Ryan W. Kennedy
Charlotte,NC
Summary
A self-starting highly motivated hard working individual looking to utilize my experience and skills to its full potential.
Overview
34
34
years of professional experience
Work History
Syndicate Operations
Wells Fargo Capital Markets
09.2017 - Current
- Request cusips from the Cusip Bureau
- Set up securities with DTC, Euroclear & Clearstream
- Coordinate conference calls with Trustees, Banking and DTC to close new issue
- Process accrual, Out of Pocket expenses for the deal to P&L
- Process deal wires and payments
- Coordinate deliveries with DTC Settlements team
DTC Settlements / Fail Control
Wells Fargo Capital Markets
09.2002 - 09.2017
- Utilize reports to review trade activity, research trade problems and reconcile breaks between DTC, Impact and BPS pertaining to multiple Broker Dealers
- Daily monitoring of settlement for Equities, Corporate & Municipal Bonds, Commercial Paper, CD’s, CMO’s
- Monitor multiple fail reports throughout the day to ensure all trades are completed in a timely manner
- Responsible for daily Reg T monitoring and Finra extension reporting
- Monitor Risk and break reports to clear trades in an appropriate time frame and limit firm exposure
- Daily tracking of CNS, SMART/TRACKS Buy-Ins for Equities; Corporate Bonds and CD’s
- Responsible for the origination and settlement of SPO charges
- Perform control movements to adjust for stock record breaks for all settlement departments
- Validate and compile fail comments for weekly Risk reports
- Prime Brokerage Settlement
Fail Control
Cantor Fitzgerald
09.2001 - 08.2002
- Critical in leading department through it’s rebuilding efforts during the devastating aftermath of the September 11, 2001
- Demonstrated exceptional commitment, drive, and leadership capabilities while supervising personnel in rebuilding, hiring, training and reallocating responsibilities throughout the department
- Supervised staff in handling of RVP’s, DVP’s, Fails, DK’s and Buy-Ins, Stock Loan settlement
- Identified and implemented improvements to Dividend Reinvestment settlement procedures utilizing specialized accounts for P&L tracking purposes
- Reorganized and simplified the daily tracking of trades for use by team members
DTC Settlements Clerk
Cantor Fitzgerald
05.2000 - 09.2001
- Coordinated communications with senior management of all departmental units regarding reorganization and improvement of staffing structure
- Collaborated with Compliance department for daily receipt and final distribution of Physical Certificates
- Processed Euroclear Settlements and ADR Conversions via Davidsohn and DTC
- Conducted receipt and delivery of stock loan settlements via DML
- Communicated with clients, traders, transfer agents and banks to execute money wires and transfers
204-B Customer Service Supervisor
United States Postal Service
10.1996 - 10.1999
- Responsible for scheduling, training and supervising staff consisting of mail carriers and window clerks
- Responsible for confidential employee records such as salary, vacation reports and dismissals
- Conducted performance appraisals and relayed compensation information
- Coordinated operating procedures, organization and budgetary requirements with upper management
City Carrier
United States Postal Service
10.1992 - 10.1999
Part-Time Mail Handler / City Carrier
United States Postal Service
02.1991 - 07.1992
Education
MORRISVILLE STATE COLLEGE
Morrisville, NY12.1991
Skills
- Interpersonal Communication
- Team-building
- Supervisory Experience
- Administrative Experience
- Versatility
- Adaptability
- Task Management
- Dedication
- Hard-working
- MS Office
- DTC
- Broadridge BPS
- Impact
- BONY
- Smart/tracks for Buy-Ins
- Smart Stream CMS
- NUWS
- Cusip
Accomplishments
- Task force with the Allocations / P&S team to bring up daily customer / firm affirmation rates to above 90% prior to the T+1 conversion.
- Lead testing and ultimate no go decision for Alfresco usage in Syndicate Operations.
- Lead testing and Implementation of Prime Broker Business from Settlements/Fail control perspective.
- Lead testing and Implementation of Regulation U for Prime Broker accounts from Settlements/Fail control perspective.
Timeline
Syndicate Operations
Wells Fargo Capital Markets
09.2017 - Current
DTC Settlements / Fail Control
Wells Fargo Capital Markets
09.2002 - 09.2017
Fail Control
Cantor Fitzgerald
09.2001 - 08.2002
DTC Settlements Clerk
Cantor Fitzgerald
05.2000 - 09.2001
204-B Customer Service Supervisor
United States Postal Service
10.1996 - 10.1999
City Carrier
United States Postal Service
10.1992 - 10.1999
Part-Time Mail Handler / City Carrier
United States Postal Service
02.1991 - 07.1992
MORRISVILLE STATE COLLEGE
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