Sofiyan Shaik
Institutional Investment Operations Associate
Buena Park
Summary
Result-driven finance and operations professional with 4+ years of experience in institutional investment operations, Fixed income collections, and cost basis analysis. Proven expertise in resolving trade discrepancies, streamlining processes, and optimizing operational efficiency. Recognized as a high performer with excellent problem-solving, communication, and analytical skills. Proficient in advanced Excel, Tableau, and SWIFT systems.
Overview
6
6
years of professional experience
2026
2026
years of post-secondary education
Work History
Institutional Investment Operations Associate
Wells Fargo Bank
06.2022 - 07.2023
- Conducted pre-matching of trades across equities, fixed income, and derivatives to ensure accurate trade confirmations and prevent settlement failures.
- Coordinated with counterparties, custodians, and internal teams to resolve trade discrepancies and ensure timely settlement.
- Monitored and processed post-trade activities, including settlement instructions, reconciliation, and exception handling in global markets (T+1).
- Utilized platforms such as SWIFT, OMEGA CTM to match and settle high-volume trades, maintaining a >98% STP (Straight Through Processing) rate.
Senior Securities Operations Associate
Wells Fargo Bank
05.2020 - 05.2022
- Managed interest and principal payments for bond securities, posting timely transactions to trust accounts.
- Conducted reversals and reposts for cash differences, collaborating with DTCC for rate adjustments.
- Processed wire payments and final maturity payouts, ensuring 100% compliance with regulatory standards.
- Cross-trained in DTCC CMO and Physicals products, enhancing team flexibility and coverage.
Securities Operations Associate
Wells Fargo Bank
01.2019 - 04.2020
- Prepared detailed reports for cost basis determination, effectively communicating findings to stakeholders.
- Updated tax slots with accurate cost basis details, maintaining data integrity and compliance.
Financial Associate
Hewlett Packard/DXC Technology
09.2017 - 11.2018
- Resolved customer billing issues through email and phone support, achieving a 90% customer satisfaction score.
- Improved invoicing processes, reducing query resolution time by 20%.
Education
Masters of Business Administration - Finance Emphasis
Central Michigan University
Mount Pleasant city, MichiganSkills
- Leadership and Collaboration
- Analytical Thinking and Problem-Solving
- Effective Communication and Presentation
- Adaptability and Quick Learning
- Advanced Excel (Pivot Tables, VLOOKUP)
- Tableau (Data Visualization, Dashboard Creation)
- SWIFT (Global Payment Systems)
- Microsoft Office Suite (Word, PowerPoint)
Campus Involvement
Led multiple group projects and PowerPoint presentations during the MBA program, fostering teamwork and knowledge-sharing.
Recognition
- Champion Award, Wells Fargo, 12/21, Recognized for exceptional performance and leadership during team absences.
- Star Performer, Wells Fargo, 06/22, Presented a process improvement project that reduced processing time by 25%.
Timeline
Institutional Investment Operations Associate
Wells Fargo Bank
06.2022 - 07.2023
Senior Securities Operations Associate
Wells Fargo Bank
05.2020 - 05.2022
Securities Operations Associate
Wells Fargo Bank
01.2019 - 04.2020
Financial Associate
Hewlett Packard/DXC Technology
09.2017 - 11.2018
Masters of Business Administration - Finance Emphasis
Central Michigan University
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