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Dennis
dhsiao119@yahoo.com
917-207-8178
7800 Point Meadows Drive
Jacksonville, FL 32256
Margin and Treasury Operations - Associate
22 years experience W2
0
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Average rating
2
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Summary

Experienced professional with a background obtained at Fortune 500 financial institutions. Strong understanding of Margin for Prime Brokerage, Institutional, Retail, and FX accounts. Team player with superior attention to detail as well as excellent analytical and communication skills.

Experience
Margin and Treasury Operations - Associate
May 2016 - present
  • Validate and issue margin calls to Client Service teams as well as track and resolve calls daily.
  • Review New Issues and Equity Syndicate deals to ensure that the firm is in compliance with Rule 11d-1.
  • Submit weekly Portfolio Margin data reports and monthly Regulatory reports with FINRA.
  • Monitor Fed Fund wire transfers to ensure that due diligence is used and AML policies have been followed prior to approvals.
No skills were added
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Prime Broker Margin Analyst
Jun 2013 - Aug 2015
  • Liaised with Technology on enhancements/modifications to the monitoring applications in Production.
  • Compiled weekly Regulatory reports from a PB Margin perspective for Risk and Compliance Departments.
  • UAT tested for MONET, Prime Custody, and Dynamic Arranging systems.
Compliance Regulatory Reporting
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Margin and Prime Broker Analyst - Consultant
Jul 2012 - Sep 2012
  • Gained fast paced, hands-on learning of various internal systems in short time span to monitor the Institutional clients and Hedge Funds for Prime Brokerage Middle Office Margin.
  • Took charge of compiling and distributing daily Collateral Recap reports to Managing Directors in the Finance, Margin, and Risk Departments.
  • Reviewed Portfolio Margin and REG U accounts to ensure that equity levels were in compliance with benchmarks established by FINRA.
Collateral Analysis Compliance Project Management
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Margin Analyst
Jan 2006 - Jan 2011
  • Instrumental in training program for analysts from Bangalore in learning job functions and procedures for handling newly converted Chase Investor Service Corporation accounts.
  • Worked on project for coordinating the transfer and closure of Bear Stearns Forex accounts to J.P. Morgan FX trading platform.
  • Created strong relationships with Front Office and Middle Office through frequent interactions.
No skills were added
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Margin Associate
Jan 2004 - Jan 2006
A BNY Securities Group Margin Associate
  • Dealt with Broker Dealer Service firms in regards to Regulatory, Compliance and AML issues.
  • Rendered support for Processing Unit with Broker Dealer requests for the delivery of assets, remit funds, and journal ledger entries.
  • Resolved inquiries concerning Regulation T, Initial and Maintenance requirements for retail accounts.
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Margin Analyst
Jan 1999 - Jan 2004
  • Monitored Foreign Exchange accounts on a daily basis for maintenance deficiencies.
  • Corresponded with FX desk and Repo desk on account balances and total equity.
  • Trained new Margin Analysts on daily job functions, procedures and policies.
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Edit Skills
Non-cloudteam Skill
Education
C.W
Long Island University
Certifications
FINRA Series 7, 63, and 99
Skills/Tools:
Microsoft Application Suite, ADP/Broadridge, CPORT, Seaman, MONET, and Bloomberg
Skills
Compliance
2015
2
Regulatory Reporting
2015
2
Collateral Analysis
2012
1
Project Management
2012
1