Sara D. Genovese is a highly organized and detail-oriented finance professional with over 15 years of experience in corporate actions across domestic and international markets. She has held roles at Finra, Markit, and the Depository Trust and Clearing Corporation where she oversaw teams, ensured accurate data validation, developed client relationships, and received several awards for her work. Genovese holds a Bachelor's degree in Economics from the University of Tampa along with certificates in Financial Risk Management and Accounting from New York University.

1. Sara D. Genovese
sara.genovese11@gmail.com
813-494-4212
I am a highly organized and detailed finance professional with experience in domestic and international
corporate actions. I consider myself to be one who ensures deliverables and exceeds expectations of internal
and external stakeholders by developing relationships across various teams.
Professional Experience
Finra (Ranstad Contract) 2015
Regulatory Analyst New York, NY
• Examine trading indications of potential precarious activity for the NYSE
• Compile and organize information from a variety of sources to support the results of each
examination
• Collaborate with peers on aged matters to highlight issues
• Present examination findings to management in a timely manner
• Utilize the Learning Management Center to learn the rules and regulations enforced by FINRA and
the federal government
Markit 2013-2014
Assistant Vice President New York, NY
• Transitioned the Corporate Action Announcement service from DTC to Markit by overseeing the
transition of day-to-day procedures for the New York office.
• Responsible for the creation and development of a team in Dallas, TX.
• Participated in User Acceptance Testing for new platform.
• Work closely with the Product and Sales Team to develop a client service team that is responsible
for client related issues (e.g., inquiries, changes in procedures, client onboarding).
• Create and implement procedures for client services.
• Lead team to amend policies and procedures to mirror Markit’s standards.
• Updated all changes in operational policies and procedures.
• Worked closely with Product team to develop metrics and reporting systems to mitigate risk.
• Created onboarding process for new clients to the new service platform.
• Received recognition from client for a program run called ‘Caught being Excellent’.
• Received award for great customer service to clients from my department.
Depository Trust and Clearing Corporation 2008 - 2013
Team Lead New York, NY
• Utilized various sources to successfully validate Domestic and International Corporate Actions.
• Work closely with domestic and foreign agents in Shanghai and London to ensure accurate and
timely announcements.
• Contributed to team in modifying procedures and controls in order to reduce risks and violations.
• Participated in cost saving projects to streamline the operation process among the London,
Shanghai, and New York offices.
• Assisted management team in implementing new processing system for Operations Department by
testing functionality and system accuracy.
• Responsible for developing new Internal Operating Procedures manual, for to be utilized by the
department to reflect new procedures. This was for correspondence with the new DTCC

2. documentation standards required by the U.S. Securities and Exchange Commission.
• Responsible to keep offices informed of all procedure changes and to ensure that the procedures
were being followed
• Assisted management team in implementing new processing system for Operations Department by
testing functionality and system accuracy.
• Worked with other departments to ensure their Policies, Procedures, and Job Aids were in
compliance and in correspondence with the new DTCC documentation standards required by the
U.S. Securities and Exchange Commission.
• Review and edit department’s monthly international newsletter for Shanghai, London, and New
York offices.
• Attend monthly client meeting to give updates on the service and respond to client requests to
enhance our service.
• Coordinated with the Product Management department to ensure our Procedures are accurate.
• Coordinated with ADM (technical) department to ensure our clients receive timely information.
• Team lead that was responsible for validating simple-complex events
• Received award from the Compliance Department two years in a row.
Depository Trust and Clearing Corporation
Senior Analyst 2005- 2008
Tampa, FL
• Researched and problem-solved transactions related to asset services.
• Responded to customer inquiries and requests for assistance.
• Cross-trained staff to ensure to mitigate risk.
• Build relationships with CFOs and other bank officials to effectively correct and prevent errors.
• Collaborated with different departments to resolve issues quickly.
• Participated in various projects to streamline everyday functions.
Education
The University of Tampa August 2005
Bachelor of Science: Economics, Minor: Government and World Affairs
New York University May 2015
Certificate in Financial Risk Management
New York University May 2016
Certificate in Accounting
Organizations
• Toastmasters, 2008
• Adam Smith Society, 2003-2005
• Delta Zeta Sorority, 2002-2005
Qualifications
• Proficient in MS Office
• In process of completing an Accounting Certificate – completed (Financial Accounting I and II,
Intermediate Accounting I, Intermediate Accounting II)
• Experience with research databases (i.e. Lexis-Nexis, Wilson Web, ProQuest, etc.)
• Proven analytical and problem-solving skills.
• Knowledge of North American, Latin American, European, and Asian financial markets