Carolyn Lindsay has over 15 years of experience in asset and investment management, including roles in settlements, administration, and private banking. She has strong communication, organizational, and problem-solving skills. Her technical skills include Microsoft Office, Bloomberg, various investment platforms, and settlement/reconciliation systems. She is currently seeking new opportunities in the financial services industry after working in hospitality.

1. CAROLYN LINDSAY
18 Kevin Close, Billericay, CM11 2QW
(Home) 01277 623337 (Mobile) 07533974644
(Email) carolynjlindsay@hotmail.co.uk
I am a highly motivated individual with effective problem solving skills. I communicate well
with clients and colleagues of all levels and have a strong and diverse knowledge of Asset
and Investment Management services.
Key strengths include excellent communication and organisational skills combined with a
proactive proven work ethic
 Settlements, FI, Equity
 Structured Products
 Emerging Markets DTC, Euroclear, Crest
 FX
 OIEC/UT
IT Skills
 Excel, Word, PowerPoint, Outlook, Kana, AMC, Calastone, DOLR, Bloomberg, Aleet,
Figaro.
CAREER HISTORY:
Currently working in the hospitality sector.
Colonies Victoria, London
IFDS April 2014 – May 2015
STP Administrator Third party settlements.
 Monitor daily checklist in order to delegate tasks.
 Closely monitor STP platforms for potential rejection or duplicate deals, liaising with
Management Company‘s to cancel trades from in house system for varying reasons,
primarily OIEC/ Unit Trusts.
 Dealing with forty large Management Companies providing account information.
 Overseeing various inboxes and prioritising workload.
 Liaising with clients in accessing their daily and or monthly reports from On-line
system, and assisting with any problems they may have, providing pass words.
 Quality checking daily Contract notes are sent out to clients or suppressed where
necessary.
 Collating deal time information for specific clients and running reports.
 Processing Auto re-registration for Private clients investments, transferring to new
providers.
BNY Mellon Asset Services: Oct 2013 – Feb 2014
Administrator
 Correctly distributing requests and notification from investors and their agents or legal
representatives.
 Undertaking the correct action in response to client’s requests.
 Distribution of the said documents to the appropriate departments in Pune, India
where trading and services take place.

2.  Batching deals and scanning all data received. Daily work then filed for later
archiving. (Managing audit trail)
 Sending letters to clients, searching relevant legal documentation to be returned, for
the various Management companies BNY Mellon administer for.
Senior Payments Administrator Sept 2013 – Oct 2013
 Retaining confirmation of deal instruction making sure settlement date BACS
payments are in order.
 Actioning instructions for Telex Transfer and manual cheques.
 Following strict guidelines so duplication or missed payment dates do not occur.
 Updating settlement instructions saving and replacing data.
 Searching information via Citrix, Utas, Rufus
BNY Mellon Asset Services Jan 2013 – Feb 2013
Transfers Out (Project)
 Transfers Out role for one of BNY Mellon large institutional clients, client then
abandoned project.
 During the time at BNY Mellon we partook in administrative work to satisfy audit and
FSA regulations.
 Contract finished as cut in head count.
Israel Discount Bank, Private Clients. Aug 2011 – May 2012
Senior Private Banking Administrator
 Processing various investment products, diarising and monitoring to settlement.
 Monitoring outsourced activities and reconciling to internal bank system.
 Opening and maintaining client accounts.
 Liaising with OMX to maintain accuracy of banks outsourced client website.
 Producing CASS reports monthly for FSA, plus manual valuations and statements.
 Responsible for the complete transfer of 70 clients, following the closure of the
Private Banking.
 Dealing with fund administrators to ensure the smooth transfer of clients Assets to
their new provider.
State Street Bank, Investment Management Services. Jun 2006 – Jan 2011
Settlements Analyst
 Fail trade reports received via Email from both brokers and custodians and diarised, updating
daily.
 Complete settlements in Fixed Income and Equity trades in a timely manner within published
deadlines.
 Establish any settlement failures, such as simple discrepancies ie: date nominal
amounts. More involved differences with settlement instructions or settlement
location.
 Occasional discrepancies can arise with the collateral.
 Investigate and resolve Interest claims.
 Advise static data of changes to settlement instructions, avoiding any potential
market issues.
 Advising cash team of FX payments required for Thailand Baht avoiding any market
fines.
 Complete a daily checklist.
 Produce daily fail trade report for client and KPI information.
 Provided advice and recommendations in the implementation of new Settlement
system.

3.  Developed procedure to enable the monitoring of South African trades to improve
performance.
 Involved in final project to train colleagues in settlements when outsourced to India.
Trade Confirmation
 Daily chasing for confirmation of trade using the Oasy's / ETC terminal.
 Dealing direct with client to establish discrepancies, contacting either client, trader, or
broker to agree and confirm details.
 Manually instructing trades where free of payment necessary.
 Client represented Investec Bk.
ABN Asset Management Oct 2005 – May 2006
Trade Support / Settlements
 Responsible for 50 or so clients.
 Resolving issues which create failing trades, establishing reason.
 Liaising with client, broker and various custodians.
 Keeping up to date notes on progress of failures.
Career Break Sept 2004 to Sep 2005 To pursue a passion for painting.
GLC Ltd Hedge Fund / GNI Jan 2000 – Aug 2004
Operations Clerk
 Process trade instruction into middle office system, manual or via DDI.
 Collating trade position and cash file extracts for executing brokers, prime brokers
and internal records.
 Liaising with traders, brokers and prime broker.
 Checking confirmations and investigating the daily issues.
 Processing FX, European Equity and Option trades.
 Position and cash reconciliation to produce an exception report.
 Resolve any cash breaks.
 Administration of Corporate Action notices.
Personal
I was educated at Herne Bay Secondary, Kent. Leaving without relevant qualifications,
though I have since gained many years of knowledge in the financial markets.
I am quite a creative person and love to paint I have also tried my hand at many other
crafts.
Walking and gardening are also a favourite.