- Dorothy C. Willis has considerable experience in finance and the banking industry, handling clients' accounts and trading activities including various equities, bonds, and other financial instruments. - She has worked in client service and operations roles at several large banks, including Wells Fargo, Bank of New York, and Wachovia, gaining experience in securities processing, reconciliation, problem-solving, and resolving client issues. - Her background includes daily interaction with clients, balancing accounts, researching trades, and training other administrators.

1. Dorothy C. Willis
alraswc@yahoo.com
SUMMARY
 Considerable finance experience while working in the banking industry
 Daily handling of clients’ accounts
 Experienced in trading activities including equities, corporate and municipal bonds , fixed income and at times
syndicated issues
 Worked closely with other departments within Trust Operations, Traders, Administrators and Brokers
 Proficient in various computer applications and trading software
 Experienced in researching unsettled trades, overdraft reports, dividend/interest discrepancies, reviewed
compensation claim to resolve client issues.
 Acted as a liaison between clients and their portfolio with my operation department while employed as a Client
Service Administrator.
 Proficient in Securities Operations, Trading, DTCC Securities Processing, Problem Solving, Reconciling
Accounts , Microsoft Office and Lotus Notes
WORKING EXPERIENCE
Wells Fargo Bank - Charlotte NC Jan 2010 – Oct 2014
Client Service/trade Analyst
 Processed high volume of security transactions for DTC and FED assets within established deadline
 Daily interaction with clients in regards to their trades.
 Worked with FX Group to settle their global trades
 Worked closely with other departments within Trust Operations, Traders, Administrators and Brokers
 Processed money orders (wires) through online DDA system (E-Tickets) for related security transactions
 Balanced daily trust system postings to the trust accounts to verify the accuracy of posted transaction
 Performed follow-up and provide complete documentation for all failed transactions
 Researched and resolve cash and security differences to ensure accurate balance of trust assets
 Crossed train on other settlement functions to provide back-up or assistance as needed
 Received several Recognition Awards, Ecards and Best Shot for going above and beyond
Wachovia Bank (Merge with Wells Fargo) May 2006 – Jan 2010
Wealth Management Operations Specialist
 Reconciled and post dividend and interest for Foreign Securities
 Processed Foreign tax reclaims including identifying and obtaining all legal documents based on country’s tax
treaty
 Filed proper tax, reclaim paperwork or electronic instruction
 Followed-up with each individual country until payment received
 Resolved difficult data problems and clients issues
Bank of New York - New York, NY Aug 2001 – Aug 2005
Client Service Administrator
 Account administrator for domestic and international clients within the bank custody department
 Acted as a liaison between clients and operations to ensure that all aspects of securities processing were
properly handled for assigned accounts and clients portfolio.
 Prepared security movement reports, cash settlements and funding related to income and trades with clients
 Researched unsettled trades, overdraft reports, dividend/interest discrepancies, and reviewed compensation
claims to resolve client issues
 Expedited funds transfer to settle and reconcile client accounts
 Trained new client administrators on BNY system
 Monitored security transactions to ensure that trades were settled in a timely manner
 Processed and ensured settlement of domestic/foreign issues settling in US and Foreign markets
 Checked on the Foreign Exchange (FX)in regards to the international trades to ensure correct exchange
Irving Trust (Merge with Bank of New York) Feb 1998 – Aug 2001
Book Entry Clerk
 Maintained responsibility for settling high volume of sales in regards to Trading
 Received and handled up to one billion daily in treasury notes, bills, and other securities

2.  Monitored daily flow of sales and purchases to ensure that all deadlines were met
 Inputted received and delivery information of sales and purchases into company database
 Promoted to Administrator
EDUCATION
Farleigh Dickerson University - Teaneck. NJ
Degree - Business Administration /Finance