RONALD SMITH
Valley Stream,NY
Summary
Reliable and detail-oriented professional with deep experience in DTC settlements, collateral monitoring, and securities processing. Proven ability to reconcile records, track fails, and support timely transaction completion. Strong focus on accuracy, workflow support, and issue resolution.
Overview
1
1
Certification
24
24
years of professional experience
Work History
Corporate Senior Associate
Mizuho Bank
New York, New York
04.2019 - 10.2026
- Funded DTC for trade settlement while monitoring cash position to support smooth transaction processing.
- Monitored DTC collateral usage for current-day and next-day settlement.
- Completed intraday proofs to reconcile records and confirm alignment with DTC data.
- Tracked RAD queue throughout day to support processing flow.
- Maintained accurate fail reason records for settlement tracking.
- Processed ADR conversion to local shares.
- Processed DRS requests at DTC.
- Deposited physical securities into DTC.
- Contacted transfer agents to verify transfer process.
Assistant Manager, Customer Service
Muriel Siebert & Co., Inc.
Jersey City, New Jersey
09.2002 - 01.2019
- Resolved account questions and trade inquiries, enhancing client satisfaction through effective communication.
- Responded to all incoming customer email inquiries, facilitating prompt resolutions and improving customer experience.
- Review and approve incoming account applications
- Assist in training of new hires
- Review accounts and approve outgoing funds via check, ACH transfer or Fed Funds wire transfer
- Processed equity and mutual fund orders, ensuring timely execution for client transactions.
- Processed client instructions for voluntary corporate actions
- Processed incoming check deposits and stock certificates
Education
New Utrecht High School
Brooklyn, NYSkills
- DTC settlements
- Securities processing
- Collateral monitoring
- Corporate actions
- Cash reconciliations
- Trade processing
- Problem solving
- Attention to detail
Certification
- Formerly held FINRA Series 7, Series 63 and Series 24
Timeline
Corporate Senior Associate
Mizuho Bank
04.2019 - 10.2026
Assistant Manager, Customer Service
Muriel Siebert & Co., Inc.
09.2002 - 01.2019
New Utrecht High School