This document provides a summary of Caron Lesley West's career experience and qualifications. She has over 30 years of experience in corporate actions and fund accounting roles within large banking organizations like Citi, State Street, and Royal Bank of Scotland. Her experience includes processing mandatory and voluntary corporate actions end-to-end, reconciling cash and stock positions, and managing teams. She is skilled in various systems and has a track record of adapting to different markets, regulations, and projects.

1. CARON LESLEY WEST
Mobile Tel: 07733 261 883
E-mail: Caronlesleywest@gmail.com
A very experienced Corporate Action Specialist with Fund Accounting and Custodian experience.
Self-motivated individual with a flexible approach to a varied workload with experience developed
through several roles within large banking organisations.
A diligent individual who thrives on meeting tight deadlines, whilst ensuring the highest accuracy and
achieving client service standards. Confident liaising with internal and external parties to resolve
reconciliation issues as well as training staff on processes & controls - as part of BAU and
On/Offshore projects and restructures.
• Good communicator.
• Heightened awareness of Operational Risk and interpretation
• Exceptional management of daily maintenance of Corporate Action portfolio end to end
• Dependable & reliable, strong team player.
• Adept at organizing work for self and others to ensure that critical items are prioritised
• Flexible and adaptable individual who sees operational and project work through to the
conclusion and contributes to aid bespoke solutions.
• Procedure development and enhancement.
• Compliancy and regulatory aware.
• CASS – identify and assess risks.
• SOX – reviewing checklists and files and preparing for audit reviews.
CAREER HISTORY
SAXO CAPITAL MARKETS – AUG 2016 to NOV 2016 – Short term Contract
Senior Corporate Action Analyst
• Undertook all aspects of the corporate action event
• Notified clients regarding the corporate events within the SLA.
• Received and submitted elections from the client to the custodian within the SLA
deadline.
• Ensured all outcome entitlements are received and processed to client accounts
• Resolved breaks and aided clients with query resolution
• Checked and maintained internal cash accounts daily
• Assisted in training and team development
• Ad-hoc tasks
CITI - 2013 to 2016
Senior Corporate Actions Specialist, ASPAC and Global Europe Corporate Actions
• Administered the processing of voluntary Corporate Actions - end to end for Aspac and Global
European markets included Norway, Finland, Denmark, Russia, Mauritius, Nigeria, Italy, Poland,
Oman, Romania, Kuwait, Greece etc. Adapted to market differences, documentation requirements
and time zones.
• South Africa – Processed mandatory and voluntary events end to end including preparing sale of
rights requests and monitoring for settlement in the market.
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2. • Highly competent in SWIFT – used daily for updates, payments and acknowledgments via
MT564,565,566,567,568.
• Maintained Corporate Action diary (Cedar) and instruction queues (NCS and Frontend) to ensure
work prioritized and deadlines adhered to.
• Chased clients for instructions, forms, documents, eg. PoA, QIBS, beneficial owner information
and established a rapport..
• Checked NESS system for sanctions and escalated ‘hits’.
• Supported Migration projects from Citrix to TLM for cash and stock reconciliations which
involved daily conference calls and testing. Customized application and coached my team.
• SME for migration from London to Dublin - trained and assisted with Corporate Action
outsourcing project
• Reviewed and maintained existing procedures in line with market changes and created new
procedures for Trade + 3 Settlement cycle.
• Identified funding requirements in good time and obtained treasury approval.
• Produced daily cash and stock reports. Identified, delegated and directed resolution using TLM,
Citrix and recon frontier.
AJ BELL SECURITIES - 2013
Corporate Actions Administrator UK Corporate Actions (Temporary)
STATE STREET (Formerly HBOS) - 2006 to 2012
Senior Corporate Action & Income Analyst
• Supervised team of 16 Corporate Action and Income analysts two days per week.
• Validated, processed and second checked mandatory and voluntary corporate actions across
all markets and assessed fund pricing impact.
• Managed Corporate Actions Diary to ensure work prioritized and deadlines adhered to.
• Sourced UK Dividends – Equities and Fixed Income and Processed and reconciled Venture
Capital transactions.
• Investigated and resolved cash & stock reconciliation breaks by liaising with custodians and
external fund managers.
• Cross checked & analyzed vendor information to FTS, Bloomberg and Value link
• Compared Investment Accounting income records with custodian's records and raised queries
& resolved differences.
• Worked to strict deadlines to ensure processing and checks were completed prior to 500+
funds being priced at midday.
• Managed relationships and resolved issues with custodian by chairing conference calls and
ensuring positive action taken.
• Corresponded with external fund managers to ensure safe receipt of tax vouchers and the
recondition of these against the investment system.
• Provided comprehensive training and support to other team members.
• Coordinated the implementation of a sanity spreadsheet to calculate book costs for corporate
action related stock movements.
CITIGROUP - 1996 to 2006
Senior Service Specialist, Residual Settlements/Transitions/Project Management - 2004 to 2006
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3. • Stock transfers, stamp duty, processing physical stock transactions.
• Provided training to staff prior and during transition to Dublin.
• Volunteered to spend two months in Dublin co-ordinating the project and supporting training
• Successfully coordinated project to reduce the shared drive space used by department of one
hundred personnel. Educated individuals on how to manage their emails.
Specialist / Senior Specialist UK Corporate Actions - 1998 to 2004
• Processing mandatory and voluntary UK Corporate Actions.
• Resolving cash reconciliations. Proxy voting, letters of representation
• Deputised for supervisor during holiday and maternity periods.
Dividends and Unit Trust clerk – 1996 to 1998
ROYAL BANK OF SCOTLAND - 1987 to 1996
Junior to Senior Accounts Clerk
EDUCATION
FINANCIAL QUALIFICATION
Securities & Investment Institute – Introduction to Securities and Investment
ST. GEORGES C OF E SCHOOL, GRAVESEND KENT - 1982 to 1987
10 GCE ‘O’ levels including English and Maths.
Typewriting – R.S.A stage 1
OTHER
Word, Excel, SMI Crest, HiPortfolio 3, NT passport, Secore /Ice CEDAR, Autorek, SmartStream,
SFE, TLM. Recon Portal. NCS.
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