JAMES DENG
Toronto,ON
Summary
Results-oriented Financial Operations Supervisor with over 8 years of experience overseeing and optimizing financial processes in fast-paced dynamic environments. Expertise in a broad range of operational functions, with a strong track record of ensuring regulatory compliance and risk mitigation. Proven ability to lead cross-functional teams, implement process improvements, and drive operational efficiencies. Adept at managing complex projects, developing strong internal controls, and enhancing the financial performance of organizations through data-driven insights and effective leadership
Overview
9
9
years of professional experience
Work History
Operations Supervisor
CI Investment Services Inc.
04.2019 - Current
- Supervise daily financial operations and ensure the accuracy of tasks/workflows, and ensure adherence to IIROC regulatory standards and policies
- Extensive knowledge/background with Settlements, Corporate Actions, Reconciliation, Transfers in/out, Account Openings, Registered Products, and Banking.
- Advanced industry proficiency with financial systems including but not limited to CDS, DTC, ATON, Fundserv, A$M, RBC Express, BMO Banking Portal, etc.
- Proven track record of leading cross-functional teams to resolve challenges while ensuring minimal risk and impact.
- Design, implement, maintain and enhance internal operational controls to mitigate operational risk on an ongoing basis
- Effectively coordinate and execute initiatives/strategies through collaboration with different departments, executive management and/or internal teams.
- Maintain open lines of communication with upper management to provide regular updates on operational progress and challenges faced by the team.
- Provide training, guidance, and leadership to raise team efficacy and morale in order to foster career and personal development for team members
- In-depth experience with recruiting, interviewing, and onboarding top talent to build high-performing teams.
- Skilled in developing effective training programs that drive employee engagement, performance, and retention.
- Generate, review and update procedures on a regular basis in adherence with industry standards and regulations.
- Adept at staying calm under pressure, prioritizing tasks, and managing sensitive situations with tact and professionalism
Co-Owner/Operations Lead
Ant Hill Co.
09.2017 - 03.2019
- Design and lead corporate wellness initiatives, fostering a healthy work environment that enhances employee morale, engagement, and productivity.
- Develop and manage client onboarding processes, ensuring a smooth transition from sales to account management while exceeding client expectations.
- Coordinate and facilitate high-level meetings with executives and industry leaders, identifying new business opportunities and expanding the company's market footprint.
- Research and analyze industry trends to advise senior management on potential market shifts, growth opportunities, and competitive advantages.
- Promotion of collaborations and partnerships with worldwide charities such as Amnesty International and Red Cross.
- Maintain all corporate book keeping, devise and implement market strategies and development of safeguards for quality and integrity of provided services.
- Created, managed and executed process improvement projects that would greatly heighten the operational efficiency of the firm.
- Extensive knowledge in growing corporate relationships and assessing opportunities for building the brand and reputation of the firm.
- Develop and execute comprehensive training programs to enhance employee skill sets, performance, and career growth across various departments.
Settlements and Reconciliations Specialist
BBS Securities
11.2015 - 03.2017
- Coordinate and oversee the timely execution of financial transactions for global markets, ensuring compliance with international settlement standards.
- Assist in managing cross-border trade settlements through various settlement platforms, ensuring accurate processing of securities transactions and minimizing errors.
- Verify and process securities transfers to and from brokers, ensuring timely settlement of transactions and resolving discrepancies efficiently.
- Proactively identify and resolve discrepancies in trade settlements, ensuring smooth daily operations and maintaining high accuracy levels.
- Mitigate settlement risks by utilizing in-house risk management systems, ensuring compliance with internal protocols and minimizing operational failures.
- Monitor and track collateral, margin, and cash balances on a daily basis, ensuring the accurate processing of required funds and compliance with trading policies.
- Administer and resolve corporate actions and re-organizations in coordination with settlement systems, ensuring accurate processing of dividend payments and stock splits.
- Provide expert guidance and training to internal teams on settlement procedures, system usage, and best practices for handling corporate actions and cross-border trades.
- Review and approve trade settlements, ensuring alignment with relevant regulatory frameworks and company policies to mitigate financial risks.
- Work closely with internal and external stakeholders to resolve settlement-related issues, providing timely communication and troubleshooting solutions.
Skills
- Team Leadership & Management - Strong leadership skills in managing cross-functional teams, driving performance, and motivating staff Experience with staff training, performance evaluations, and fostering a collaborative team culture
- Project Management - Proficient in project planning, execution, and tracking to meet deadlines and achieve intended goals Experience managing financial operations-related projects, such as system implementations or process improvements
- Cash Flow Management - Expertise in managing company cash flow, ensuring liquidity, and optimizing working capital Experience in monitoring and forecasting cash flow trends for accurate decision-making
- Risk Management - Skilled in identifying, assessing, and mitigating financial risks Experience implementing risk control measures to ensure compliance and prevent financial losses Familiarity with internal controls and audit procedures
- Process Improvement & Optimization - Expertise in evaluating and optimizing financial processes and workflows to increase operational efficiency Experience in implementing automation tools and software to streamline operations and reduce manual tasks
Languages
English
Native or Bilingual
Chinese (Mandarin)
Native or Bilingual
Chinese (Cantonese)
Full Professional
Timeline
Operations Supervisor
CI Investment Services Inc.
04.2019 - Current
Co-Owner/Operations Lead
Ant Hill Co.
09.2017 - 03.2019
Settlements and Reconciliations Specialist
BBS Securities
11.2015 - 03.2017
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