Associate, Securities Job Description
Associate, securities
provides support in sales and marketing efforts for the full range of securities & fiduciary services and related products, such as securities custody and fund administration.
Associate, Securities Duties & Responsibilities
To write an effective associate, securities job description, begin by listing detailed duties, responsibilities and expectations. We have included associate, securities job description templates that you can modify and use.
Sample responsibilities for this position include:
Working as part of the trading desk to conduct transactions and manage risk
Developing new financial models
Identifying trade opportunities systematically
Perform risk analysis and liaise with trading desks to understand trading positions
Review the Division’s trading activity and compliance with limits
Assist in all aspects of on boarding a new Financial Advisor
Position requires travel and extended stays working out of other JPMS branches when necessary
Receives orders from clients in diverse products
Manage account opening process for new and existing clients
Optimizing and automating inventory management processes in securities lending and funding markets
Associate, Securities Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Associate, Securities
List any licenses or certifications required by the position: ACCA, ACA, PMP, BA, CFA, FSCM, II, PRINCE, PMI, CFO
Education for Associate, Securities
Typically a job would require a certain level of education.
Employers hiring for the associate, securities job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and High School Degree in Finance, Education, Business, Accounting, Economics, Engineering, Computer Science, Graduate, MBA, Communication
Skills for Associate, Securities
Desired skills for associate, securities include:
Macros
Excel
Financial products and services and basic sales concepts usually obtained through related work experience
Fund administration requirements and securities & cash markets
Local and global custody
VBA
Allocations and worked on indirect allocations
CSD/ICSD processes and systems essential
Capital Markets products from several areas
Accounting
Desired experience for associate, securities includes:
Ability to work as part of a global team and deliver results quickly
Knowledge of financial markets or financial mathematics a plus
Bachelors or Masters degree in computer science, engineering, or a quantitative discipline
Broad knowledge of C or Java, general distributed software programming concepts
Knowledge of general Electronic Trading concepts, the Futures asset class, exchange market microstructure, etc
Build new pricing models and extend existing ones for funding products
Associate, Securities Examples
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Associate, Securities Job Description
Job Description Example
Our innovative and growing company is hiring for an associate, securities. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate, securities
- Build applications to perform analysis on complex transactions across different product areas
- Create robust tools that allow fast iteration of business processes in a rapidly changing environment
- Preparing and presenting analysis to a rating committee
- Screening alternative energy investments
- Research and quantitative modeling
- Managing due diligence processes
- Assisting in portfolio management
- Managing external and internal advisors, consultants
- Reviewing deal docs and managing execution
- Researching and evaluating new sectors and investment ideas
Qualifications for associate, securities
- Strong academic background in a relevant field - Mathematics, engineering, computer science, or economics background, including a quantitative understanding of statistics and probability
- Provide marking and quoting tools to the desk
- Provide risk reporting across funding products
- Work on optimizing the funding portfolio efficiency
- Strong academic background in quantitative fields - Computer Science, Applied Mathematics
- Create calculators, reports and tools to give trading businesses transparency into their capital drivers
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Associate, Securities Job Description
Job Description Example
Our company is looking for an associate, securities. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for associate, securities
- Work directly with technology innovators, industry leaders and private companies in an assigned technology based sector to develop and leverage research product suite for institutional investor clients
- Provide Institutional Clients with context and access to the most relevant appropriate Mosaic resource(s) including but not limited to technologists, industry leaders, private companies, and Mosaic proprietary research products
- Manage and maintain strong client relationships along with the development and management of Mosaic research
- Develop new products (industry trends) and capabilities to support client understanding around the research agenda and program
- Development and maintenance of tools across the IRP franchise so that they can be leveraged by all trading desks and the respective sales teams
- Investigate where high-impact change is taking place across the industry and/ or regulatory landscape – evaluating those opportunities for GS
- Lead special projects that identify and propel commercial opportunities in Equities and the Securities Division
- Coordinate projects across multiple teams within the firm, including Sales, Trading, Legal, Compliance, Technology, Strategists, Operations
- Ensure consistency and relevance of metrics across global Equities businesses
- Working with Sales & Trading leadership and Federation to ensure appropriate risk / return analysis
Qualifications for associate, securities
- Options Licensing is preferred
- Candidate will be expected to continue their industry education based on the team’s need throughout their career
- Extensive knowledge and experience in both Equities and Fixed Income products
- Development background in a structured language (C, C++, Java, Python)
- Knowledge of Commodities markets and products
- Sales and trading of cash, derivative and structured products across FICC (Interest rate products, Credit products, Mortgages, Currencies and Commodities) and Equities (listed and OTC trading - shares, derivatives, options, and futures)
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Associate, Securities Job Description
Job Description Example
Our growing company is hiring for an associate, securities. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for associate, securities
- Investigate where high-impact change is taking place across the industry and/ or regulatory landscape – evaluating those
- Opportunities for GS
- Coordinate projects across multiple teams within the firm, including Sales, Trading, Legal, Compliance, Technology, Strategists
- Work closely with Compliance to manage the division’s response to regulatory inquiries including onsite inspections
- Review issues across the division from various sources (Operational Risk, Internal Audit, Compliance, Compliance Testing, Operations and others), escalate to senior management as needed, track issues and review for trends, review for consistency in resolution, and be involved in issue remediation
- Take the lead for corporate governance processes for Securities Division in Japan
- Ad hoc projects and analysis across Securities Division Management
- Provide systematic and quantitative analysis of market dynamics and risk measures, and develop tools to help traders optimize portfolio holdings and satisfy various constraints
- Design and develop automated trading platform from workflow simplification to portfolio hedging or market making in listed derivatives to optimize the franchise trading activities with high level of control
- Improvement of pricing/risk platform/workflow to achieve maximum efficiency
Qualifications for associate, securities
- Relevant industry experience - working in wealth management
- Completion of CSC and CPH is required
- Practical experience and knowledge of best practices project management and knowledge sharing
- Positive and people-oriented communication style that is inclusive and responsive*LI-FB1
- Ability to coordinate and efficiently manage individuals in other divisions (Business, Operations, IT)
- Strong understanding of reference data products in at least one area(eg
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Associate, Securities Job Description
Job Description Example
Our company is hiring for an associate, securities. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for associate, securities
- Help clients to navigate changing market structures, through written educational material and direct conversations
- Focus on project management, deploying a strong knowledge of GS’s business practices, the regulatory backdrop and cross-asset market structure themes
- Develop a good working knowledge of the regulatory rules which the Market Structure Transition team cover
- Work with Federation counterparts to creatively problem solve
- Securities reporting/ compliance
- Corporate governance matters
- Capital market transactions
- Securities and private equity transactions
- This team works closely with the PB Client Service Teams in New York, some direct client contact, and globally with various operations and IT teams
- Investigate and resolve client inquiries
Qualifications for associate, securities
- Series 7 and 66 licenses required for position, and preferred upon hiring, but must be obtained within 180 days of hire
- Canadian Securities Course (CSC) & Conduct & Practices Handbook (CPH) is preferred (or must be completed within 6 months of start date)
- Understanding of wealth management business, sales force and investment products
- Options Licensing (OLC) and Derivative Fundamentals Course (DFC) strongly preferred
- Excellent command of both the French and English languages
- A desire and willingness to immerse themselves in new fields and learn
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Associate, Securities Job Description
Job Description Example
Our growing company is looking to fill the role of associate, securities. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate, securities
- Assist the IA to prepare for client meetings
- Work directly with clients and internal colleagues to document new account regular documentation maintenance for existing clients
- Ensure accurate and timely execution of client payments and transfers
- Automate the pricing, distribution and execution of structured products with particular focus on web distribution, API services and business workflows
- Pro-actively automate workflows and improve existing processes in real-time distributed systems used for low latency and high volume processing
- Maintain a strong understanding of structured products and payoff terms
- Be highly self-motivated, able to independently carry out primary research, and have experience in producing conceptual diagrams and presenting statistical information in a logical format
- Have strong time management skills, as research associates are always working on more than one project at a given time
- Have enthusiasm for developing new areas of research and responding to market developments
- Be sociable and able to build a network of contacts, as research associates are often invited to industry events and conferences
Qualifications for associate, securities
- Team oriented with a collaborative approach
- Capable of dealing with the challenges of a dynamic business
- Strong coding and software design skills, experience in a structured language such as C, C++, Java
- Ability to drive projects in execution
- Prior experience in a commodities, structured finance and/or credit-focused role
- Coordination of business components both within the team (e.g., business development, client support, portfolio management) and with relevant product areas across JPM Asset Management