Andrew Brock

Son Behind The Clouds | Career Coaching

🌟 Andrew Brock
🚀 Career & Executive Coach 🌟

🔸 About Me:
With a seasoned background in investment banking and hedge funds and a strong understanding of the financial services sector, I comprehend the intricacies and challenges of your professional journey. Transitioning from the fast-paced world of investments, I've dedicated my career to guiding individuals like you towards well-deserved promotions and lasting success.

🔸 How I Can Help:
I aim to equip you with the tools and strategies needed to excel in your career. From honing your leadership skills to navigating complex promotion pathways, my coaching approach is personalised to unlock your full potential and propel you towards your goals.

🔸 Let's Connect:
Ready to take the next step in your career? Let's connect and explore how we can work together to shape your professional future. Reach out for tailored guidance and support designed to accelerate your journey to success.

🔸 Specialities:

• Career Advancement
• Self Awareness/Discovery 
• Promotion Strategies
• Performance Enhancement
• Financial Industry Insights

I look forward to connecting with you and assisting you in achieving your career aspirations. 🌟

Coach/Owner

Värde Partners

1 Year Contract

Liaise with prime brokers, custodian, and executing brokers to ensure proper settlement of trades across multiple asset classes and markets
 Daily capture and maintenance of trading activity.
Assist with Booking and Settling FX, REPO
 Identifying high touch events and escalate appropriately
Review of daily cash and position reconciliations; research discrepancies and determine course of action for resolution
Set up of securities and maintain data in a security master

Liquid Operations Analyst

Citi

• Main point of contact for client/administrator operational queries
• Act as back up for team manager when manager out of office or assist on any managerial responsibilities
delegated
• Trade handling across equity and fixed income PB, including trade capture, trade kick-outs, broker mapping
and connectivity issue resolution with clients/administrators
• Management of client settlement activity, liaising with settlements and clients to resolve any issues
• Management of client cash activity, authorisations, reporting and query resolution
• Review client cash balances / portfolios for operational issues
• Liaise with Citi execution desk on booking issues
• Documentation and publication of MIS where required
• Completion of all daily processes and controls including ad-hoc tasks that may be assigned.

Prime Brokerage Client Services

UBS O'Connor

▪ Performing daily trade, position and cash reconciliations, monitoring and ensuring that all reconciliations breaks are explained and cleared promptly.
▪ Monitor and resolve Prime Broker failing trades
▪ Escalating to supervisor/manager any aging breaks, fails or operational risks that could materially affect the business.
▪ Supporting London & Asia portfolio managers during the London time zone
▪ Liaising with the trading desk and being a point of contact for calls to and from our Prime Brokers and Fund Administrators.
▪ Monitor & ensure all day’s transactions have properly flowed through all systems and populated the Risk Management System (Front Arena) and our “Books and Records System” (Advent Geneva)
▪ Affirm trades and resolve trade differences between O'Connor and our executing brokers. Using CTM Omgeo
▪ End of day trade checking and Processing of option exercise and assignments
▪ Covering all aspects of OTC trade life cycle processing, this includes but is not limited to:
o Confirmation processing and signoff
o Cash flow processing 
o Collateral Management 
o OTC Lifecycle events

Trade Support Specialist

Barclays Investment Bank

● Duties: releasing and closely monitoring DVP and FOP same day settlements primarily in the UK CREST Market; pre-matching trades in order to minimise risk by ensuring timely and accurate settlement;
● Producing European Fails report and informing front office of fail reasons for each trade;
● liaising with counterparties and agents to resolve issues on unmatched trades while working closely with stock loan traders and collateral management to provide short position coverage and rebook/correct trading errors.
● Liaising daily with corporate actions to monitor upcoming record date stocks to minimise the risk of unnecessary dividend claims, escalating any potential risk issues to management.
● Ensured client static and contact lists were updated and accurate.
● Contributed innovative ideas towards process improvements, cost controls and enhancing client services and productivity levels.
● Routine updates of custody control and settlements procedures, work flows and ongoing projects. Thereafter placed within UK space to assist with Stock Lending/DBVs and Prime Brokerage, and thus participated in the largest UK scrip issue in BarCap history, achieving 100% settlement rate across the accounts.
● In my manager’s absence I was the focal point of the team, and responsible for the smooth & efficient running of day to day tasks.
● Moved to Euroclear and been involved in training CREST and Euroclear to Indian trainees with the impending offshoring of Operations Roles to India.
● Jointly managed the transition of Self Clear markets (Euroclear and CREST) to Chennai, India. Returned from Chennai, India after ensuring the training needs were met and all processes were seamlessly transitioned across to India.

Operations Specialist

Direct Sharedeal Ltd

● Best execution on both buy and sell orders across all European markets (mainly UK and Ireland) on
both normal equity and CFD trades. Obtained CISI Certificate of Securities in March 2010 and as a
result became an Associate Member of the Securities Institute. This would allow me to be FSA
registered (CF30 Customer).
● However due to change of compliance officer and then the closure of the Glasgow office for Equity
Trading, this was never completed.
● Basic Sales trading for some institutional clients. Provide clients with information relating to the
market, securities ,and any other dealing related enquiries.
● Building strong relationships with market makers, clients, other regional offices namely London and
CFD provider to ensure excellent service on all levels.
● Provide information for the Sales team on price history, industry sectors and anything else they require
for marketing presentations to existing and new clients.
● Attendance at such presentations to answer client’s questions relating to trading and systems used.

Equity Dealer

Are you an ambitious investment banker or financial services professional seeking to elevate your career to new heights? Look no further.

Let's have a chat

🔸 About Me:
With a seasoned background in investment banking and hedge funds and a strong understanding of the financial services sector, I comprehend the intricacies and challenges of your professional journey. Transitioning from the fast-paced world of investments, I've dedicated my career to guiding individuals like you towards well-deserved promotions and lasting success.

🔸 How I Can Help:
My purpose is to equip you with the tools and strategies needed to excel in your career. From honing your leadership skills to navigating complex promotion pathways, my coaching approach is personalised to unlock your full potential and propel you towards your goals.

🔸 Let's Connect:
Ready to take the next step in your career? Let's connect and explore how we can work together to shape your professional future. Reach out for tailored guidance and support designed to accelerate your journey to success.

🔸 Specialities:

Career Advancement
Self Discovery/Awareness
Promotion Strategies
Performance Enhancement
Financial Industry Insights

I look forward to connecting with you and assisting you in achieving your career aspirations. 🌟

Life Coach/Owner

Do you feel lost? Are you trapped in a relationship? Do want to get promoted? Have you got goals you want to achieve but keep failing to accomplish them? Send me a message in confidence to get on the path to the best most authentic version of you so you can achieve anything you desire.

Hi everyone! I’m seeking a new role and would appreciate your support. If you hear of any opportunities or just want to catch up, please send me a message or comment below. I’d love to reconnect. #OpenToWork

About me & what I’m looking for:
💼 I’m looking for Prime Brokerage Specialist, Investment Operations Associate, Client Services, and Client Service Professional roles.
🌎 I’m open to roles in London Area, United Kingdom, Greater London, and Scotland.

Investment Operations/ Client Service Professional Looking To Return To Work After Period Of Professional Reflection And Personal Development. Also Life and Career Coach. Helping Others Understand Themselves And Others.

Taplio

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