Middle Office Operations Resume Samples

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J Collins

Jadyn

Collins

37856 Norene Orchard

Detroit

+1 (555) 879 9773

37856 Norene Orchard

Detroit

Phone

p +1 (555) 879 9773

Experience Experience

San Francisco, CA

Middle Office Operations Analyst

San Francisco, CA

Mertz, Von and Williamson

San Francisco, CA

Middle Office Operations Analyst

Review, analyze, and enter client information and transactions into multiple systems including Trust 3000, NxAS, Trust Office and Filenet Imaging Systems in order to fulfill monetary and non-monetary requests for high-net-worth client accounts
Identify Advisor related processing issues to ensure accurate completion of the submitted request and provide value added servicing
Learn all facets of the Middle Office Operation including new account set-up, distributions, receipts, trade processing, model changes, non-monetary account changes and monetary requests which include detailed multi-step processes
Maintain the highest level of confidentiality, quality and privacy
Daily communication with clients to agree upcoming cash flows
Investigation and resolution of client fails through various means, including daily interaction with trading desks, sales desks and middle office groups to ensure prompt resolution
Reconciliation and analysis of aged breaks

San Francisco, CA

Middle Office Operations, Tradebook

San Francisco, CA

Lakin Inc

San Francisco, CA

Middle Office Operations, Tradebook

Establish and maintain excellent relationships with all clients and become central point of contact for all clearing related issues
Foster excellent relationships with Sales, Trading and Back-Office
Amending and allocating of client trades in a timely and accurate manner
Liaising with Bloomberg Tradebook's various counterparties regarding the set-up of new client accounts
Maintaining and updating pricing rates on the Tradebook platform for new and existing clients
Maintenance of all internal systems to reflect costs / errors / revenues arising from daily business practices
MIS Reporting

present

San Francisco, CA

Middle Office Operations Specialist

San Francisco, CA

Reilly-White

present

San Francisco, CA

Middle Office Operations Specialist

present

Client servicing to support 24x5 global pass-the-book model
Track deadlines, send reminders to clients, check position breaks and process clients instructions
The position makes decisions within an assigned level of authority; decisions beyond the specified scope are referred to management for approval
Ensure compliance of both general and anti-money laundering and anti-terrorist financing (AML/ATF) compliance controls as well as operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues
Validate and scrub corporate actions received from custodians and vendors
Create a gold copy and follow-up for any differences in dates, terms, restrictions, etc
Follow-up with custodians for event notices, participation documents and receipt of instructions

Education Education

Bachelor’s Degree in Finance

University of Washington

Bachelor’s Degree in Finance

Skills Skills

1-3 years of industry experience with a basic knowledge of markets and Hedge Funds
Possess strong technical and analytical skills
Ability to multitask to meet numerous deadlines in a fast paced, dynamic environment
Strong communication and organizational skills
Proficient in Microsoft Office
Ability to summarize issues and develop recommendations
Good knowledge and proficiency in the functions supporting Securities Lending processing
Effective understanding of settlement conventions of various markets in multiple geographic locations leveraging clearing agents and central clearing depositories, specifically DTC, CDS, CREST, Euroclear and Clearstream. In addition, knowledge of risk mitigation practices and conventions i.e. buy-ins & recalls
Working knowledge of Domestic and International Securities Lending settlement process (day to day operating model, timing and data flows)
Ability to act decisively, calmly and demonstrate good judgement under tight deadlines within a dynamically changing, highly regulated environment, while equally demonstrating tact and diplomacy in completing work activities by demonstrating sensitivity to client concerns and interests

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15 Middle Office Operations resume templates

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GSO Middle Office Operations Group Operations Analyst Resume Examples & Samples

3+ years of experience closing par and distressed US and European loan trades as well managing multiple cash and position reconciliations
Experience with ClearPar electronic settlement platform
Knowledge of Wall Street Office software (Administrator and Reporting Module) and SunGard’s VPM software
Familiarity with Rating Agencies (Moody’s, S&P, Fitch)

Middle Office Operations Account Manager Resume Examples & Samples

Previous experience with Calypso or a portfolio management system a plus
Approachable: Required for dealing with external sources and other staff members
Accounting Skills: Previous experience on NAV’s is essential. Part qualified/qualified accountant would be desirable
Proven professional skills, three years or more experience in hedge fund accounting operations

Middle Office Operations Resume Examples & Samples

Knowledge of trade routing, portfolio management and reconciliation processes. Previous experience with Calypso or a portfolio management system a plus
Knowledge of Securities: Need to know basics including: bank debt, equities, fixed income, standard derivatives and where to look for information on others. Knowledge on OTC’s a distinct advantage
Strong client service focus, including the ability to effectively respond to client needs
Excellent follow-up, analytical and problem solving skills
University degree (B.A., B.Sc., B.B.S.) in Business (preferably majoring in Accountancy or another Financial-related program)

Capital Markets Group Middle Office Operations Managed Money Analyst Resume Examples & Samples

Ability to work with effectively with various areas of the firm
Knowledge of FI and Equity products
Knowledge of TRACE/MSRB rules and regulations
In depth knowledge of trade processing
Superior client service skills
Experience with ACT/OCS, DTC, and Federal clearance
Demonstrate the ability to work effectively in a team oriented enviorment

FX Middle Office & Operations VP Resume Examples & Samples

Managing a team responsible for confirmation, and settlement control within FX and Derivatives
Build strong relationships with clients and complete post-trade support
Regulatory and client report creations
On-boarding and client services
Active implementation of new procedures with exciting opportunities to collaborate with global operations
Business controls
Good team management skills collaborating with Front Office and overseas branches alike
Adapts easily to change in a fast paced and dynamic environment, can multi-task effectively
Experience using MS applications (Excel, Access DB)
Fluent in Japanese and business level English
Middle Office / Operations experience of FX
Have experience of confirmations and settlement

Gso-middle Office Operations Group Resume Examples & Samples

Bachelor’s degree in finance or accounting / business or mathematics preferred
2+ years’ experience performing Indenture or 40 Act compliance testing for leverage loan portfolios, preferably in the BDC space
Knowledge of Wall Street Office software (Administrator and Reporting Module) and VPM
General knowledge of BDC structures
Previous experience liaising with Administrators, Trustees and Leverage Providers
Familiarity with Rating Agencies (Moody’s, S&P, Fitch, DBRS)
General knowledge of US leveraged loan market

Baam-middle Office Operations Resume Examples & Samples

Preparation of trade instructions and communication for monthly trading activity
Daily interaction and communication with custodians
Daily interaction with the investment, legal, compliance and client teams
Assist in cash projection of 200+ portfolios
Analysts are expected to understand the context and execution of investment decisions, and should contribute to the ongoing process improvement
1-3 years of industry experience with a basic knowledge of markets and Hedge Funds
Possess strong technical and analytical skills
Ability to multitask to meet numerous deadlines in a fast paced, dynamic environment
Energetic and self- motivated team player
Strong technology skills with good knowledge in working with excel and power point

Middle Office Operations Group Operations Analyst Resume Examples & Samples

3+ years experience closing par and distressed US and European loan trades as well managing multiple cash and position reconciliations
Previous experience liaising with Agent Banks and Trustees
Knowledge of CLOs, Closed End Funds and structured finance

Middle Office Operations, Tradebook Resume Examples & Samples

Amending and allocating of client trades in a timely and accurate manner
Generation of client confirmations, when required
EOD reconciliation of CFD / Swap trades both internally and with clients prime brokers
Establish and maintain excellent relationships with all clients and become central point of contact for all clearing related issues
Preparation and examination of Failed Trade Reporting
Investigation of failed trades with preparation of interest claims to relevant counterparts as well as market claims and Buy-In letters
Maintenance of all internal systems to reflect costs / errors / revenues arising from daily business practices
Resolution of unmatched items
Foster excellent relationships with Sales, Trading and Back-Office
Top Client and High Value trade analysis
Monitoring of daily reports to ascertain the need for borrows in order to facilitate onward deliveries and reduce financing costs
MIS Reporting
Ad hoc client reporting
Liaising with Bloomberg Tradebook's clearing agent regarding the set-up of client settlement / allocations details
Liaising with Bloomberg Tradebook's various counterparties regarding the set-up of new client accounts
Maintaining and updating pricing rates on the Tradebook platform for new and existing clients
Liaising with relevant departments to maintain and implement client requests, such as pricing revisions, company name-changes, and new user enablements
Involvement with projects / systems enhancements, e.g. testing and introduction of new markets, review of department procedures
The successful candidate will have a minimum of 3 year's experience within an operations department and be used to liaising with trading desks, sales representatives and project teams
A team player with strong interpersonal and communication skills
The ability to speak a language, other than English, is beneficial but not necessary
Some knowledge of compliance AML / KYC processes
Some knowledge of current regulation impacting the financial industry
Proven relationship focus, especially liaising with top tier clients
Excellent prioritizing skills
Proficiency using Microsoft Suite

Back / Middle Office Operations Resume Examples & Samples

Responsible for the timely and accurate management of all corporate action events in 39 markets across Europe, Africa and the Middle East, including the UK
Will be required to work in a high risk, high volume and fast paced environment
Responsible for ensuring the successful processing of clients' high value corporate actions instructions within competitive and challenging deadlines
Accurate posting of clients' corporate action entitlements and reconciliation activities

Assistant VP-middle Office Operations Resume Examples & Samples

8-12 years of experience within Financial Services Industry
Strong leader with solid business judgment
Strong technical and analytical skills
Ability to summarize issues, develop recommendations and make decisions
Ability to be proactive and take initiative
Self-motivated and a self-starter
Energetic and enthusiastic
Strong computer and spreadsheet skills
Hedge Fund experience
MBA, CPA, or CFA

Middle Office Operations Manager Resume Examples & Samples

The Middle Office team has responsibility for all processes relating to middle office services, act in partnership with HPWS PIM ICs and their CRM’s
3-5 years of experience in the brokerage or asset management industry
Post-secondary degree in Finance or Accounting or accounting designation or equivalent experience
Proficient in Microsoft Excel, Word and Access
Ability to motivate and lead people by employing appropriate management styles
Strong analytical and problem solving skills
Strong judgmental skills to identify and resolve problems and make good decisions
Ability to work autonomously, delegate and plan appropriately, as well as work collaboratively with various groups to drive high quality results
Demonstrated success in leading high performing team
Ability to work independently within a dynamic environment
Solid understanding of HSBC's compliance and oversight framework
Experience and comfort dealing with external vendor/service provider relationships
Experience acting as primary departmental escalation point
Experience with account opening/maintenance preferred
Experience with AML/KYC screening preferred (Word Check / Watchlist)
High proficiency with MS Excel and MS Access
High degree of proficiency in written/oral French a definite asset

Entry Level Middle Office Operations Resume Examples & Samples

Building and maintaining client relationships, and serving as a liaison between clients and prime brokers/counterparties
Interacting with various internal SS&C GlobeOp departments such as Fund Accounting, OTC Operations, Investor Services and IT
Bachelors degree in Finance or related field
Financial product knowledge
Solid MS Excel knowledge
Good written and verbal communication skills
Solid analytical skills and problem solving abilities
Excellent team skills and be capable of working within a group toward the completion of a single goal

Middle Office Operations Specialist Resume Examples & Samples

The position makes decisions within an assigned level of authority; decisions beyond the specified scope are referred to management for approval
Role requires a minimum of Associates Degree in Business or related work experience in related field
Knowledge of mutual fund or investment/securities industry and function of unitholder services/back office and/or client relationship management is required
Ensure on-boarding of new PIM accounts within agreed service levels
Co-ordinate with various areas to ensure timely transfer of accounts and closure of accounts
Ensure timely and accurate updating and maintenance of static data changes in Telemagic (client relationship management application)
Ensure timely and accurate set up of accounts in custodial and portfolio enquiry systems
Assist with quarterly client statements generation for PIM accounts. – Ensure accuracy
Coordinate and manage resources to produce and generate quarterly client statements for PIM accounts
Consistent delivery of service to PIM front office per agreed service levels

Middle Office Operations Otc-accounting Analyst Resume Examples & Samples

Approachable: Required for dealing with external sources & other staff members
Understanding of service providers to a hedge fund
Time Management Skills: Deadlines are regular and must be met
Logic / Reasoning Skills: A clear and efficient thinker will be more effective with reconciliation’s
Experience in most of the following areas: trade life cycle, margin calculations, daily investment accounting, reconciliation, pricing and corporate actions

Middle Office Operations Specialist Resume Examples & Samples

Ensure timely and accurate set up of accounts in Portfolio Enquiry
Assist with quarterly client statements generation for PIM and Institutional accounts. – Ensure accuracy
Coordinate and manage resources to produce and generate quarterly client statements for PIM and Institutional accounts

Middle Office Operations Analyst Resume Examples & Samples

Review, analyze, and enter client information and transactions into multiple systems including Trust 3000, NxAS, Trust Office and Filenet Imaging Systems in order to fulfill monetary and non-monetary requests for high-net-worth client accounts
Interpret monetary requests to determine the correct course of action. This requires an understanding of the high net worth client’s goals and objectives as well an understanding of SEI’s guidelines and procedures
Develop a deep understanding of the current compliance related rules that govern the Financial Services Industry including but not limited to Anti-Money

Middle Office Operations Analyst Resume Examples & Samples

Ensures a high degree of operational efficiency, processing accuracy and conformity to the Bank’s strategy, objectives and regulations by
Ensures and seeks to maintain delivery of high quality customer service and contributes to promoting an overall excellent client experience by
Participates in effective mitigation of operational risks inherent in the SBL Middle Office by executing tasks/activities. This includes
Working closely with the trading desks, timely input and accuracy of trades to facilitate entry into the Bank’s settlement, accounting and financial reporting applications
Reconciliation of all trading and related event activity reflected between front and back office systems
Co-ordinating with GWO and Counterparties with regard to contract and rate matching, confirmations and settlement in adherence with local market regulations and internal Bank policies. Ensuring discrepancies are accurately documented, escalated in a timely fashion and resolved while minimising opportunities for losses
Ensure the accurate and timely input of static into the relevant operational applications and platforms in accordance with internal policies, documentation and controls
Specific duties include but are not limited to
Equity Collateral Management – Pledging, releasing and monitoring exposure related to equity for equity trading books
Contract Compare – fee, rate and dividend management across all regional trading books; timely communication to front office to ensure accurate month end fee reporting
Recalls – detailed management and reporting of all recalls to ensure potential exposures are covered and communicated to trading desk to avoid default
Ability to act decisively, calmly and demonstrate good judgement under tight deadlines within a dynamically changing, highly regulated environment, while equally demonstrating tact and diplomacy in completing work activities by demonstrating sensitivity to client concerns and interests
Effective organizational and prioritization skills, and the ability to quickly recognize and deliver solutions from conception to implementation within a deadline driven environment
Demonstrated understanding of related systems/platforms currently deployed in the operating environment including Broadridge (BPS / Wilco GLOSS), Global 1, Loanet, Anvil, Equilend, Pirum

Senior Manager, Middle Office Operations Resume Examples & Samples

Knowledgeable of Middle Office/Investment Operations’ policies and procedures, including but not limited to: trade support, cash management, transfer agency, MIS reporting and on-balance fund operations
Identify and resolve operational issues promptly
Possess good understanding of the MAM-Asia product offerings and clienteles
Develop and maintain accurate portfolio information for external clients, investors, brokers, custodial banks and internal portfolio managers
Perform day-to-day functions related to trade settlements with timely resolution of issues
Seek and recommend workflow process improvements for Management and assist in the creation and implementation of new procedures and controls
Build enhanced procedures and controls within the Investment Operations team to ensure consistently high quality services to the front office, clients and other business units
Evaluate, recommend and develop best practices and controls and streamline operational processes
Manage the relationship with custodian banks and internal/external counterparty such as brokers to monitor the quality of services and ensure good market practices are offered and delivered timely and accurately
Collaborate with peers, other business units and functions amongst Asian territories
Participate in projects as and when required
Bachelor’s degree in Accounting, Finance or Business with 5+ years’ experience in the securities industry and/or investment operations; with at least 2+ years’ direct experience working in a Middle Office Operations environment
Strong communication skills. Ability to understand, analyse, complex situations to derive solutions, articulate to, negotiate and influence business stakeholders
Encourage and drive changes within a highly dynamic, fluid environment. Comfortable in challenging traditional processes to strive for efficiencies
Ability to cross leverage skills among the teams around him/her and work collectively to achieve the best possible outcome
Knowledge and experience with trade process/settlement, corporation actions, fund accounting/valuation, investor services support and price control is an advantage
Common computer skills (Microsoft Office, Lotus Notes) assumed. Business systems (Bloomberg, OMGEO CTM, Portia) preferred
Pricing and valuation knowledge preferred
Strong problem solving skills with the ability to research issues where the resolution is not readily apparent
Good team player with strong written and verbal communication skills and the ability to build relationships across multiple levels and investment / corporate business units
Computer literacy with common PC applications (i.e. familiarity with Microsoft Office), and experience with portfolio management and accounting systems an advantage

Baam-middle Office Operations Intern Resume Examples & Samples

Execution and reconciliation of monthly trading activity to hedge fund managers and custodians
Daily interaction and reconciliation of cash with treasury team
Maintain transaction data in internal systems
Assist with the documentation of operational performance metrics
Month End Trade Ticket support
Trade Settlement: Contract notes, Trade Reconciliations
Broad understanding of finance
Highly diligent
Strong technology skills

Middle Office Operations Processing Analyst Resume Examples & Samples

Learn all facets of the Middle Office Operations, Document Management, and/or Quality Control areas as appropriate
Work in conjunction with Supervisor(s) and other Senior(s) to delegate daily responsibilities, adjust resources, delegate project assignments and resolve exception requests
Proactively identify opportunities to improve current processes or workflows
Appropriately identify errors, provide feedback, identify trends and/or contributing factors, and recommend solutions to operations associates
Act as Supervisor of the team when the Supervisor is out of the Office or not available
Ability to handle and resolve elevated phone calls with external clients
Provide the highest level of quality possible when completing a client request
Maintain the highest level of confidentiality and privacy

Wealth Management Credit Middle Office Operations Resume Examples & Samples

Define project scope, targets and deliverables that support business goals in collaboration with senior management and stakeholders
Excellent client and stakeholder communication and management skills, including expectation and scope management
Ability to process, organize, and analyze complex data and information, resulting in the synthesis of a root cause analysis or an optimal solution approach, depending on the situation
Ability to produce documentation at all levels, client service and technical writing skills, coupled with a strong interest in further developing and integrating systems knowledge with technology skills
Define user acceptance test plans and test case. Execute user acceptance testing of new platform or upgrades to existing platforms. Responsible for understanding results and providing sufficient information to senior management to enable signoff on a deliverable
Experience with preparing various metrics related to projects or programs
Drive implementation of process and workflow recommendations
Self-starter, and results oriented, problem solver; ability to work well as a team member, as well as independently with minimum supervision
Knowledge and practical understanding of credit and credit operations preferred
Knowledge and practical understanding of financial markets, asset types, FINRA, NYSE
Working knowledge in Microsoft Visio, PowerPoint, Excel, Access, SharePoint
Experience in creating business process flows, developing business processes and procedures
Bachelor or Master degree in Management Information Systems (MIS), Computer Science, Operational Research, or Business Administration (or concentration in any of those) preferred
Series 99, or will obtain within 3 months on the job

Middle Office Operations Specialist Resume Examples & Samples

Validate and scrub corporate actions received from custodians and vendors
Create a gold copy and follow-up for any differences in dates, terms, restrictions, etc
Track deadlines, send reminders to clients, check position breaks and process clients instructions
Follow-up with custodians for event notices, participation documents and receipt of instructions
Prepare and send reports to clients and accountants
Participate in UAT and any other projects as assigned
Client servicing to support 24x5 global pass-the-book model
Interact and participate in global calls and projects with counterparts in Europe and US
At least 1 year of experience in processing of APAC corporate actions
Experienced candidates may be considered for senior level position and fresh graduates may be considered
Willingness to learn and take responsibility, possess positive attitude, can-do spirit, resilient, flexible with ability to work with staff of different cultures, age groups and seniority level
Must be able to work on Singapore holidays and shift hours including early morning
Customer service oriented with strong English oral and written communication skills
Knowledge of Trade confirmation and settlement for equities/fixed income/FX will be an added advantage

OTC Middle Office Operations Resume Examples & Samples

Knowledge of Securities, specifically OTC derivatives: Need to know basics including:, equities, fixed income, standard derivatives and where to look for information on others. Knowledge on OTC’s a distinct advantage
Knowledge of securities Understanding of service providers to a hedge fund
Management experience with onshore and offshore teams
Proven professional skills,extensive years of experience in hedge fund accounting/Middle Office operations or similar role. Experience in most of the following areas: trade life cycle, margin calculations, daily investment accounting, reconciliation, pricing and corporate actions

Middle Office Operations Analyst Resume Examples & Samples

Daily communication with clients to agree upcoming cash flows
Investigation and resolution of client fails through various means, including daily interaction with trading desks, sales desks and middle office groups to ensure prompt resolution
Reconciliation and analysis of aged breaks
Client and Business Unit relationship management
Responding to client queries relating to position breaks, corporate action bookings and reporting
Collaborating with Operational management, sales, and trading desks to diminish risk through escalation and strong communication
Acting as a process owner and being accountable for all outstanding items
Developing and improving existing processes and reporting
Working as part of the global settlements team to assist with development, testing & implementation of internal system changes

Global Middle Office Operations Manager Resume Examples & Samples

End to end operational delivery across all Middle Office Services including Portfolio Accounting, Trade Processing, Voluntary Corporate Actions and Investor Reporting
Oversight of all offshored functions to Global Processing hubs in Gurgaon and Warsaw and ultimate accountability to meet and exceed client service standards
Direct responsibility for 10 people with additional oversight responsibility for 70+ employees located at offshore hub locations
BS/BA degree in relevant subject (e.g. Finance, Accounting, Mathematics, Management) or equivalent work experience
Minimum 10 years’ experience working in an Asset Management or Fund Services business with at least 5 years in Middle Office Operations
Demonstrated experience leading people and developing effective and diverse teams across a regional footprint, delivering exceptional results
Ability to establish and build trust with professionals throughout the business as a leader, advisor and business partner to the organization with a clear client orientation
Superior client interaction skills, with an ability to evaluate needs and develop solutions
Excellent communications skills; written, verbal and presentations
Strong and efficient organization skills
Enthusiastic, driven and results focused
Must be strong self-motivator with ability to work off own initiative
Proven ability to assist with the introduction of complex change in a challenging environment
Strong awareness & management of key operational risks

ABS Middle Office Operations Analyst Resume Examples & Samples

4+ years of experience in Finance and/or a similar Middle Office role
Previous experience with Asset Backed & Mortgage Backed, Securities and Fixed Income
Solid analytical, mathematical, and research skills
Bilingual (English & Italian or Spanish)

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