RICHIE NGUYEN
Mississauga,Canada
Summary
Seeking a Team Leader/Supervisor role within the Investment Operations where I can utilize my investment knowledge and experience.
Overview
23
23
years of professional experience
Work History
Assignment in Data Quality
MANULIFE FINANCIAL
01.2011 - Current
- Company Overview: Investment Division
- Investigated queries related to Maximis system from various groups globally
- Reviewed daily reports pertaining to investment data quality and resolved issues or discrepancies
- Prepared business case for new reporting requirements in Maximis
- Investment Division
MBPS Project
MANULIFE FINANCIAL
01.2009 - Current
- Company Overview: Investment Division
- Developed and conducted user-training sessions for new users of Maximis at MBPS Manila, Philippines
- Assisted in training session of all settlements related to international transactions, including those of Asia Territories’, comprising of cash transfers, income/principal payments, expenses/fees, and suspense items
- Trained the Settlement team to use the Custodial systems & retrieve data in Bloomberg for investigation and settlement related issue
- Investment Division
Business Analyst: Data Integrity
MANULIFE FINANCIAL
01.2007 - Current
- Company Overview: Investment Division
- Responsible for testing existing and new system functionality to ensure the integrity of the company’s securities investment data, reporting and accounting
- Provide support for Maximis system in annual upgrade project including reviewing detailed user requirements, developing test case plan, participating in User Acceptance Testing (UAT), conducting post implementation review, developing training materials for internal users, and documenting procedures
- Be the lead business resource on small to medium sized projects that are Maximis related
- Act as a liaison between business and investment systems and investigate business/system issues
- Investment Division
Input Control Specialist: Data Maintenance
MANULIFE FINANCIAL
01.2007 - 12.2007
- Company Overview: Investment Division
- Processed complicated trades on a daily basis by inputting trade tickets, verifying settlement and information with traders
- Set up complex US & Canadian securities instruments (Bonds, Money Market, Mortgage, & Equities) in the company’s applications
- Acted as backup for the International Data Maintenance group (International Securities-Japan, Hong Kong, Philippines, Singapore, Indonesia, and Vietnam)
- Researched data on Bloomberg when discrepancies arose on the company’s applications and made corrections when needed
- Investment Division
Data Entry Specialist: Data Maintenance
MANULIFE FINANCIAL
01.2005 - 12.2006
- Company Overview: Investment Division
- Integrated data of various securities from different systems during company merger with John Hancock Life Insurance
- Processed trades on a daily basis by inputting trade tickets, verifying settlement and information with traders
- Conducted analysis, investigated discrepancies, and made corrections when needed
- Investment Division
Banking Administrator/Equity Officer: Income Processing Dept
TD WATERHOUSE (CANADA) INC.
01.2003 - 12.2004
- Logged incoming Interest, Dividends & redemption cheques onto an Excel spreadsheet and distributed them to fellow officers
- Executed payments of interest/dividends and processed withholding tax into the client’s account using Excel Macros
- Logged reports summarizing quality findings and all errors identified
- Quality control review of documents and files ensuring cheques are paid to clients correctly and on time
Securities Officer: Re-registration Dept
TD WATERHOUSE (CANADA) INC.
01.2002 - 12.2003
- Re-registered physical securities (Fixed Income Securities, Mutual Funds, & Equities) as clients transferred their holdings from another financial institution into TD Waterhouse
- Communicated daily with internal user groups, trust and retail branches as well as external brokers, transfer agents, and companies
Education
BA - Mathematics for Commerce
York University
01.2001
Chinguacousy Secondary School -
01.1997
Skills
- MS Office 2013
- Excel
- Word
- Access
- PowerPoint
- MS Query
- Windows 8
- Lotus Notes
- WebEx
- Snag It
- Share Point
- PC based applications
- Internet applications
- ISM
- Maximis
- BLOOMBERG
- CDS
- DTC
- Custodial Systems
References
Available upon request
Languages
English
Professional Working
Timeline
Assignment in Data Quality
MANULIFE FINANCIAL
01.2011 - Current
MBPS Project
MANULIFE FINANCIAL
01.2009 - Current
Business Analyst: Data Integrity
MANULIFE FINANCIAL
01.2007 - Current
Input Control Specialist: Data Maintenance
MANULIFE FINANCIAL
01.2007 - 12.2007
Data Entry Specialist: Data Maintenance
MANULIFE FINANCIAL
01.2005 - 12.2006
Banking Administrator/Equity Officer: Income Processing Dept
TD WATERHOUSE (CANADA) INC.
01.2003 - 12.2004
Securities Officer: Re-registration Dept
TD WATERHOUSE (CANADA) INC.
01.2002 - 12.2003
Chinguacousy Secondary School -
BA - Mathematics for Commerce
York University
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