Analyst, Corporate Actions Resume Samples
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Analyst, Corporate Actions Resume Samples
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AK
A Kertzmann
Alexis
Kertzmann
28180 Gianni Path
San Francisco
CA
+1 (555) 401 6300
28180 Gianni Path
San Francisco
CA
Phone
p
+1 (555) 401 6300
Experience
Experience
New York, NY
Analyst, Corporate Actions
New York, NY
Hamill-Torphy
New York, NY
Analyst, Corporate Actions
- Constant review of work process and propose possible alternative ways for improvement
- Responsible for identifying and resolving problems within established guidelines
- Handle clients’ enquiries and provide timely responses
- Check that clients’ instructions are executed accordingly
- Works effectively as a team member but also independently
- Performs other duties that may be assigned from time to time
- Good work knowledge of MS Office applications especially MS Word and MS Excel
Boston, MA
Senior Analyst Corporate Actions
Boston, MA
Weimann-Hand
Boston, MA
Senior Analyst Corporate Actions
- Assist manager in dealing with ad-hoc issues and streamlining operational processes to reduce risk and improve efficiency
- Work with manager to develop or enhance current procedures, improving productivity for team
- Ensure all reconciliation breaks are cleared in a timely manner and provide regular status updates to management
- Where high volumes are projected, flag any potential service delivery issues as early as possible and assist other team members as directed by the manager
- Good working knowledge of Bloomberg and FTS online system (essential)
- Good working knowledge of Excel & Word (essential)
- Continuous improvements to Business processes
present
Chicago, IL
Senior Analyst, Corporate Actions
Chicago, IL
Hills-Cremin
present
Chicago, IL
Senior Analyst, Corporate Actions
present
- May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role)
- Perform custom work for complex events; look for ways to standardize when possible
- Responsible for carrying out timely & accurate interpretation and processing of high risk and complex Canadian, US and Foreign voluntary and mandatory corporate reorganizations. This includes, but is not limited to tenders, offers, payment of rights and warrants, share and cash exchanges, name changes, bankruptcies, consolidations, stock splits, stock dividends, stock spin-off’s, retractions, conversions, plan of arrangements, mergers, redemptions, solicitation fee processing, strips and reconsolidation processing
- Responsible for tracking trading activity during the due bill period on stock splits and stock spin-offs to reduce the level of risk and financial impact to BMO NB
- Responsible for the timely and accurate reconciliation of internal control accounts on a daily and monthly basis. Responsible for resolution of all outstanding securities and cash balances within specific capital reporting timelines. Follow-up with Depositories and Transfer Agents for outstanding Reorganization payments where necessary
- Instruct Sub-Custodians and/or agent of Fund Manager decision, effectively and accurately keep clients and fund managers informed of all actions at all times
- Provide support services to Branch Managers, Investment Advisors and Prime Brokerage. Provide assistance to Equity, Bond, and Derivative Traders as well as Investment and Corporate Banking
Education
Education
Bachelor’s Degree in Value
Bachelor’s Degree in Value
Harvard University
Bachelor’s Degree in Value
Skills
Skills
- Ensuring quality of service through application testing, quality control checks, and data mining
- Knowledgeable of the core aspects of the job
- Your ability to work well on teams and in cross-collaborative environments
- Excellent verbal and written communication skills
- Delivering superior results quickly and efficiently, utilizing effective time management skills
- You have intermediate to advanced knowledge of Microsoft Office applications
- Able to facilitate discussions and reach decisions
- Able to serve as a key subject matter expert and mentor to other more junior level employees
- Your eagerness to learn is driven by self-motivation, curiosity, and ability to ask questions
- Basic Excel spreadsheet skills
10 Analyst, Corporate Actions resume templates
Read our complete resume writing guides
1
Analyst, Corporate Actions Resume Examples & Samples
- Ability to work effectively with minimum supervision
- Must be able to multi task while working with highly variable volume levels
- Basic Excel spreadsheet skills
- 3 – 5 years in securities industry in a fast paced, deadline oriented environment with variable volume levels
2
Senior Analyst, Corporate Actions Resume Examples & Samples
- Technically sound in area of expertise and has broader knowledge of other areas
- Delivers a work product that requires less revision
- Able to facilitate discussions and reach decisions
3
Analyst, Corporate Actions Resume Examples & Samples
- Good oral and written communication skills are required
- Attention to detail is required
- Basic Functional / Industry Knowledge is preferred
- Understanding of banking procedures
4
Assoc Sec Processing Analyst Corporate Actions Resume Examples & Samples
- Review all Corporate Action event information received to ensure detailed understanding of Event and processing requirements. This includes liaising with Depositories, Agents, Trustees and/or Issuers in the market.’
- Provide support to all operational processes, unit and department to ensure timely and accurate execution of client instructions meeting all agent, depository and counterparty deadlines
- Perform within departmental procedures and compliance standards in order to mitigate losses to the Firm
- Provide feedback and participate in on projects at management discretion
- Participate in UAT, implementation and training
- 1-3 years securities experience preferred
- Voluntary Corporate Actions experience preferred
- Ability to follow through to completion on multiple issues at one time is imperative
- Person must be detailed oriented who will adhere to strict processes and controls to mitigate risk
- Individual must be organized and be able to prioritize tasks effectively
5
Senior Analyst Corporate Actions Resume Examples & Samples
- 5 + years of international and domestic corporate reorganization experience is required
- Prior experience within Investment Management operations and a solid understanding of the impact of corporate reorganizations on trading, valuation, fund accounting and performance is required
- Prior experience supporting the front, middle and back office with a focus on customer service is required
- Excellent analytical, written and communication skills is required
- Strong technical skills (Microsoft Excel, Access, PowerPoint and SQL) are required
- Strong research skills and resourcefulness, including familiarity with sources such as Bloomberg, Reuters, Eagle PACE, XSP, eTran+, EDGAR, as well as company and exchange websites
- Thorough knowledge of international markets and related nuances
- Demonstrated ability as a strong team player with the ability to succeed in a fast pace environment
- Supervisory experience is preferred
- Experience with Visual Basics is desired
- Experience dealing with Russell, MSCI, FTSE, and S&P indexes
6
Senior Analyst, Corporate Actions Resume Examples & Samples
- Carries out complex activities with significant financial, client, and/or internal business impact
- Will have direct interaction with relationship staff. Able to serve as a key subject matter expert and mentor to other more junior level employees
- Responsible of completion operational activities and day-to-day work
- More technically sound in area of expertise and has broader knowledge of other areas
- Working with Managers, relationship partners, various counterparties to achieve timely distribution
- Investigation and resolution of outstanding proceeds
- Provide team assistance ensuring the completion of all daily tasks
7
Securities Processing Senior Analyst Corporate Actions Resume Examples & Samples
- The accurate and timely processing of all events assigned. i) Event Creation and Notifications of all events to clients ensuring that they are complete and accurate ii) Incoming instruction chasing to clients and instruction processing iii) Preparation of instructions to the market iv) Preparation of Client Sales v) Payment Processing vi) Settlement of Corporate Action trades vii) Reconciliation viii) Foreign Exchange and Funding
- Adhere to all Departmental Procedures and Controls
- Preparation of weekly/monthly MIS metrics for team and monitor for accuracy and timeliness
- Ensure all Quality Control reporting is completed within the required timeframes
- Ensure DCFC tasks are completed on a daily basis
- Perform causal analysis on process to identify gaps, improvements to process and/or system enhancements
- Liaise with Depositories, Agents, trustees, issuers and Sub Custodians to obtain any clarification of events being processed
- Technical understanding of corporate actions/Income
- 3/5 years Securities processing experience preferably within a Custody operation
- Good understanding of Equity and Fixed Income markets
- Strong Microsoft office skills The incumbent should be a dynamic and resourceful individual They will be expected to be self-motivated and have an active approach to problem solving
8
Intmd Assoc Sec Proc Analyst Corporate Actions Resume Examples & Samples
- Understand the procedures and controls required for all processing impacting Custody accounts in executing complex transactions
- Properly monitor potential errors and ensure adherence to audit and control policies
- Participate in activities related to compliance
- Bachelors Degree preferred
- Must have the ability to work quickly and effectively, operating under tight deadlines
- A motivated individual who can interact with multiple departments, counterparties and various levels of managements
- Excellent PC skills required. Must be able to work with Microsoft Excel, Word, and various other proprietary systems
9
Analyst, Corporate Actions Resume Examples & Samples
- 8) Perform cash and stock reconciliations between custody and accounting systems. Ensure all breaks are updated within standards
- 9) Prioritize email inquiries with internal and external parties and escalate when needed
- 10) Provide coverage for team during absences or as needed
- 11) Ensure completion of all processing through to share availability
- 12) Maintain data for collation and provision to management
10
Senior Analyst, Corporate Actions Resume Examples & Samples
- A College or University degree and/or some related industry knowledge and experience including stock and cash reconciliations
- Exceptional analytical and problem solving skills
- Ability to work as part of a team with minimal supervision
11
Senior Analyst, Corporate Actions Resume Examples & Samples
- Process all corporate action events on global and domestic securities in accordance with established procedures
- Verify dividend income on accounting platform to vendors and internal custody network
- Reconcile accounting positions to custody and investigate any discrepancies
- Perform custom work for complex events; look for ways to standardize when possible
- Handle complex issues and escalate as needed acting with a sense of urgency
- Ability to multitask, ensure accuracy and execute against pre-determined deadlines
- Interact with internal and external clients to provide comprehensive support Accountable for quality, accuracy and timeliness of results
- Identify and report all risk and compliance issues, breaches and suspicious activities
- Maintain specialist knowledge and skills that are essential in performing the job effectively
- Interact with internal and external clients to provide comprehensive support
- Accountable for quality, accuracy and timeliness of results
12
Assoc Analyst, Corporate Actions Resume Examples & Samples
- Responsible for daily quality control, managing error rates, exception review processing and daily reporting. Other duties could also include coordination between onshore and offshore teams
- Analytical skills to reconcile suspense accounts and validate transactions to ensure compliance with corporate and regulatory policies and procedures
- Workflow Management- The Analyst will assist in managing the day to day operations of the department with responsibilities including but not limited to re-allocating workloads, evaluating volumes, assessing productivity, ensuring SLAs are met and providing daily/weekly metrics. Handling escalations, monitoring Siebel workload allocation and providing management reporting
- Process Analysis and Continue Improvement - The Analyst will be responsible for continuously reviewing processes for improvements and consistency
- Minimum of 2-3 years of industry experience
- FINRA Series 99 preferred
- Experience with MS-Office including MS-Access required
- Financial services industry experience using brokerage applications such as DTCC. Prior experience in processing Corporate Actions, Dividends or Settlements with a Securities Brokerage, Bank Trust or Transfer Agency organization is preferred
- Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
- Attention to detail, and ability to follow specific instructions
- Analysis/resolution of data quality issues and queries
- Excellent oral & written communication skills
- Ability to multitask with good time management skills
- Willing and able to work additional hours as needed
- Team-oriented, pro-active, well-organized and able to work in a time critical environment
13
Analyst, Corporate Actions Resume Examples & Samples
- Analyse and interpret corporate action information for both domestic and global securities
- Review and verification of corporate action event information for release to RMs/ARMs and clients
- Close monitoring of event dates and custodian deadlines
- Ensure the timely and accurate treatment of corporate action events
- Liaison with RMs/ARMs and custodians on corporate action issues
- Handle corporate action queries from RMs/ARMs and other stakeholders as required
- Perform stock and cash reconciliation pertaining to Corporate Action entitlement processing
- Provide support to team leads and department head as and when required
- Constant review of work process and propose possible alternative ways for improvement
- Performs other duties that may be assigned from time to time
14
Senior Analyst, Corporate Actions Resume Examples & Samples
- Responsible for carrying out timely & accurate interpretation and processing of high risk and complex Canadian, US and Foreign voluntary and mandatory corporate reorganizations. This includes, but is not limited to tenders, offers, payment of rights and warrants, share and cash exchanges, name changes, bankruptcies, consolidations, stock splits, stock dividends, stock spin-off’s, retractions, conversions, plan of arrangements, mergers, redemptions, solicitation fee processing, strips and reconsolidation processing
- Responsible for reviewing and summarizing Legal Documents, including offering circulars, prospectus, Letters of Transmittal, Proxy Solicitations and Chapter 11 notifications. This also includes all depository bulletins associated with corporate action events (CDS, DTC, BONY). Tax implications, book value, adjusted cost base information and any legal or financial liability must be correctly disseminated. Accurate and timely communication to the IA’s, Traders, and Prime Brokerage must be provided
- Responsible for tracking trading activity during the due bill period on stock splits and stock spin-offs to reduce the level of risk and financial impact to BMO NB
- Responsible for obtaining and understanding potential tax implications from a prospectus on particular stock spin-offs, stock dividends and redemptions. If necessary, calculate the RRSP percentage book values on Reorganizations with multiple components
- Must have sound knowledge of Operation Departments including Trade and International Settlements, Account Management, Document Management, and Account Transfers
- Provide support services to Branch Managers, Investment Advisors and Prime Brokerage. Provide assistance to Equity, Bond, and Derivative Traders as well as Investment and Corporate Banking
- Responsible for the timely and accurate reconciliation of internal control accounts on a daily and monthly basis. Responsible for resolution of all outstanding securities and cash balances within specific capital reporting timelines. Follow-up with Depositories and Transfer Agents for outstanding Reorganization payments where necessary
- Build working relationships with clients/peers within the industry (both external and internal). Enhance business effectiveness and knowledge as a result
- Participate in projects to improve business processes and /or client service. Assist in the development of procedures for industry initiatives when required
- May be required to assist in the timely and accurate processing of proxy and class action activities in addition to the distribution and handling of shareholder communications
- Provide assistance, when required, relating to the timely and accurate processing of physical certificate handling for the Corporate Action Shared Service Centre
- Solid understanding of relevant systems (ADP, CDS, DTC, Euroclear, MPower, Global Plus, SMS, RIS, Panagon, Lotus Notes, Broker Pages, Transaction History Browser, CIC Problem Log) along with MS Word and Excel
- Strong knowledge and understanding not only that of own department’s products and services (tenders, offers, rights, warrants, consolidations, name changes, bankruptcies, consolidations, stock splits, stock dividends, stock spin-off’s, redemptions, mergers, plan of arrangements, proxy voting and processing, class-action interpretation and distribution, shareholder communication, strips and recons, solicitation fees, book value processing ) but also of other various departments within PCG Product Operations (Trade Settlements, Trade Administration, Document Management, Asset Management, Account Management)
- Solid understanding of the risk and regulatory issues related to the securities industry
- Must be able to work in a fast paced and detail oriented environment
- Sound knowledge of transactions, work-flow priorities and deadlines of processing areas that interface within the department
- Post secondary education or 3-5 years of equivalent experience in financial services related industry
- Good working knowledge and understanding of PCG Product Operations business, services and organization
- Completion of or working towards Canadian Securities Courses (CSC) or equivalent
- Excellent prioritization and multi-tasking skills
- Strong decision making and problem solving skills
- Strong organizational skills to prioritize various tasks and projects
- Superior client service skills
- Highly detailed oriented
15
Analyst, Corporate Actions Resume Examples & Samples
- Process issues via the Investment Management corporate action system
- Effectively and accurately keep portfolio managers advised of all event details at all times
- Input instructions for voluntary issues, for onward transmission to the custodians
- Utilise custodian on line systems both for corporate action information and instructions
- Maintain reconciliation breaks to ensure that they are investigated and resolved in a timely manner
- Actively participate in team discussions and make suggestions that lead to quality, resource and target orientated improvements
- Follow documented procedures to ensure team compliance with industry regulation and best practice
- Global Corporate Actions experience essential
- Strong client relationship skills
- Good communication skills, both oral and written, at all levels, from other teams, peer group and management
- Accuracy
- PC Literate
- Demonstrate strong time management skills and the ability to balance the demands made by a change in circumstances, with the on-going job requirements
- Take responsibility for own actions and recognises the impact on others and the business
16
Analyst, Corporate Actions Resume Examples & Samples
- Resolve client and partner-area inquiries within established
- 2-3 years of experience in corporate actions. Ideal candidate
- Familiarity on Corporate Action event processing
- Be able to reconcile both cash and security exceptions using
- Analytical skills to identify, research, and resolve inquiries
17
Senior Analyst Corporate Actions Resume Examples & Samples
- Process complex corporate actions for the Fund Accounting group
- Ensure all relevant dividend entitlements are reflected accurately and on time
- Where high volumes are projected, flag any potential service delivery issues as early as possible and assist other team members as directed by the manager
- On-going daily adherence to daily controls and communication of any new training ideas or suggested procedural changes to manager
- Assist manager in dealing with ad-hoc issues and streamlining operational processes to reduce risk and improve efficiency
- Liaise with key stakeholders
- Work to strict daily deadlines and ensure both timeliness and accuracy
- Work with manager to develop or enhance current procedures, improving productivity for team
- Ensure that all queries from internal and external parties are dealt with efficiently and professionally
- Ensure all reconciliation breaks are cleared in a timely manner and provide regular status updates to management
- Assist clients and staff members in complex problem resolution
- Ensure that specialist knowledge is kept current amongst team members and seek out information on funds industry developments and market trends
- Bachelors degree in Finance, Accounting, or other relevant areas of study preferred
- 3 years of experience
- Excellent communication skills – written and verbal
- Concern for quality and timeliness
- Continuous improvements to Business processes
- Analytical skills are required to research and resolve
- Excellent Numerical/Financial Analysis
- Strategic delivery/ planning
- In depth knowledge of security instruments & Regulatory environment
- Good working knowledge of Bloomberg and FTS online system (essential)
- Good working knowledge of Excel & Word (essential)
- Working knowledge of InvestOne, (an advantage)
- Demonstrate technical knowledge of capital events in global markets
- Knowledge of NAV calculations and impact of Corporate actions on the valuation
- Knowledge and experience of corporate actions in the funds administration business
18
Senior Analyst, Corporate Actions Resume Examples & Samples
- Monitor notifications from Sub-Custodians and external vendors, monitor and process complex issues via the corporate actions system
- Instruct Sub-Custodians and/or agent of Fund Manager decision, effectively and accurately keep clients and fund managers informed of all actions at all times
- Provide day-to-day support and guidance to Corporate Actions Analysts, the Senior Analyst will support the Team Leader with respect to workflow distribution and ensuring the effective the use of staff resources
- Ensure all cash and stock entitlements are fully reconciled and cleared from the SSR system, document and reconcile internal relevant suspense accounts
- Identify, document and disseminate new procedures and controls
- Able to serve as a key subject matter expert and mentor to other more junior level employees
- May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role)
19
Analyst, Corporate Actions Resume Examples & Samples
- Your proven ability to prioritize, meet deadlines, identify operational risks and “red flags”
- Your ability to communicate with staff, senior management and customers
- Your strong written and oral communication skills
- Your strong analytical skills, a high level of reading comprehension and problem solving skills
- You take pride in your work and have a detail-oriented mindset
- Your ability to work well on teams and in cross-collaborative environments
- You think analytically and deliver solutions to complex challenges
- Your eagerness to learn is driven by self-motivation, curiosity, and ability to ask questions
- You have intermediate to advanced knowledge of Microsoft Office applications
20
Senior Analyst, Corporate Actions Resume Examples & Samples
- Process payments within 2 days from being rated. Ensure that any discrepancies are identified and included in CIL spreadsheet and make your manager aware
- Reconcile, resolve, and narrate TLM exceptions for Cash and Stock
- Resolve DML, DTC, and Contract Compare breaks immediately after payment process
- 10 Carries out complex activities with significant financial, client, and internal risk
21
Analyst, Corporate Actions Resume Examples & Samples
- Check and ensure that all corporate action events are processed correctly and promptly
- Ensure prompt notification to clients on voluntary corporate action events such as rights, dividend with options, expiry of warrants, redemption, etc
- Check that clients’ instructions are executed accordingly
- Ensure that clients’ entitlements are protected
- Handle clients’ enquiries and provide timely responses
- Maintain high standard of service quality
22
Systems Business Analyst Corporate Actions Resume Examples & Samples
- Understand the Product/System architecture and functionality, and assesses the feasibility of client requests and applies the features of the various products as applicable
- Gather and document requirements of proposed changes and help set scope definition
- Prepare the appropriate documentation to support clients’ technology requests such as Business System Documents, Test Scripts/Cases, Implementation Checklists and Post Implementation Support Documents
- Develop clear, concise methodology documents, which require proficiency in interviewing skills, workflow analysis, dataflow diagramming, screen design, etc
- Translate and present project concepts into effective visual images which clarify design elements and issues for both business and technical audiences
- Translate system workflows into system configuration
- Identify gaps in current products or solutions, and recommend and create new solutions to fill these gaps
- Maintain issue log; coordinate and support communications surrounding both systems and user acceptance for assigned projects
- Identify, mediate, resolve and eliminate miscommunications between business and technical project team members
- Ensure methodology is followed for project; provide meaningful feedback in accordance with departmental standards and guidelines
- Participate in development of test strategy, test plans and test cases
- Participate in test execution and document results
- Conduct user training
- BA/BS degree and/or related work experience in Corporate Actions processing
- Expert analytical skills and 3-5 years of proven experience in systems analysis, defining and documenting business requirements and performing traceability of all relevant documentation, preferably at a financial services company
- Skills to handle multiple projects simultaneously
- Knowledge of all phases of the Systems Development Life Cycle required
- Operational business knowledge is preferred
- At least basic technical knowledge: programming skills, knowledge of SQL, database design, infrastructure, Mainframe
- Ability to analyze current workflows and identify opportunities for improvement
- Interviewing skills
- Familiarity with requirements management tools
- Experience working with a Global team
- Great communication and organizational skills
23
Analyst, Corporate Actions Resume Examples & Samples
- Ensures day to day deliverables are met. Checklists are to be prepared and submitted to the next level on a daily basis
- Expected to use some initiative but refer more complex problems to supervisors/experts
- A College or University degree and/or some relevant work experience is preferred
