Shawnia Carlson
Champlin,Minnesota
Summary
Knowledgeable Securities Lending Trader with background in trading financial instruments and optimizing investment strategies. Demonstrated ability to identify market trends and capitalize on trading opportunities. Proven skills in risk management and portfolio diversification.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Securities Lending Trader
Wells Fargo Securities
05.2015 - 05.2024
- Built relationships with key sources of equity supply by demonstrating trust, integrity and professionalism resulting in maximization of hard to borrow sourcing by gaining first access to new supply
- Compile and analyzed data to determine approaches to improve P & L by increasing trade rebate spreads
- Developed and maintained strong knowledge of hard to borrow and general collateral products and varying levels of demand within each product resulting in growing the trade book
- Monitor daily cash collateral at OCC to ensure fully collateralize by pledging securities reducing any collateral deficit
- Responsible for sourcing supply of securities from financial institutions for internal clients resulting in consistent year over year revenue growth
- Engage in daily negotiations and market discussions to enhance counterparts relationships and maximize profitability
- Coordinate with internal teams to align client needs with trading strategies, ensuring seamless execution and risk management
- Cultivate and maintain strong relationships with institutional clients to optimize securities lending opportunities
Securities Lending Agency Trader
Clearlend Securities
11.2011 - 05.2015
- Company Overview: wholly owned subsidiary of Wells Fargo
- Compiled and analyzed data to determine approaches to improve sales and performance with results of 25% increase in client portfolios
- Collaborated with clients to maintain relationships and provide customers with thorough support and guidance by growing their revenue
- Worked on behalf of companies to lend their portfolio of financial instruments to ensure account fully funded by leveraging their securities with market rates to broker dealers
- Directed client cash daily investing in pre-approved funds resulting in gains with no losses
- Monitored outstanding loans by cross referencing with current market trends and adjusting rebates where appropriate for customer increased revenue
- Wholly owned subsidiary of Wells Fargo
Relationship Manager
KDC Securities
05.2011 - 11.2011
- Sought out new broker dealer account to bring into Securities Lending program by cold calling firms and signing them onto the program
- Developed and cultivated lucrative relationships with both new and existing clients through effective communication and exemplary interpersonal skills
Securities Lending Manager
Wells Fargo Investments
04.1998 - 02.2011
- Consistently contributed to revenue growth and operational efficiency by optimizing lending strategies and fostering strong client relationships
- Managed daily securities lending operations, overseeing loan/borrow transactions, pricing, dividend, corporate actions and collateral management
- Monitored inventory and located hard-to-borrow securities, optimizing utilization and maximizing revenue
- Negotiated rates and terms with counterparts, ensuring competitive pricing and adherence to risk guidelines
- Assessed market demand, liquidity conditions, and short interest to drive strategic lending decisions
- Maintained strong relationships with institutional clients to facilitate seamless transactions
- Coordinated with risk, compliance, and operations team to ensure regulatory adherence and efficient trade settlement
Skills
- Windows 365
- Betahost
- DTCC-Depository Trust Company and Clearing
- Loanet(FIS)
- Bloomberg
- SEI
- Spire
- Relationship Management
- Critical Thinking
- Interpersonal Communication Skills
- Multitasking
- Cash Reconciliation
- Client Satisfaction
- Effective Working Relationships
- Customer Accounts Management
- Problem solving
- Vendor partnership
- Employee Management
Certification
- FINRA SIE
- FINRA General Securities-Series 7
- FINRA Uniform Securities Agent State Law-Series 63
- FINRA Operations Professional 99
Timeline
Securities Lending Trader
Wells Fargo Securities
05.2015 - 05.2024
Securities Lending Agency Trader
Clearlend Securities
11.2011 - 05.2015
Relationship Manager
KDC Securities
05.2011 - 11.2011
Securities Lending Manager
Wells Fargo Investments
04.1998 - 02.2011
Similar Profiles
Erik ArcosErik Arcos
CIB Compliance Intern (Coverage and M&A) at Wells Fargo SecuritiesCIB Compliance Intern (Coverage and M&A) at Wells Fargo Securities
Amanda EnusonAmanda Enuson
Lead Business Execution Consultant – Corporate & Investment Banking at Wells Fargo SecuritiesLead Business Execution Consultant – Corporate & Investment Banking at Wells Fargo Securities
DeMarqus PayneDeMarqus Payne
Financial Crimes Consultant III at Wells Fargo SecuritiesFinancial Crimes Consultant III at Wells Fargo Securities