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James Happaney
  • Asset servicing
  • Clearing
  • Corporate actions
  • Settlement and operations

James Happaney

James has spent his 40+ year career in the securities industry. James has worked at several Broker Dealers and Investment Banks throughout his career.

His expertise has been in the Operations processing areas, such as Settlements, Balancing, Reconciliation, and asset servicing. James has worked and managed across products and markets.

His career began at Smith Barney Harris Upham in 1976 where he spent 6 years in Domestic Equity Settlements and was promoted to Supervisor of Settlements. His next positions included work involving Options Arbitrage and Equity Stock Loan as well as Municipal bond settlements. He spent 12 years at Tucker Anthony / John Hancock Clearing as Assistant VP managing all of settlements, reconciliation, and operations entry processing. In 1996 he joined Nomura Securities Intl. Inc. He became the Supervisor of Domestic Settlements and Stock Loan settlements. He helped implement a back-office settlement system called Power cage which improved settlement processing. He ascended to VP of all Settlements across products, Reconciliation and Asset Services which included Dividends and Corporate Actions. James helped transition the acquisition and implementation of Nomura’s offshore entity in Mumbai, India that they purchased from Lehman Bros. James traveled to India several times to train and implement the model for offshore support. James was promoted to Executive Director of Operations and helped to transition the system conversion to Broadridge BPS system. James was the lead for the implementation of the Broadridge BPO which reduced costs by $13MM while improving various aspects of the process. He implemented a VSG (vendor supervisory group) to oversee the BPO and track efficiencies. James retired from Nomura Securities in 2018.

Industry Experience
Areas of Expertise
Registrations and Memberships

Industry Experience

Momura Securities International Inc

Executive Director in charge of Settlements and Asset Services

John Hancock Clearing Corp

Vice President in charge of Equity and Fixed Income Operations

Gabriele Hueglin & Cashman

Municipal Bond settlements manager

Norton and Company

Operations Manager Equity Stock Loan & Options

Smith Barney Harris Upham

Settlement Supervisor Equity & Fixed Income Settlement


Cardinal Spelman H.S.

Regents Diploma

Areas of Expertise

Back-office System Implementations



Process Improvements

Review process flows for inefficiencies

Develop better and stronger controls

Offsite Integration


Break resolution


Asset services


Corporate Actions

Settlement Processing


Fixed Income

International and Domestic Settlements

Registrations and Memberships


SERIES 99, Operations Professional

Expert Keywords

  • asset services
  • Broadridge BPO
  • cost reduction
  • domestic settlements
  • equity operations
  • fixed income operations
  • international settlement
  • municipal bond settlement
  • offshore entity transition
  • offsite integration
  • operations entry processing
  • options
  • options arbitrage
  • Powercage
  • reconciliation
  • settlement
  • stock loan
  • vendor supervisory group (VSG)

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