Robert Terry
Scarborough,Ontario
Summary
Strong leader and problem-solver dedicated to streamlining operations to decrease costs and promote organizational efficiency. Uses independent decision-making skills and sound judgment to positively impact company success. Dedicated brokerage, operations professional with a history of meeting company goals utilizing consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand. Resourceful Manager offering history of success coordinating and monitoring operations across various departments. Effective leader and problem-solver dedicated to streamlining operations to decrease costs and promote organizational efficiency. Highly committed with hardworking mentality to maintain quality of services and products.
Overview
27
27
years of professional experience
1
1
Language
Work History
Compliance Associate
Northern Securities Inc
10.2012 - 04.2013
- Execute all client sell outs.
- Review trading activity to ensure current credit policies are followed
- Report any questionable activity.
- Review Client Trade activity
- Review Institutional Trade activity
- Review & File monthly AML Report’s to IIROC
- Review & File monthly Counter-Terrorist Report’s to IIROC
- Reviewed Compliance monthly NI-24-101
Manager, Syndication
Northern Securities Inc
04.2010 - 04.2013
- Communicate with Corporate CEO/CFO’s
- Attend Corporate Closings
- Contracting New Issue Trades
- Reconcile Syndication Accounts
- Preparing physical settlements of certificates
- Balance Syndication Inventory Accounts
- New Issue Book runner
Manager, Operation's
Northern Securities Inc
07.2008 - 04.2013
- Manage staff of 15 associates
- Overview/Investigate Open Failed Trades
- Review-Transfer of Accounts In & Out
- Issued client cheques.
- Reviewed all new client accounts
- Review / Process Entitlements & Corporate Actions
- Monitor COD settlements on CDSX/DTC
- Chaired weekly/monthly staff meetings
Manager, Credit & Risk Management
Northern Securities Inc
06.2008 - 04.2013
- Review all debit accounts (Margin/Cash/Registered)
- Worked with brokers to have all accounts covered within timely manner
- Maintain all credit reports including weekly (RTM – Require to Margin) numbers.
- Managed and motivated employees to be productive and engaged in work.
- Accomplished multiple tasks within established timeframes.
Assistant Manager – Securities Lending
Bank Of Nova Scotia
Toronto, ON
02.2016 - 02.2024
- Processed trades via Securities Lending Traders – (Equities, Bonds)
- Matched manual trade confirmations
- Processed daily CDS / DTC, International Settlements & Tri-Party Collateral Management
- Processed daily Repo Bond Settlements
- Researched & balanced Global One & account discrepancies
- Balanced daily clearing Accounts
- Processed Stock & Cash Dividends – Canadian, U.S
- International
- Processed Global One Re-org Items – Stock & Bond’s
- Helped with planning schedules and delegating assignments to meet coverage and service demands.
- Mentored junior staff members in their professional development by offering guidance/support in their assigned roles.
- Created employee schedules to align coverage with forecasted demands.
Sr. Settlement Officer – Securities Lending / Collateral Management
CIBC World Markets
Toronto, ON
10.2013 - 02.2017
- Processed trades via Securities Lending Traders – (Equities, Bonds)
- Matched manual trade confirmations
- Processed daily CDS / DTC, International Settlements & Tri-Party Collateral Management
- Executed daily Repo Bond Settlements
- Researched & balanced all back office account discrepancies
- Balanced daily clearing Accounts
- Processed Stock & Cash Dividends – Canadian, U.S
- International
- Processed Re-org Items – Stock & Bond’s
Institutional Sales & Trading Associate
Northern Securities Inc
01.2008 - 06.2008
- Trade Desk & Institutional Sales Desk Assistant
- Review and reconcile trade breaks
- Reconcile Bank / General Ledger Accounts
- Investigate Open Failed Trades
- Organized all documentation for new Institutional Client Accounts.
Manager, Unit Operations
HSBC Securities
01.1997 - 01.2008
- Managed and motivated employees to be productive and engaged in work.
- Accomplished multiple tasks within established timeframes.
- Maintained professional, organized, and safe environment for employees and patrons.
- Enhanced customer satisfaction by resolving disputes promptly, maintaining open lines of communication, and ensuring high-quality service delivery.
- Maximized performance by monitoring daily activities and mentoring team members.
- Onboarded new employees with training and new hire documentation.
- Cross-trained existing employees to maximize team agility and performance.
Education
Project Management Training -
CDI
Toronto, ON01.2006
High School Diploma -
Bendale B.T.I.
Toronto, ON01.1991
Skills
- Operations Management
- Staff Management, Training and Development
- Team Motivation and Collaboration
- Customer Service
- Team motivation
- MS Office
- Managing Operations and Efficiency
- Teamwork and Collaboration
- Compliance understanding
- Product and service knowledge
- Task Delegation
- Customer Relations
Languages
English
Full Professional
Timeline
Assistant Manager – Securities Lending
Bank Of Nova Scotia
02.2016 - 02.2024
Sr. Settlement Officer – Securities Lending / Collateral Management
CIBC World Markets
10.2013 - 02.2017
Compliance Associate
Northern Securities Inc
10.2012 - 04.2013
Manager, Syndication
Northern Securities Inc
04.2010 - 04.2013
Manager, Operation's
Northern Securities Inc
07.2008 - 04.2013
Manager, Credit & Risk Management
Northern Securities Inc
06.2008 - 04.2013
Institutional Sales & Trading Associate
Northern Securities Inc
01.2008 - 06.2008
Manager, Unit Operations
HSBC Securities
01.1997 - 01.2008
Project Management Training -
CDI
High School Diploma -
Bendale B.T.I.
Quote
Rule No. 1: Never lose money. Rule No. 2: Never forget rule No.1
Warren Buffett
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Highlights And Qualifications
- Highly motivated team player with strong interpersonal and communication skills, won the 2009 Canadian Team Player Award.
- Expert in managing multiple projects & achieving on-time completion.
- Dependable, with strong work ethics.
- Logical communicator, able to establish a great rapport with both clients and colleagues.
- Detail-oriented with superb time management skills.
- Proficient in Arrow Lite, Broadridge – BPS, CDS, Clearstream, DTC, Loanet, Microsoft Excel/Outlook/Word/ ISM
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