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Mason Peabody

Mason Peabody


Bentley University


My Portfolio Highlights

My New Course

Introduction to SQL

Data maestro, conducting the symphony of insights with analytical expertise.

My Work

Take a look at my latest work.


Understanding Data Visualization


Introduction to SQL


Intermediate SQL

DataCamp Course Completion

Take a look at all the courses I’ve completed on DataCamp.

My Work Experience

Where I've interned and worked during my career.

CIBC Private Wealth US | Jun 2022 - Present

Wealth Operations Analyst

- Monitor, analyze and process trading transactions in our proprietary and vendor systems. - Work with brokers and custodian banks to resolve trade settlement problems in a timely manner. - Process trade corrections on any identified errors. - Work with compliance and various other teams on the reporting of these errors. - Security Master Setup on our trading platform for a large range of securities. - Maintain broker and custodian information accurately within the trading system and various other systems. - Build and follow all procedures and controls within the Operations team. - Processes and supports pre and post trade equity, fixed income and international securities in post trade processing for trade matching, confirmation, trade settlement and regulatory reporting.
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Morgan Stanley | Sep 2021 - May 2022

Investment Operations Analyst (Fixed Income Desk Trading Support)

- Provide functional support to fixed income portfolio managers, traders, and portfolio administrators for Eaton Vance’s portfolio and order management systems (Aladdin/Omgeo). - Responsible for cash and position reconciliation in Aladdin for all designated fixed income portfolios. - Responsible for monitoring trade affirmation and settlement of market transactions. - Collaborate with brokers and custodian banks to resolve trade settlement and reconciliation items. - Identify and resolve problems related to transactions or investment data in a timely fashion following established guidelines. - Facilitate the accurate and timely delivery of critical business information among all necessary parties. - Provide required operational support to traders, portfolio managers, and marketing teams. -Initiate the execution of transactions directed to specific brokers as specified in client contracts. - Support all components of Aladdin processing (position, cash, corporate actions..) for all of the Fixed Income Teams.

Mellon | Aug 2021 - Sep 2021

Portfolio Compliance Analyst

-Primarily responsible for the coding and daily maintenance of guidelines within the Charles River Compliance platform and Aladdin. This includes the coding of new and revised account guidelines, maintenance of rule based lists within CRD, reviewing post trade compliance reports, and the daily adding and lifting of pre-trade alerts as required. -Responsible for reading and reviewing governing documents such as client investment guidelines, and the Prospectus and SAI, if applicable, and identifying and extracting all guidelines to be coded. -Responsible for working with the Trading, Operations, and Portfolio Management teams on a daily basis. Supports management in the day-to-day efforts related to first line of defense regulatory oversight management with laws, rules, regulations and related policies. Researches and analyzes relevant information and transactions that warrant further investigation. Communicates with internal and external parties as needed and makes recommendations on necessary procedural/ control changes on regulatory oversight management matters. Gathers data and prepares materials for more senior team members to counsel business personnel on first line of defense compliance with policies.

Mellon | Sep 2019 - Sep 2021

Client Service Associate (Active Equity Team)

-Responsible for supporting the Relationship Management, Sales, Consultant Relations, and Operational Teams for all sales, marketing and client financial reporting needs in Mellon's Active Equity division. -Responsible for timely delivery of all institutional client and consultant reporting for various books of business. -Analyzes performance and portfolio data relative to market exposure, portfolio risk, and various attributions. -Participates in the Distribution initiatives, marketing materials production and other projects as needed. -Serves as the primary contact and facilitator of client support and questions. -Utilizes designated/centralized tools and systems of record to capture and coordinate all client inquiries. -Effectively collaborates with all internal groups (i.e. Marketing & Sales, Portfolio Management, Trading teams etc.) to ensure delivery of service level agreements and client expectations. -Applies a client focused approach when working through breaks in processes or deliverables and escalate appropriately when needed. -Works independently and exercises good judgment when making decisions to resolve inquiries and meet production and turnaround standards. -Meets all results based, Risk Management and Compliance, and quality control goals.

Commonwealth Financial Network | Nov 2018 - Jul 2019

Data Integrity Analyst/Brokerage Operations

-Manged daily inbound communication, and case inquiries between RIAs, RIA clients, and internal team members ranging from Trade Desk operations to Wealth Management operations. - Facilitated operational initiatives between RIAs and Broker Dealers nationwide with assets of $500,000-$500,000,000 through executing client requests and advisory request on a timely basis. - Collaborated and facilitates daily deliverables and basic functions of Data Integrity team operations. - Provided analytical approach to operational process improvement in operational procedures. - Utilized investigative and problem-solving skills to provide solutions to challenges and enhance current operational capabilities through out Brokerage Operations division and throughout all departments at Commonwealth. - Collaborated with other Operations departments and Technology teams for quick and accurate resolutions that arise in their departments relative to Data Integrity Operations. - Promotes Indispensable service through over-delivering on tasks and expectations between internal and external stakeholders. - Supported advisor and client experience in proprietary technology platforms; Client360° platform (Advisory and Practice Platform), Practice360° platform and Investor360° (Individual Client Platform) platform through the Data Integrity operations and communications - Maintained and analyzes account information received from direct product sponsor companies for advisors and clients to view in Client360° relative to performance data, market data, and portfolio data. - Troubleshooted data issues and transaction discrepancies related to client accounts and sponsor company information as they arise in real time data flow and processing in performance and security valuations.

Mutual of America | Jun 2018 - Oct 2018

Senior Client Correspondent/Operations Associate

-Developed and maintained relationships with individual and institutional clients through assisting them with current and prospective retirement plan models, investment products, and service contracts for investment plans ranging from $1,000,000 to $100,000,000, in assets (401k, 403b, Group Variable Products,GLI). -Collaborated with the operations team to protect against fraud, and reports potential fraud to Internal Audit Division and SROs. -Assisted with plan development, sales strategies,plan provisions, contract provisions, and investment vehicles for institutional clients and individual investors. -Responded to client communications in regards to account discrepancies and inquires. -Coordinated retirement claims processing through third parties and corporate divisions. - Built relationships through collaborating with client auditors, third party administrators, financial institutions. -Assisted clients with nondiscrimination tests pertaining to qualified plans. -Managed wire transfer operations. -Assisted the Regional Officer with presentations to prospects and existing clients to generate assets and increase client retention. Specifically selling and integrating IT management Systems. -Provided Regional Officer with verbal reports monthly on service operations and how operations performance is effecting client relations. - Initiated and performs special Adhoc projects as assigned by Regional Vice President and senior officers. -Met with clients visiting the Regional Office on service-related matters and provides requested information, forms, other material or assistance. -Prepares investment reports. -Makes proactive service visits to employers to ensure benefits staff and HR staff are proficient in proprietary software utilization and data processing pertaining to plan processing, plan conversions, and plan terminations.

USI Consulting Group | Jan 2017 - Jan 2018

Defined Contribution/Defined Benefit Plan Administrative Analyst

-Performed administrative functions through back-office work flow processes in the investments and securities industry. -Assisted trading operations and sales of Mutual Funds from institutional clients to top performing retirement plan providers. -Developed and maintains positive relationships with individual and institutional clients through assisting them with information regarding their retirement plans. -Assists with record keeping for client plans -Processed and distributes loan requests, transaction entries, auto payment processing, check register reviews, and operational internal audits. -Processed payroll conversions and re-formats payroll census data files through internal databases and software. -Assisted with preparation of reports for quarterly valuation packages. -Provided accurately and timely recordings of transactions and work logs (including telephone call log for outsourcing clients if applicable). -Completed special projects as requested by consultants. -Responded to participant calls as needed for outsourcing clients while returning all messages within four business hours.

State of Connecticut | Jun 2014 - Jul 2014

Summer Legal Intern

-Facilitated operations throughout the court process for public defenders and states attorneys. -Produced case notes regarding defendants who are on conditional discharge and probation. -Contacted individuals who are on conditional discharge regarding their compliance with conditions set by the court. -Interviewed new arrests in Bail Lock Up and evaluated bail amounts based on defendants criminal record and severity of their charge.

My Education

Take a look at my formal education

Master of Business Administration - MBA, Finance  · (SeptemberBentley University - McCallum Graduate School of Business | 2022
Graduate Certificate, Investment Theory and Practice (CIMA) Yale University | 2022
B.S. Finance, Investments and SecuritiesCentral Connecticut State University School of Business | 2016

About Me

Mason Peabody

I am passionate about researching financial markets, data analytics, and emerging technologies. My passions allow me to solve business problems, support organizations in exceeding their goal, and reach their full potential within their business model

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