Capital Markets Operations Job Description
Capital markets operations
provides SME knowledge and experience over hedge accounting and capital to the business and other infrastructure stakeholders, including technical and operational capability to provide an effective solution under Structural Reform.
Capital Markets Operations Duties & Responsibilities
To write an effective capital markets operations job description, begin by listing detailed duties, responsibilities and expectations. We have included capital markets operations job description templates that you can modify and use.
Sample responsibilities for this position include:
Liaise with Front-Office, various internal Operations, Accounting, Legal Teams and external counterparties during the coordination of commercial mortgage fundings and during the warehouse period
Hands on active Project Management of projects
Develop reporting and ensure provision of weekly, monthly and annual KPIs and KRIs
Ensure development practices are ahead of industry best practices, including continuous integration, static code analysis, requirements management, source management, ALM
Timely and accurate processing of Fixed Income securities set-up and maintenance
Assist in compliance with tax obligations (compliance, advisory, planning) regarding the identification, tax treatment and reporting of transactional and operational taxes, particular to the Foreign Account Tax Compliance Act (FATCA), Qualified Intermediary (QI), Financial Transactions Tax (FTT) and forthcoming Exchange of Information (“FATCA like”) regimes
Support all system testing and drive changes to improve process efficiency
Perform a pre-funding review of Settlement Instructions, KYC approvals, loan terms on loan documents compared with credit approval and reconciliation of loan reserves for Commercial Mortgage originations
Coordinate commercial loan funding with internal departments
Process accounting entries and maintain records of loan reserve deposits, rate locks and other fees
Capital Markets Operations Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Capital Markets Operations
List any licenses or certifications required by the position: II, PRINCE, PMP, FMV
Education for Capital Markets Operations
Typically a job would require a certain level of education.
Employers hiring for the capital markets operations job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Finance, Accounting, Business Analytics, Business, Economics, General Education, Financial Services, MBA, Science and Engineering, Marketing
Skills for Capital Markets Operations
Desired skills for capital markets operations include:
Bonds
Market infrastructure
Futures and money market
Custodians
Front
Hedge funds
Key Structural Reform Initiatives
Middle
MS Office applications
Products and businesses
Desired experience for capital markets operations includes:
In depth knowledge and understanding of Client and Account Maintenance
Solid understanding of Risk Credit Management and Relationships
Become subject matter expert for cash management, wire handing, and the firm’s policies and procedures
Financial Services Operations experience
Series 99 and/or Series 7 license preferred
Experience developing High Availability solutions
Capital Markets Operations Examples
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Capital Markets Operations Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of capital markets operations. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for capital markets operations
- Have a strong knowledge of various DTC products such as equities, corporate and municipal bonds and ETF’S and Repo trades
- Manage and maintain a portfolio of active loan transactions
- Support with execution and closing of loan transactions, including, but not limited to new deals
- Assists with processing trade allocations via the Fidessa Trading System with an Oasys Interface
- Provides support to Traders and Sales personnel
- Provides support to Institutional clients
- Researches and resolves basic Trade breaks
- Balances inventory positions for Trading areas
- Opens Institutional client accounts
- Be hands on, update artefacts, work closely with Operations and Tax counsels
Qualifications for capital markets operations
- Use good judgement, confidentiality and discretion in communicating with colleagues and partners
- BS/BA College Degree, FINRA Series 7 or 99 licensed, or equivalent certification in loan processing
- Past work performance with increasing levels of responsibility
- Prior experience in bank or brokerage operations with ability to show increased level of responsibility
- Typically requires a college degree plus two to three years related experience, or equivalent, and a solid understanding of the technologies required to support STRH Capital Markets
- Proven ability to perform in a fast paced environment, analytical and detail oriented
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Capital Markets Operations Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of capital markets operations. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for capital markets operations
- Verify the accuracy of the processing of Futures trades, daily cash margin payments/receipts
- Coordinate with other operations and technology departments to facilitate the onboarding of new clients
- Maintain/Update operational procedures related to Client Services functions on an ongoing basis
- Assist the Institutional Sales desk in client presentations as it pertains to operations functions
- Develop an in-depth understanding of the margin and fee requirements surrounding futures and options products along with the systems used to manage the margin and fees process.( Including a full understanding of Montreal Exchange and Winnipeg ICE fee and incentive programs)
- Ensure that daily, monthly and quarterly procedures, as detailed in the group’s repository and Standing Orders, are strictly observed
- Manages infrastructure and risk interactions ensuring progress on key initiatives
- Drives environment & risk initiatives such as capacity management, provisioning, security
- Translates technology risk initiatives into clear action plans
- Oversees the organization and cataloguing of supported application infrastructure
Qualifications for capital markets operations
- Monetary Transactions
- 5-7 years experience in financial operations
- Proficiency with Excel and other Microsoft Office tools
- Work experience in Finance/Operations or commercial mortgages
- Ensure correct internal approvals are obtained prior to relevant documentation being signed
- Ensure that Credit and Operations systems are accurate at all times
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Capital Markets Operations Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of capital markets operations. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for capital markets operations
- Work as part of a team handling Voluntary Corporate Action events for a major broker-dealer
- Corporate Action events include, but are not limited to, tender offers (prorated and with consents), exchanges, conversions, rights, warrants, ADR cancellations, Dutch auctions, puts, consents, UIT in-kind distributions, and elections
- Elections will be submitted for securities in book-entry form, physical certificates
- Other responsibilities would include processing early CD redemptions due to death of holder, assisting in process improvement initiatives and process documentation
- Responsible for project level governance forums including steering committee meetings with Senior Management
- Work with Capital Markets PMO to Establish and enforce Project Management best practices within the group
- Identify, report, monitor and resolve CDN Clearing trade reconciliations/exceptions in a timely manner
- Follow up on any unresolved issues as needed
- Support team as the first point of contact for any escalations
- Cover any absences or vacations among team members
Qualifications for capital markets operations
- FORTIS
- Take leadership roles on projects and provide valuable input with various working groups created to
- High degree of numeracy and aptitude for analytical examination of problems
- Demonstrate knowledge of loan agreements and related legal documentation
- Succinctly summarize issues and set out well thought-out solutions
- Ability to prioritise tasks appropriately, whilst operating within a high pressured environment
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Capital Markets Operations Job Description
Job Description Example
Our company is looking for a capital markets operations. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for capital markets operations
- Ensure the accuracy and authorize all rates and prices, which are input into the Infinity System
- Ensure FO input and amend trades into various Capital Markets systems
- Ensure Funds Company deals are captured, re-allocated, and assigned , accurately according to clients and traders’ instructions
- Prioritize the review and processing of all new counterparty set ups for Toronto and London Rates Infinity
- Perform reconciliation of sub-ledger to general ledger uploads
- Perform analysis of valuation breaks as they relate to resolution of identified discrepancies
- Generate report outputs for distribution to supported departments as required
- The will be responsible for end-to-end management of data collation, loading and quality checks, reporting and analysis and product delivery for a set of clients
- Schedule and maintain calendar of appointments, meetings and travel itineraries, and coordinate related arrangements for all supported managers
- Handle high volume of phone calls and exhibit a high level of service and professionalism
Qualifications for capital markets operations
- Experience with reconcilement systems
- InfoLease/Rapport
- Legal Contracts
- Communicate professionally and accurately in written and oral form
- Loan IQ system application knowledge an advantage
- Has an understanding of Fidessa Trading System Thomson/Beta systems
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Capital Markets Operations Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of capital markets operations. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for capital markets operations
- Prepare PowerPoint presentations for townhalls and group planning
- Prepare and submit expense claims for all supported managers and asUSsists in training for the broader department to ensure that all policies and procedures are followed and timely reimbursement received
- Establish and implement communication standards for the department
- Initially, the role will closely support the UK and Ireland markets
- Responsible for performing general support and administrative functions for the Capital Markets group
- Assists with Capital Markets administration deliverables
- Creates and maintains library of a wide variety of template, company-sanctioned marketing materials that may include maps, advertisements, demographic reports, and executive summary brochures for in-house and client presentations using advanced desktop, graphic, and mapping software
- May perform administrative duties specific to department such as, conducting research, updating databases, and preparing collateral marketing materials for mass mailings and communication
- Processes trade allocations via the Fidessa Trading System with Oasys and Interfaces
- Researches and resolves basic and moderately complex Trade breaks
Qualifications for capital markets operations
- In-Depth knowledge of DTCC Corporate Action processing routines, systems, and methods
- Knowledge of DTCC settlement systems and cash movement systems
- Team player with solid communication skills, verbal & written
- Knowledge of 3D preferred
- Chief Administrative Officer Group Liaison
- High School Diploma plus 7 years of industry work experience or BS/BA College Degree and limited work experience