Operation/Admin

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.