Connie Chen
Scrip Settlement Adminstrator
Sydney,NSW
Summary
A self-driven financial service professional with 20 + years experience in CHESS Sponsorship Transfers, settlement and reconciliations, Corporate Actions, Risk Management and client service in Banking Financial Services and Stockbroking industries.
Overview
19
19
years of professional experience
Work History
Scrip Administrator – Post Trade Operation
CMC Markets
09.2018 - 09.2022
- Processed Corporation Actions - Rights Issues; Takeover/Buyback; Consolidations; Dividend Protections etc.
- Processed DVP Settlements and various scrip settlement related reports.
- Processed all types of CHESS Sponsorship transfers, Int’l B2B Transfers and Option Positions transfers.
- Administered Risk Dashboard, identify red flags and trends in risk, collaborate with internal teams to close aged contract notes and reduce risk exposure.
- Training and mentoring to new and existing team members.
Securities Services Officer /Client Service Consultant
ANZ Share Investing / E*TRADE Australia
09.2010 - 09.2018
- Delivered value-focused client service experience over the phone by answering account and trade enquiries, corporate actions, tax report, deceased estates, and trading platform troubleshooting.
- High Achiever on cross-sales referrals measured by both closed-sales rate of 85% and dollar value.
- Performed annual review of Policy and Procedure, recommended updates for operation managers approval to ensure team members comply with up-to-date policies and procedures.
Institutional Risk Analyst-Japan Asia and Pacific
AMERICAN EXPRESS CO - TRAVELLER'S CHEQUE GROUP
09.2006 - 09.2008
- Monitor, reporting and analysis of $bn institutional risk exposure portfolio at selling outlets, identify trends, take pro-active measures, collaborated with local markets Sales and Operation teams to mitigate risks.
- Review new account applications, ensure adherence to the group risk and compliance policy and controls, and recommend exposure limit and rating.
- Performed Annual review of existing seller limit, analyzed internal/external performance indicators, financial performance and recommend renewal limit.
- Successfully secured 100% completion (which was previously less than 30%) on KYC & EDD (Enhanced Due Diligent) compliance program for JAPA Markets.
- Built effective relationships with local Sales, Operation and Marketing teams to execute risk initiatives and support business.
Selling Outlets Support (SOSS) Analyst - ANZSP
AMERICAN EXPRESS CO - TRAVELLER'S CHEQUE GROUP
09.2001 - 09.2005
- Improved outstanding traveller's cheque sale and settlement discrepancies net write-off position by 93% between 2003 and 2005.
- Successfully implemented multiple settlement automation processes resulting in reduction of overall settlement errors/delays and resulted operational cost saving.
- Established strong network of contacts and maintained steadfast relationships at all levels with both external and internal counterparties.
- Core member of the global process migration project team supported the development of new operational manual and delivered training to the new operation team.
Traveller's Cheque Refund Analyst - Worldwide
AMERICAN EXPRESS CO - TRAVELLER'S CHEQUE GROUP
09.2000 - 09.2001
- Processed refund claims for lost or stolen Traveller’s Cheque and authorized reimbursement, approved bona fide claims and investigate on deferral claims and fraudulent activities.
Education
ACHIEVEMENTS
RG 146
2022
B.Comm
Australian Catholic University
2015
Skills
- Institutional and Retail Client Communications at all levels
- Risk Managements
- Project Supports
- DVP Settlements
- CHESS Sponsorship Transfers
- Training and Cross-Sales
- GBST Shares & GBST DCA; EQUIFAX; IRESS; SUMMIT
- Process Improvements
- Option Position Transfers
- Corporate Actions
Timeline
Scrip Administrator – Post Trade Operation
CMC Markets
09.2018 - 09.2022
Securities Services Officer /Client Service Consultant
ANZ Share Investing / E*TRADE Australia
09.2010 - 09.2018
Institutional Risk Analyst-Japan Asia and Pacific
AMERICAN EXPRESS CO - TRAVELLER'S CHEQUE GROUP
09.2006 - 09.2008
Selling Outlets Support (SOSS) Analyst - ANZSP
AMERICAN EXPRESS CO - TRAVELLER'S CHEQUE GROUP
09.2001 - 09.2005
Traveller's Cheque Refund Analyst - Worldwide
AMERICAN EXPRESS CO - TRAVELLER'S CHEQUE GROUP
09.2000 - 09.2001
ACHIEVEMENTS
RG 146
B.Comm
Australian Catholic University
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