Investor Services
BNY Mellon
Lake Mary, FL
03.2023 - Current
- - Co-manage a team supporting a private equity fund client with investor services and onboarding
- - Process subscription documents and facilitate AML/KYC checks
- - Maintain investor data in a proprietary CRM system
- - Reconcile capital calls, distributions, redemptions, and statements to fund accounting
- - Generate and distribute notices; ensure accurate and timely wire settlements
- - Respond to client/investor inquiries via email and phone in a timely manner
Lead Analyst, Client Service
Pershing LLC, a BNY Company
Lake Mary, FL
06.2006 - 03.2023
- - Primary point of contact for internal and external clients to resolve complex issues
- - Approved associate daily processes using internal management tools
- - Compiled departmental metrics and prepared weekly Credit Committee reports
- - Trained and onboarded new employees
- - Supported Syndicate group with DTC settlement of underwriting issues
- - Collaborated with developers to automate internal systems
- - Monitored settlement of multi-million-dollar cash trades; resolved fails
- - Realigned dual-eligible securities across depositories using SWIFT and Nexus
- - Reconciled Government TBAs and ensured compliance with market regulations
Equity and Fixed Income Trade Support
Deutsche Asset Management
New York, NY
10.2000 - 06.2006
- - Liaised between trading desks, fund accounting, custodians, and brokers
- - Reconciled positions and processed domestic/global equity and fixed income trades
- - Ensured trade matching through PIMS; resolved mismatches with brokers and traders
- - Maintained delivery instructions and supported trade flow through middleware
- - Captured corporate bond and government trades; collaborated on system automation
Consulting Assignments
New York, NY
04.1998 - 10.2000
- - Chase Bank – Information Specialist (Apr 2000 – Oct 2000)
- - PaineWebber – Sales Assistant (Feb 2000 – Apr 2000)
- - Credit Suisse First Boston – Information Specialist (Aug 1999 – Dec 1999)
- - Goldman Sachs & Co. – Information Specialist (Apr 1998 – Aug 1999)
Education
High School Diploma - General Studies
Lincoln High School
Jersey City, NJ06.1996
Skills
Trade support and settlement (equity, fixed income, TBA)
DTC and SWIFT Bloomberg terminal CRM systems Omgeo ALERT and PIMS Trade communication
Reconciliations and cash wires AML and KYC compliance Capital calls and distributions
Workflow automation
Client engagement strategies
Compliance reporting
Leadership development
Certification
SIE, Series 99 licenses obtained.
Timeline
Vice President, Alternative Investor Services
BNY Mellon
03.2023 - Current
Lead Analyst, Client Service
Pershing LLC, a BNY Company
06.2006 - 03.2023
Equity and Fixed Income Trade Support
Deutsche Asset Management
10.2000 - 06.2006
Consulting Assignments
04.1998 - 10.2000
High School Diploma - General Studies
Lincoln High School