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Pauline Brown 12 Medlar Court, Cambuslang, Glasgow, G72 7NS Home: 0141 258 8775, Mobile: 07936326637 Email: [email protected] I am an experienced Operations Professional, with a proven track record across a wide range of institutional investment teams. I am successful in working in a team and on solo projects where I bring strong analytical skills, problem solving attributes and show continuous process improvement initiative. I am also a good mentor for junior colleagues offering support and training where possible. Financial Associate, Corporate Action Claims - June 2015 – to date Morgan Stanley January 2008 – to date Settling claims received from clients on the back of Corporate Action events such as Cash Stock Options, Return of Capital, Transformation’s & Cash Dividends within the EMEA markets. Investigation & resolution of Risk items created on the back of Corporate Action releases across various reports. Reviewing & authorising journals posted by position services colleagues, also authorising file set up reviews. Financial Associate, Client Money – Nov 2013 – June 2015 Morgan Stanley January 2008 – to date Allocating client money items for review to the team for immediate investigation. Reviewing items to determine if client or firm funds, often reaching out to other business units to clarify. Settling claims received from clients on Corporate Action events which were directly impacting client money items within the EMEA markets. Financial Associate, Stock Loan Dividends – Oct 2011 – Nov 2013 Morgan Stanley January 2008 – to date Investigation & Resolution of Risk items created on the release of Cash Dividend & REIT stocks. Weekly client calls to review outstanding claims across all EMEA, Emerging & US markets. Settling claims across EMEA, Emerging & US markets related to Cash Dividend & REIT stocks.

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Pauline Brown12 Medlar Court, Cambuslang, Glasgow, G72 7NS

Home: 0141 258 8775, Mobile: 07936326637Email: [email protected]

I am an experienced Operations Professional, with a proven track record across a wide range of institutional investment teams. I am successful in working in a team and on solo projects where I bring strong analytical skills, problem solving attributes and show continuous process improvement initiative. I am also a good mentor for junior colleagues offering support and training where possible.

Financial Associate, Corporate Action Claims - June 2015 – to date Morgan Stanley January 2008 – to date

Settling claims received from clients on the back of Corporate Action events such as Cash Stock Options, Return of Capital, Transformation’s & Cash Dividends within the EMEA markets.

Investigation & resolution of Risk items created on the back of Corporate Action releases across various reports.

Reviewing & authorising journals posted by position services colleagues, also authorising file set up reviews.

Financial Associate, Client Money – Nov 2013 – June 2015 Morgan Stanley January 2008 – to date

Allocating client money items for review to the team for immediate investigation. Reviewing items to determine if client or firm funds, often reaching out to other business units to clarify.

Settling claims received from clients on Corporate Action events which were directly impacting client money items within the EMEA markets.

Financial Associate, Stock Loan Dividends – Oct 2011 – Nov 2013 Morgan Stanley January 2008 – to date

Investigation & Resolution of Risk items created on the release of Cash Dividend & REIT stocks.

Weekly client calls to review outstanding claims across all EMEA, Emerging & US markets.

Settling claims across EMEA, Emerging & US markets related to Cash Dividend & REIT stocks.

Reaching out to Traders to resolve rate discrepancies between client claims and releases.

Assisting in the transition of the role to an External Vendor, working alongside the Vendor during the Consultation period to ensure transference of skills required for the relevant tasks.

Authorising payments due to external clients on the EMEA, Emerging, US & Taiwan markets.

Remaining in the team as a support role to the vendors to maintain excellent client service. Monitoring the mail boxes, provide ongoing training and support to new and existing staff on various issues relating to the settlement of the claim with the counterparty.

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Financial Associate, Dividend Pre Pay – Jan 2011 – Oct 2011 Morgan Stanley January 2008 – to date

Creating training processes and procedures for the creation of this new role. Supporting junior colleagues in learning the role of pre-payment checks on Corporate Action and Dividend events within the EMEA & Emerging market.

Completing Pre-payment key checks to prepare stocks for release, such as balance of trades, confirmation of key dates & Market analysis.

Assisting in the transition of the role to an External Vendor by reviewing and updating training procedures, also hosting training sessions via my meeting. Working alongside the External Vendor during the consultation period to train and transfer knowledge relating to the tasks required.

Financial Analyst, Dividend Releasing – Jan 2008 – Jan 2011 Morgan Stanley January 2008 – to date

Processing pre- payment checks on Cash Dividend & GDR events. Ensuring events are all in balance on Broker Dealer & Stock Loan books,

liaising with the relevant business units to identify and resolve any imbalance. Thus enabling the event to be fully released to the clients.

Investigating conversions across different lines of GDR events, finding the offset and ensuring settlement of positions for market cut deadlines.

Releasing events once agency swift received to ensure clients positions correct to be paid.

Investigating and resolving any post payment related risk items, reviewing process improvements to reduce risk created.

Previous Employment

Supply Staff Clydesdale Bank August 2004 – July 2006

Customer Service Officer Clydesdale Bank July 2006 – January 2008

Training & Qualifications

BA Degree – Business & Information Management o Graduated – summer 2006o (Glasgow Caledonian University)

4 Higher Grades

8 Standard Grades