Rosemarie Lockett
National Park,NJ
Summary
With 18 years of experience as a successful Senior Investment Services Associate and Trade Administrative Specialist, I thrive in fast-paced environments and consistently meet daily deadlines. Dependable and self-motivated, I am a valuable team player who is always eager to learn and adapt to new challenges. I excel in organization and have a meticulous attention to detail, ensuring precision in every task. Through the implementation of automation and my expertise in trading equity, bond, mutual funds, and muni trades, I consistently maintain operations within industry targets and deadlines. Collaborating closely with Traders, Portfolio Managers, Brokers, Custodians, and IT professionals, I contribute to an efficient and cost-effective back office/trade settlements environment.
Overview
40
40
years of professional experience
Work History
Trade Administrative Specialist
Archer IMS, LLC
REMOTE
09.2021 - 09.2024
- Load equity step-out trades and also executed live orders from a 3rd party manager into APL on a daily basis
- Load bond trades and executed mutual fund trades from a 3rd party manager into APL which had to meet deadlines on a daily basis
- Did end of day pricing for that day's bond trades in APL which included price, settle date and broker details
- Did model changes for several different clients which required loading trades into many different sponsor portals, APL, and emails with instructions
- Maintenance on accounts which would require re-balancing for withdraws and contributions and also for any new accounts that came in
- Maintained drift on accounts with some supervision because I was still in the process of learning drift
Sr. Investment Services Associate
Penn Capital Management Co., Inc.
Philadelphia, PA
11.2005 - 10.2020
- Work directly with Traders, Portfolio Managers and Client Services Team on a daily basis
- Affirmed trades on a daily basis through Omgeo Trade Suite
- Uploaded trades onto Custodial websites
- Communicated Trade Allocations to Brokers through Omgeo Oasys and manually emailed when necessary
- Worked daily on trade settlement issues with Client Custodians and Counter Party Brokers, and Prime Brokers
- Reconciled daily and monthly Client accounts
- Maintained records for Corporate Actions and Elected on Corporate Actions for our Client accounts through email, faxing, and website access which required meeting deadlines
- Filed Class Actions on behalf of our Clients
- Set up Account instructions through OMGEO Alert
- Set up new EQ, Convertible, and HY Securities in our system using Bloomberg on a daily basis
- Maintained Client Account information in Advent APX software system
Formal Wear Specialist (Sales Promotions)
After Hours Formal Wear
Deptford, NJ
02.2004 - 11.2005
- Worked in David's Bridal as an After Hours/David's Bridal Representative offering new brides discounts for tuxedos
- Greeted customers as they entered the store and directed customers to proper departments
- Answer phones, set up appointments
- Kept records of bridal registrations, register brides for discounts, weekly daily report, fax weekly and daily reports, report weekly progress on conference call
Administrative Assistant
Ray Angelini, Inc.
Sewell, NJ
06.1998 - 02.2001
- Worked with the estimating departments for the electrical division and also the general construction division to put out bid documents
- Worked directly with the Vice-President of the Company
- Made copies of large blue prints
- Sent bid faxes out to vendors
- Typed up very detailed reports for the customers
- Did invoicing, billing, multi-line phones, arranged business trips, set up appointments, scheduled work for technicians out in the field, and many other administrative duties
Manager/Bartender
Breakers Tavern/Duer's Pub
03.1990 - 12.1997
- Tended bar and waited tables
- Operated lottery machine and accurately handled cash
- Strong customer service skills
- Closed establishment in the evening
- Maintained professional demeanor during high-pressured peak hours
Typesetter
Pip Printing/Auerbach Printing Co.
02.1985 - 03.1990
- Typeset copy from original manuscript from the editorial department
- Set up charts, page set-up, proofread copy, made corrections
- Various other administrative duties
Education
Certificate of Graduation - Network Administrator
The Cittone Institute
Mt. Laurel, NJ12.2003
Certificate of Graduation - Accelerated Office Automation
The Cittone Institute
Mt. Laurel, NJ05.1998
Skills
- Account Reconciling
- Trade Settlement Issues
- Affirm trades in OMGEO Trade Suite
- Trade Allocations
- Re-balance client accounts
- Drift on client accounts
- Executed trades
- Priced trades in APL
- Built trades in Archer Manager Workstation
- Performed maintenance on client accounts
- Model changes
- Corporate Actions
- Class Actions
- Setting up new Accounts
- Set up EQ, CNVT Bonds, and FI securities using Bloomberg
- Typing (55 to 70 wpm)
- Microsoft Office (Word, Excel, Power Point, Outlook, Skype, Teams)
- Good People skills
- Work ethics
- Computer skills
- Continuous learning mindset
- Documentation management
- Cash handling
- Filing
- Managing cash register
- Dedicated team player
- Deadline oriented
- Expert problem solving
- Time management
Operating Systems
- Windows (including Outlook and Skype for video conferencing)
- Microsoft Office including Microsoft Teams for group communications and video conferencing
- OMGEO (Trade Suite, Alert, and Oasys)
- APL
- APX
- ACD
- MOXY
- EZE
- AXYS
- CRD
- Zendesk
- Manager Workstation
- Azure
- Bloomberg
- CRM
Timeline
Trade Administrative Specialist
Archer IMS, LLC
09.2021 - 09.2024
Sr. Investment Services Associate
Penn Capital Management Co., Inc.
11.2005 - 10.2020
Formal Wear Specialist (Sales Promotions)
After Hours Formal Wear
02.2004 - 11.2005
Administrative Assistant
Ray Angelini, Inc.
06.1998 - 02.2001
Manager/Bartender
Breakers Tavern/Duer's Pub
03.1990 - 12.1997
Typesetter
Pip Printing/Auerbach Printing Co.
02.1985 - 03.1990
Certificate of Graduation - Accelerated Office Automation
The Cittone Institute
Certificate of Graduation - Network Administrator
The Cittone Institute