1. JODIE DAWES
16 Ryerson St • Oakland, NJ 07436 • (201) 286-9888 • jod.dawes@gmail.com
SUMMARY OF QUALIFICATIONS
I am a dedicated individual with a desire to utilize my experiences and qualifications in a team environment.
I have several years experience working in fixed income and equity operations for both global and domestic
markets.
EXPERIENCE
7/2006-Present WESTERN ASSET MANAGEMENT, New York, NY
Senior Corporate Actions Analyst
• Retrieve notifications daily for new and updated corporate action events from various sources
• Request prospectus to ensure the portfolio managers are provided with accurate information
• Set up and monitor all mandatory and voluntary events in the OPS database
• Review offering documents to provide portfolio managers with a detail summary of the event
• Verify all positions matches the custodian holdings and resolve if there are any discrepancies
• Follow up with the desk to ensure elections are received by the internal deadline date
• Communicate with compliance and client services for approval on restricted accounts
• Submit elections on all eligible accounts via custodian websites and faxes
• Apply trade block on security and accounts participating in voluntary events
• Liaison with securities master group and pricing to ensure new CUSIPS are set up and priced
• Validate and process payments for mandatory and voluntary events across all accounts
• Research and resolve open breaks daily to minimize and reduce exposure to the firm
• Communicate with the account transition group to identify pending corporate actions on new accounts
• Crossed trained and support various groups when needed to provide sufficient coverage
• Conduct offsite testing when required to ensure adequate performance on all systems
• Assist with ongoing projects to improve the work flow and system enhancements
• Provide extended weekdays and weekend hours when required
• Traveled to Pasadena, California for training of business functions migrating to the NY office
EXPERIENCE
5/2000 – 7/2006 MERRILL LYNCH GLOBAL OPERATIONS, Jersey City, NJ
Corporate Actions Analyst
• Monitored and Controlled several Intl custodian cash accounts to ensure daily balances are accurate
• Wired and received payments via SWIFT to several custodians
• Retrieved and send instructions to and from various custodians via SWIFT
• Reconciled the general ledger to ensure daily custodian payments are accurately processed
• Performed daily review of voluntary and mandatory corporate action events
• Uploaded and monitored corporate action events from the workflow system
• Confirmed all payments are processed and allocated on the correct payment date
• Reconciled allocations of dividends, P&I and all voluntary corporate action events
• Communicate with the Settlements team to ensure all pending trades are actioned accordingly
• Responded to inquiries from client services and prime broker clients on sensitive accounts
• Researched and responded to all Corporate Action inquiries.
• Coordinated with the loan group to ensure timely processing of events involved with stock loans
• Researched and resolve current and age breaks to reduce risk and exposure to the firm
• Provided extended hours on weekends and holidays
• Traveled to Dublin; Ireland and London; England to assist with migration of business functions
EDUCATION William Paterson University, Wayne, NJ
Bachelor of Science, Business Management
COMPUTER SKILLS
• SWIFT • DTCC • Bloomberg • Euclid • Interactive Data • Six Group • Microsoft Word • Microsoft Excel •
Microsoft PowerPoint • Outlook • Knowledge of various Custodians Websites • ATP • OPS