1. EMBERLY M. WHALEY
CEDAR HILL TX, 75104 (214) 282-2889 EMBERLYWHALEY@ATT.NET
SENIOR SECURITIES ANALYST/TRANSACTION PROCESSING SPECIALIST
Resourceful Securities Analyst / Transactions Processing Specialist with a keen eye for details
and strong detailed orientation that ensures accuracy and reduces corporate risk. Over 10 year’s
proven success within a Fortune 500 company. Demonstrate management and leadership skills to
guide the process of conducting research in making recommendations regarding investment
strategy. Up to date on current trends within the industry including filings, mergers and
acquisitions, competitive positions and financial stability. Meet deadlines for multiple assignments
under pressure and with a positive attitude.
WORK HISTORY
J.P. MORGAN CHASE AND CO., DALLAS, TX 2001 – 2016
SENIOR SECURITY ANALYST/ BACK OFFICE ADMINISTRATION
Review new products daily, design a summary notice about events ensuring accuracy and
reducing risk. Manage daily delivery of services to clients / internal business units.
 Managed timely product announcements to clients, working closely with agents to confirm
accuracy and minimize risk.
 Close attention to detail ensured clients received shares at the correct price by updating
an inaccurate file number with accurate terms.
 Successfully handled intricate events to be announced by clarifying details, working
closely with Canadian agents and agent instruction team to ensure options are clear.
 Tested new software program created to increase speed of delivery to clients, identify
process errors and communicated with IT manager to determine fix.
 On-boarded contract associates during peak periods by providing one-on-one training and
shadowing to ensure accuracy.
SENIOR MANDATORY TRANSACTION SPECIALIST/ TEAM LEAD
Monitor daily operations transaction for a team of 8 to ensure accuracy of daily payouts. Reconciled cash
movement daily for entire Mandatory Department using close attention to detail, avoiding risk.
 Managed intricate process of updating customer records to reflect audit requirements,
including research of archived records processed in Titan.
 Daily reconciliation of general ledger for cash and asset breaks.
 Created spreadsheets daily, populated data from depository to ensure accuracy in account
payouts.
 Managed up to 100 printed checks daily; reconciled by identifying corporate action and
credited appropriate account.
 Active member of the Disaster Recovery team to provide results for software testing,
including GMRD/ OLR team testing.
 Call Bond (SME) and key contributor to transition Call Bond redemption from Dallas to NY
and later transferred to Mumbai (Financial product). Customized trained transition team
for Mandatory Department functions to Mumbai, India, verified understanding through
written testing.
Broker Dealer Operations Administrator
Liaison with senior level clients from various mutual funds, investment companies
and broker dealers
 Managed daily end of day proof
 Liaison between operations and tri party clients

2.  Analyzed and prepared statistical report for management
EDUCATION
Bachelor of Business Administration
Northwood University, Cedar Hill, Texas
Associate of Arts, Business Management
Northwood University, Cedar Hill, Texas
CORPORATE TRAINING: Management, Risk Management