Kim Jackson
Bronx,NY
Summary
Senior Manager with extensive capital markets experience in managing Middle/Back Office operations for Debt/Equity Fixed Income. Proven success in overseeing complex deal closings, ensuring regulatory compliance, and enhancing organizational efficiency through cross-functional team leadership across time zones.
Overview
18
18
years of professional experience
Work History
Syndicate Manager- SVP
Citigroup Global Markets Inc.
New York, USA
02.2025 - Current
- Managing 10-12 employees for the Syndicate New Issue Middle Office Business and the Special Equity Transaction Group Business.
- Oversee complex Public/Private Debt /Equity Capital Markets deal closings.
- Manage and oversee DCM/ECM Trade Supporting Teams.
- Oversee deal-related expenses, FED wire payments, and reconcile syndicate funding accounts.
- Manage the prospectus delivery reports.
- Reconcile post settlement 30th & 90th deal related expenses.
- Managed claim reporting, DWACs, buy-backs transactions, position reporting, and maintained documentation framework for internal audits and compliance with FINRA regulations (Trace- FINRA 11880 and REG M FINRA 5190).
- Proficiency with DTCC (Depository Trust & Clearing Corporation), Euroclear, and CUSIP Global Services for security identification in settling deal closings and DWACs and Buy-Back Transactions, Money Market Funds.
- Ensured strict adherence to FINRA 11880 post-closing deadlines.
- Manage P&L reconciliation processes, open new SETG accounts and oversee daily, weekly and monthly.
- Ensured rigorous Audit and Compliance alignment by managing internal documentation and implementing controls to meet regulatory standards.
- Led cross-functional teams to enhance organizational efficiency.
- Directed diverse teams across time zones, including Syndicate Operations teams in India, to ensure seamless execution and settlement of deals.
- Work with Technology Teams to streamline processes and process through automation of AI.
Transactional Manager-Vice President
J.P. Morgan Chase
New York, USA
02.2022 - 03.2024
- Managed Syndicate MO team from pricing to closing Debt Capital and GSP issuances.
- Optimize management of all financial aspects by ensuring effective expense control, Trade Support, Risk Management validation, FED wire payments, DTC eligibility, P & L reconciliation, and Regulatory Compliance.
- Processed closure of 600B+ Public and Private (High Grade, High-Yield, GEM, ABS, CLO, CMBS, and RMBS).
- Approved and released fed wire payments (ABA, swift payments).
- Coordinated settlements with Cusip Bureau, DTCC, and Euroclear, ensuring accurate final documentation.
- Reconciled trade details report with the trustee for DTC closing.
- Worked with Trade Support on reconciliation of the buy and sell trades.
- Establish robust relationships with key stakeholders, including customers, vendors, and regulators to nurture collaboration and long-term success.
- Fostered team collaboration, resulting in achievement of performance expectations.
- Collaborated with internal and external stakeholders, including banks and clients.
- Establish Written Supervisory Procedures (WSP) and policies to streamline operational processes and adhere to standards.
Transactional Manager- Non QM (Startup)
RealFi Private Lending LLC
Westchester, USA
05.2021 - 12.2021
- Supervised and administered portfolio of 100 Residential and Commercial properties for start-up Non-QM products to perform efficient operations.
- Determined pricing for Non-QM residential and commercial loans in LoanNex System to align competitive rates with market standards.
- Streamlined transactions by communicating effectively with Loan Officers, Brokers, Investors, and Attorneys to resolve inquiries.
- Ensured precision and compliance with legal standards by managing closure of residential and commercial property deals with attorneys.
- Led weekly reviews of Profit and Loss (P&L) statements for Realfi Private Lending LLC by offering financial oversight and strategic decision-making.
- Executed processing of residential and commercial loans through Encompass System to enhance operational efficiency.
- Analyzed income and asset documentation for investor purchases.
- Completed Campus Mortgage Certification for Non-QM loans
Internal Auditor
Deutsche Bank
New York, USA
01.2017 - 05.2021
- Directed audit scope determination, formulated testing strategies, executed procedures, and evaluated internal controls to ensure compliance.
- Uncovered control gaps and reported significant audit issues based on risk and impact.
- Audited Fixed -Income Operations (Debt/Equity Capital Markets Syndicate Ops, Asset Back Securities) for risk mitigation and compliance assurance.
- Recognized key business risks through interviews, walk-throughs, and precise analysis.
- Monitored internal controls continuously to identify potential risks. and formulate a view on the control of the environment.
- Achieved results of audit plan within established timelines and budgets.
- Collaborated with team leaders to enhance Audit Department initiatives and align goals during meetings.
Syndicate Operations (AVP) Manager
Deutsche Bank
Jacksonville, USA
07.2008 - 01.2017
- Managed Debt/Equity Capital Markets Syndicate Operations Team from deal pricing to final closing, documentation, reconciliation, and FED wire approval.
- Coordinated with internal and external stakeholders, including syndicate banks, legal counsel, and clients, to navigate challenges and ensure successful closure of deals.
- Organized and balanced primary issuances, settlement, and syndicate fees for new-issue securities, ensuring accuracy and compliance.
- Reported Global-US Denomination primary issuances to FINRA, while maintaining compliance through regularly updated policies and procedures.
- Reconciled trades between counterparties, ensuring accuracy of records, and facilitated DTC and Euroclear settlements and Fed wire approvals.
- Processed comprehensive monthly reports by tracking and documenting results.
- Carried through leadership to diverse teams across various time zones, including Syndicate Operations teams in Jaipur and Pune, India for seamless execution and settlement of each deal.
Education
Master of Business Administration -
University of Phoenix
Jacksonville, FL01-2012
Bachelor of Science - Business Administration
University of Phoenix
Jacksonville, FL01-2006
Skills
- Capital Markets Expertise
- Deal Flow Management
- Trade Reconciliation (P &L)
- Regulatory Compliance
- Risk management
- Operational Auditing
- Process optimization
- Project/Operations Management
- Cross-functional Collaboration
- Team Building & Leadership
Education Certifications
- Master of Business Administration, University of Phoenix, Jacksonville, FL, 2012
- Bachelor of Science in Business Administration, University of Phoenix, Jacksonville, FL, 2006
- Series 99-Operations Professional Examination, 2015-2028
Timeline
Syndicate Manager- SVP
Citigroup Global Markets Inc.
02.2025 - Current
Transactional Manager-Vice President
J.P. Morgan Chase
02.2022 - 03.2024
Transactional Manager- Non QM (Startup)
RealFi Private Lending LLC
05.2021 - 12.2021
Internal Auditor
Deutsche Bank
01.2017 - 05.2021
Syndicate Operations (AVP) Manager
Deutsche Bank
07.2008 - 01.2017
Master of Business Administration -
University of Phoenix
Bachelor of Science - Business Administration
University of Phoenix