PENELOPE SOKO

To provide comprehensive Corporate Actions service across all asset classes (CA Equities, Proxy Voting, Bond and Money Market Capital Payments) and forward all information to clients (where necessary)

RESPONSIBILITIES

§ Processing of all new notifications that are received from Strate for Equities, Proxy Meetings, Bonds and Money Markets events.

§ Scrutinize SENS (Stock Exchange News Services) announcements, company circulars and annual reports for CA event detail confirmation.

§ Check and ensure that all information received on SWIFT is accurate and in line with SENS announcement, company circulars and annual reports.

§ Ensure that all corporate actions messages received (via STP and manually where applicable) have been processed and CA notifications sent to clients (by swift or e-mail within the clients SLA)

§ Reconcile all corporate events files – the entitlements received from Strate and entitlements due to clients

§ Follow up on instructions required from clients and send elections to Strate for voluntary corporate action events

§ Follow up on instructions required from clients and send elections to the Register and/or to Strate for Proxy Meetings and/or letters of representation.

§ Ensure that all corporate action payments are received and processed accordingly.

§ Send payment confirmations to clients (by swift or e-mail within the clients SLA)

§ Ensure that all disclosures are completed and sent to Strate/TS/Registrar when requested.

§ Ensure that all allotments and/or exclusions are processed timeously, accurately and in line with Strate timelines and directives.

§ Ensure that all elective events are processed timeously, accurately and in line with Strate timelines and directives.

§ Ensure that electronic filing is done daily and filed accordingly on the shared drive.

§ Ensure that all processes and procedures are adhered to.

§ All CA market claims must be investigated, validated and sent to clients and/or counterparties timeously and accurately.

§ Attend to all telephonic and email queries received and ensure that it is responded to correctly and professionally, within the timeframe stipulated in the clients SLA.

§ Monitor that correct DWT and IWT is withheld and reported on client’s accounts.

§ Analyse the CA diary received from Strate and ensure that all pertinent information is included before distribution to clients.

§ Attend to ad-hoc functions within the team.

§ Look at creating efficiencies within the department to become more efficient from an operational perspective.

• Provide Tech Support - Answering requests for software and hardware support throughout the company.

• Record keeping- I was responsible for maintaining office filing and record keeping systems.