KENNETH S.

BOOTH
Staten Island, NY 10314 347-909-9917 KBoothNY@ymail.com

SENIOR OPERATIONS SPECIALIST Customer focused team player with technical expertise in trade reconciliation Senior Operations Specialist with expertise in equities and fixed income trading reconciliation. Proactively troubleshoot and resolve breaks and discrepancies in daily transactions helping to avoid regulatory fines. Consistently met critical deadlines while producing a flawless work product on a daily basis. Strong capability of ensuring compliance with all securities regulations. Have worked for major financial services firms including Broadridge, CIBC World Markets and Oppenheimer. Possess strong customer service skills and excellent communication skills, with an ability to build strong, trusting and credible relationships with clients and colleagues. Highly regarded subject matter expert in application of Sarbanes Oxley Act. Team-oriented and approachable style in providing mentoring and guidance to colleagues and junior staff. Areas of expertise: ADP - BPS system OB SYS Bloomberg OCS Canadian Arrow DTCC Smart ICES Global Alert Oasys RTTM ACT Obligation Warehouse Microsoft Office

PROFESSIONAL EXPERIENCE Broadridge Outsourcing Services, Jersey City, NJ Associate Specialist 2007 to 2013

Reconcile Stocks and Bonds trades for TRIACT, CNQ. CDNX. TSE, ICX, ALPHA and CHIX exchanges using the Canadian Arrow system Balance and reconcile intra company and external company breaks Process equity breaks by picking up step outs from brokers on OCS system, and submitting step outs to contra brokers on OCS and ACT Research, identify and resolve discrepancies to the satisfaction of all involved parties Allocate problems to the correct parties to avoid loss Proactively identify, research and resolve issues based on response from interested parties Prioritize aged problems. Manually process trade exceptions and adjustments that the standard ticketing system cannot process. Played a key role in Disaster Recovery testing. Involved in testing various work functions during migration from ADP to IBM systems Reconcile Exchange Rate discrepancies ensuring correct usage of factor rates in correspondent clearing Process Bloomberg adjustments Serve as subject matter expert to clients on Prospectus inquiries Manage Ex Clearing fixed income and equities processes including Ex Clearing bond fail run for outsourcing clients, verification of fixed income and equities with contract brokers, and fails through DTC

Kenneth Booth, Page 2 of 2 Manage fixed income bond clearing process, including stamp broker advice on RTTM, resolving breaks with contra brokers, and reconciling breaks in suspense accounts Oversee the equities on contracts process by sending out breaks for new day as well as past settlement days. Monitor and reconcile suspense accounts and firm balancing for outsourcing clients Coordinate record retention activity for various customers

CIBC World Markets, New York, NY Senior Operation Specialist

1998 to 2007

Reconcile Intra Company breaks Researching and identifying discrepancies Allocating problems to the correct areas within the trading department Adjust all trading errors Take appropriate action to resolve issues based on response from trading desk Ensure aged problems are given priority attention in order to minimize operational risk Manually process trade exceptions and adjustments that the normal ticketing system cannot process Oppenheimer & Company, New York, NY OTC contract Muni Bonds operation Coding and figurations EDUCATION FINRA 2013 Completed Anti-money laundering e-Learning courses and associated assessment exams College of Staten Island, Staten Island, NY Accounting New York Institute of Finance, New York, NY Brokerage Operations coursework 1981 1983 to 1998

November 2006

MILITARY Army National Guard 1981 - 1995 Honorable discharge at the rank of Sergeant First Class MEMBERSHIPS ACAMS working toward certification in AML