Erik V. Gwaltney
Investment Operations Analyst, Asset management
Jacksonville, FL · (904) 555 0119 · name@example.com · linkedin.com/in/erikvgwaltney
Key Qualifications
EXPERIENCE
Seven years in trade support and settlement operations
INDUSTRIES
Asset management, custody, broker dealer operations
SPECIALTIES
Trade settlement, failed trade resolution, broker onboarding, settlement instruction management
SYSTEMS
Aladdin, Charles River, Bloomberg, Depository Trust and Clearing Corporation platforms, Microsoft Excel
CREDENTIALS
Securities Industry Essentials examination passed, member of the Investment Adviser Association operations network
EDUCATION
Bachelor of business administration in finance, University of North Florida
Results at a Glance
1.4%
Daily volume
2024
Increase in fails
$310k
Interest claims
Executive Summary
Investment operations analyst with seven years in trade settlement for an asset manager running 22 billion dollars across equity and fixed income mandates. Owns the daily failed trade queue, the broker and custodian relationships behind it, and the move to the shortened settlement cycle that the desk barely noticed.
Signature Achievements
- Cut the failed trade rate from 1.4 percent of daily volume to 0.3 percent by rebuilding standing settlement instructions across 140 broker relationships.
- Led the operations readiness work for the shortened settlement cycle in 2024 with no increase in fails during the transition month.
- Recovered 310,000 dollars of interest claims from counterparties over three years that had previously gone unbilled.
- Automated the daily trade matching exception report, saving roughly two hours every morning for the team of five.
- Onboarded eleven new counterparties in a single quarter with complete instruction and account documentation.
Professional Experience
Investment Operations Analyst
Atlantic Ridge Asset Management, Jacksonville, FL 2021 to present
Settlement coverage for roughly 900 daily trades across equity, corporate bond and municipal bond mandates.
- Match and affirm trades against broker confirmations and release settlement instructions to the custodian.
- Work the failed trade queue each morning and escalate aged items to the broker operations contacts.
- Maintain the standing settlement instruction database and onboard new counterparties.
- Reconcile daily cash and position breaks with the custodian before the portfolio managers start trading.
Settlement Associate
Saint Johns Custody Services, Jacksonville, FL 2018 to 2021
Settlement support for 40 institutional custody clients holding 12 billion dollars in assets.
- Processed domestic equity and fixed income settlements and researched delivery failures.
- Handled client inquiries about pending and failed transactions.
- Documented the settlement procedures used to train new associates.
Licensure and Certification
Securities Industry Essentials examination, 2019
Member, Investment Adviser Association operations network
Education
Bachelor of Business Administration in Finance, University of North Florida, 2018
Core Skills
Trade settlement · Failed trade resolution · Settlement instructions · Custodian coordination · Cash and position reconciliation · Aladdin · Charles River · Bloomberg · Counterparty onboarding · Process automation