Analyst, Settlements Resume Samples

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LB
L Bergstrom
Lincoln
Bergstrom
605 Russel Fork
Dallas
TX
+1 (555) 620 2014
605 Russel Fork
Dallas
TX
Phone
p +1 (555) 620 2014
Experience Experience
Los Angeles, CA
Settlements Senior Analyst
Los Angeles, CA
Ferry-Osinski
Los Angeles, CA
Settlements Senior Analyst
  • Work with the team Leader to organise training within the team to ensure cover and development for the junior members of the team
  • Work on system and process enhancements
  • Work on system and process enhancements; review and update document procedures on a regular basis
  • Process all Incoming messages into Order and Trade Manager application (order routing) or NCS application (Asset Servicing processing) within agreed timeframes
  • Will often take responsibility for task including deputising for Team Manager at meetings/ calls
  • Align to the Operating Principles and VOE initiatives within the team
  • Understand the Risks and Controls in the team and maintain a pristine control environment minimizing BSER/NBSER exposure for the team
Dallas, TX
S&D Settlements Senior Analyst
Dallas, TX
Hand, Gerhold and Walsh
Dallas, TX
S&D Settlements Senior Analyst
  • Manage client relationships and demonstrate competence in improving and turning around relationships at risk; seek and create the best possible solutions for clients requiring customized services, greater efficiencies, timeliness and overall quality of services performed. Actively participate with Senior Relationship Management on client conferences and visits
  • Process reengineering, identify, manage and drive technology developments for LATAM markets. Activities include review existing processes, Securities transaction and cash transaction, third party FX processing, , Depository Settlements, Cash and Asset Reconciliation, Account Openings and timely resolution to Customer queries and investigations. Write BRD’s , coordinate and execute systems UAT testing
  • Act as a “Project Manager” while working with Client Executives, Product, and Operations to ensure all components of a client on-boarding are setup in an accurate and timely manner
  • Act as advocate for clients in product development and continuous process improvement by engaging and collaborating with business partners and harness the span and scope of information to focus on issues and opportunities to deliver differentiated services and solutions
  • Manages workflow within the department/ function; entails managing volumes and ensuring work is handled efficiently, acts as SME, handles escalations prior to going to manager, may resolve complex or escalated transactions
  • Become a key member of the desk support model that serves as the single point of contact for operational issues, such as queries and concerns from the desk and operational partners
  • To support the daily maintenance of Agency Securities Lending and investment transactions by assuring timely and accurate issuance of instructions and/or settlements
present
New York, NY
Senior Analyst, Settlements, Transfer Agency
New York, NY
McLaughlin, Romaguera and West
present
New York, NY
Senior Analyst, Settlements, Transfer Agency
present
  • Analyse monthly management information and provide results to the Accounts Manager
  • Assist in the continued process of TQM (total quality management)
  • Development / Testing
  • Monitor ERM's, Assist on the queries and liaise with other departments where necessary
  • Production of Daily, weekly and monthly stats/KPI's
  • Responsible for controlling the cheque books
  • To liaise with clients and brokers on a regular basis, ensuring all queries are dealt with in the agreed timescale
Education Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
New York University
Bachelor’s Degree in Accuracy
Skills Skills
  • The ability to work within tight deadlines
  • Knowledge of the Brokerage and/or Custody Industry
  • Working knowledge in of Word, Excel, Access -
  • Knowledge of Margin Processing
  • Strong Customer Service skills
  • Ability to handle and prioritize multiple tasks
  • Collection of past due receivables
  • Be detail oriented with a focus on organization and accuracy
  • Oversee Booking receivables, reconcilement of incoming payments.,
  • Strong analytical skills
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7 Analyst, Settlements resume templates

1

S&D Settlements Senior Analyst Resume Examples & Samples

  • 4+ years of industry and Experience
  • Need to be fluent in Spanish. Knowledge of Portuguese is a plus
  • Advanced knowledge of Microsoft applications (EXCEL/ACCESS/Power Point)
  • Ability to execute strategies that are aligned with business goals
  • Ability to take ownership of initiatives
  • Detailed and highly organized with strong analytical skills
  • Knowledge of securities operations, transaction processing services and product requirements
  • Knowledge of LATAM capital markets is a plus
2

S&D Settlements Senior Analyst Resume Examples & Samples

  • Identify control deficiencies and implement appropriate procedures to mitigate any risk or control losses
  • Oversee the roadmap for a successful relationship with a client by understanding the client’s service needs and gaps in delivery
  • Develop end-to-end capability, infrastructure and process improvement plan to support improved quality service
  • Deliver global consistency in appearance as well as processing Identify potential enablers and barriers to success by tracking root cause and driving improvement projects
  • Drive team to deliver against improved client satisfaction scores, revenue goals and expense reduction initiatives
  • Industry Knowledge: Demonstrated Product and Industry knowledge
  • Ability to effectively delegate
  • Well-developed management and supervisory skills
  • Good business/organization judgment-ability to make a good business decision
  • Risk Management: Ability to effectively mitigate risk within the operating environment
  • Able to communicate clearly and concisely in all aspects of the job and with multiple audiences in mind
  • Teamwork/ Interpersonal: Well-developed interpersonal skills
  • Ability to manage multiple objectives through effective time management and project management
  • Ability to develop innovative and creative solutions
3

Settlements Senior Analyst Resume Examples & Samples

  • Understand the Risks and Controls in the team and maintain a pristine control environment minimizing BSER/NBSER exposure for the team
  • Align to the Operating Principles and VOE initiatives within the team
  • Build a good working relationship with other departments and external 03rd parties (Fundsettle and Vestima and Transfer Agencies) and enhance those relationships to improve the service standards, team processes, systems and procedures within the team to improve process efficiency, expansion of the product and reduction of manual intervention
  • Review and update document procedures on a monthly basis
  • Be fully familiar with the Product service standards and act as guidance point for junior members of the team
  • Required to manage work-flows for the team; excels at delegation, multi-tasking, prioritisation and follow through
  • Demonstrable confidence in dealing with external parties in a professional environment
4

Analyst, Trade & Settlements Resume Examples & Samples

  • Daily metrics reporting and ensuring reconciliation exceptions are cleared in line with internal and regulatory guidelines
  • Work with internal teams to ensure consistent delivery of excellent client service
  • Continuous development of the department’s risk framework, and ensuring that regulatory requirements are understood and met
  • The ideal candidate will have strong analytical skills, be able to work accurately under pressure in a time critical environment, be able to work as part of a team and also using their own initiative. Good organisational and communication skills are essential
  • The ideal candidate will possess a positive, “can do” approach, and will take responsibility for completion of all assigned tasks from inception through to completion
  • Team player, self-motivated and ability to work on their own initiative
  • Proactively learn processes, systems and the background theory of what they are undertaking, and display proficiency in the process and the ability to efficiently solve problems as they arise
  • Aptitude to improve existing processes and apply a methodical yet flexible approach to change
  • Excel, SharePoint and Visio skills would be advantageous, but are not a prerequisite
5

Settlements Invoicing Analyst Resume Examples & Samples

  • Customer Invoice generation for Physical and Financial Energy deals
  • Reconciliation of customer invoices to internal systems, customer records, supply and transportation records
  • Follow up and resolution of settlement and post settlement adjustments.Working as a point of contact between all internal locations, customers and suppliers
6

S&D Settlements Senior Analyst Resume Examples & Samples

  • Identification and escalation of risks inherent to particular situations or transactions and their possible impacts on any area of the Organization
  • Adherence to corporate and business specific Policies and Procedures, monitor of appropriate controls as part of day-to-day responsibilities focusing on and managing the below topics
  • Practical work experience in DCC department
  • Knowledge of Microsoft Office package and Outlook
  • Knowledge of Italian Market (desirable)
  • Knowledge of Citi Policies and business specific procedures
  • Knowledge of Outsourcing program
  • Knowledge of the Citi Organizations and roles to correctly identify partners for the various activities
  • Fluent English and Italian (written and verbal)
  • Excellent communication skills (written and verbal) at all organizational levels
  • Proficiency in the use of computer applications and packages
  • Ability to prioritize and organize own workload
  • Ability to work well within team environment displaying willingness to help colleagues when required
  • Extensive years of business related experience
  • Advanced interpersonal and listening skills for problem identification and resolution
7

S&D Settlements Senior Analyst Resume Examples & Samples

  • Responsible for ensuring timely complete and accurate processing of transactions, including performing all relevant controls
  • Build and maintain a good rapport with internal & external stakeholders
  • Communicate effectively within the team, the business units objectives and operational expectations
  • Ensure the stock loan business is run in compliance with regulatory bodies
  • Become a key member of the desk support model that serves as the single point of contact for operational issues, such as queries and concerns from the desk and operational partners
  • Centrally facilitate new client onboarding (TBD)
  • Point of contact for new business initiatives
  • Coordinate high priority transactions / market issues
  • Manage operational regulatory and audit reviews
  • Partnership with product development on front-to-back change initiatives, including testing and migration of core processing onto strategic platforms
  • Coordination of process improvements with near and far shore centers
  • Regulatory change (T2 etc.)
  • 3+ years of working knowledge of domestic and international stock loan day to day operating model
8

S&D Settlements Senior Analyst Resume Examples & Samples

  • Ability to monitor the work of others and provide constructive feedback
  • Participate in annual performance reviews
  • Experience with Citi custody systems required
9

S&D Settlements Senior Analyst Resume Examples & Samples

  • Responsibilities Include
  • Ability to understand the end-to-end process for Agency Lending client/borrower on-boarding and maintenance, which includes, but is not limited to
  • Required information/documentation to on-board a new client and/or perform static maintenance
  • Custody account setup process (must be knowledgeable)
  • Agency Lending account setup (must become an expert)
  • Global market nuances
  • Oversee input of Agency Lending static data directly into system, while fully understanding the meaning of each field and downstream impact of inputs/updates
  • Act as a “Project Manager” while working with Client Executives, Product, and Operations to ensure all components of a client on-boarding are setup in an accurate and timely manner
  • Participate in the build-out and training of a new Agency Lending core system
  • Responsible for the development of goals and objectives for the staff, as well as the specific goals and objectives of individual team members
  • Serve as escalation point for internal and external clients
  • Ensure that all audit and control requirements are met
  • Liaise with Product, Client Executives, and Operations to understand static setup/update requirements
  • Lead Operations component of project Fusion system build-out, especially pertaining to static data requirements
  • Oversee/review setup of static in various core systems, as required
  • Train staff on new procedures or technology enhancements
  • Manage daily activities of the team including appropriate resource allocation, setting and reviewing performance objectives, goals, and target productivity
  • People Management: Set individual performance plans for members of the team in conjunction with the Section Managers and provides coaching and feedback for general performance management issues such as attendance, productivity and quality issues through a formalized review process; participate in development and training plans as needed
  • Ensure overall operating efficiency. Objectives may include standards of conduct, quality standards, performance objectives, and productivity guidelines
  • Serve as the primary first point of escalation for staff members and internal and external clients
  • Serve as the “technical expert”, provide technical guidance to resolve problems
  • Identify opportunities to reduce expense through improved technology builds, process changes, or any opportunities for outsourcing at a lower cost
  • Education: Bachelors’ degree, preferably in a Business related field (Finance, Management, International Business)
  • 5+ years of business related experience
  • Basic Computer skills: Microsoft Excel, PowerPoint, Outlook and Word
  • Strong work ethic and ability to multi-task
10

Analyst, Fixed Income Settlements Resume Examples & Samples

  • Troubleshoot/ resolve most problems independently as per Letter of Authority/ authority levels following established guidelines and procedures. Maintain appropriate audit trails
  • Provide advice in the completion of processes within established guidelines and procedures
  • Ensure receipt of appropriate approvals/ authorizations in accordance with P&Ps and controls
  • Securities processing knowledge, including Agency Mortgage-Backed Security type securities with a broker/dealer or similar institution
  • Fixed income clearing and settlement functions for the BONY depositories
  • Experience in matching/netting thru MBSD is a plus
  • 2 to 3 years of related experience or more
  • Strong processing skills with great attention to detail and accuracy; Good analytical and problem-solving skills
  • Ood analytical and problem-solving skills
  • Ability to multi-task with strict processing deadlines
11

S&D Settlements Senior Analyst Resume Examples & Samples

  • Lead the Trade Processing team to perform the daily tasks on
  • Passionate in Operation and capable to deliver results
  • Leadership skill in leading and managing team members as well as managing clients' expectations
  • Past experience in processing equity, fixed income or FX trades is a must
  • Experience in Asset Management companies or Custodian banks or IB/PB Operations
  • Capable to take responsibility
  • Confident and detail-oriented
  • Self-motivated who takes pride in his/her work
  • Fast learner and can work independently
12

Senior Analyst Derivative Products Post Settlements Resume Examples & Samples

  • Direct involvement in the day-to-day activities in the Post-Settlements team
  • Communicate with clients, front office and product control in order to ensure that processes take place in an accurate and timely manner and that any discrepancies are addressed
  • Provide accurate and informative analysis to senior management staff as requested
  • Participate in projects as they relate to the overall Derivative Products Settlements team
  • Develop and maintain excellent working relations with all involved stakeholders - including but not limited to external clients, Front Office, Product Control, Technology, other GWO areas
  • Ability to manage multiple tasks, meeting tight deadlines, working under pressure, and working with minimum supervision is essential
  • Post-Secondary degree or equivalent experience in financial services (5+ years)
13

S&D Settlements Senior Analyst Resume Examples & Samples

  • Coordinates the efforts of the Securities Service Operations Client Trade Processing team
  • Manages workflow within the department/ function; entails managing volumes and ensuring work is handled efficiently, acts as SME, handles escalations prior to going to manager, may resolve complex or escalated transactions
  • Coordinates team efforts to support transactions for large global/corporate clients, financial institutions, or governments
  • Responsible for training new hires and lower level staff. Provides feedback and coaching to team
  • Process reengineering, identify, manage and drive technology developments for LATAM markets. Activities include review existing processes, Securities transaction and cash transaction, third party FX processing, , Depository Settlements, Cash and Asset Reconciliation, Account Openings and timely resolution to Customer queries and investigations. Write BRD’s , coordinate and execute systems UAT testing
  • Resolves first level employee issues
  • Serves as the “technical expert”, provide technical guidance to resolve problems
  • Provides manager with feedback for performance reviews, and may participate and/or write appraisals
  • Manages projects relative to the group
  • Manages procedural manuals and updates as required
  • Persuades and influences others through strong communication and diplomacy skills to exchange potentially complex/sensitive information
  • BS/BA degree or equivalent combination of education/experience desired
  • 5+ years of direct experience in securities services operations
  • Comprehensive knowledge of Brazil capital market regulation 2689 and Custody Product service offering
  • 100% Bilingual preferred (Portuguese/English)
14

Analyst Derivative Products Post Settlements Resume Examples & Samples

  • Responsible for providing accurate and informative analysis to senior management staff as requested
  • Basic accounting knowledge and Nostro reconciliations is also an asset
  • Solid computer skills (MS Office). Attention to accuracy and extremely detail oriented
15

Analyst, Derivative Products Settlements Resume Examples & Samples

  • Responsible for direct involvement in the day-to-day activities in the Settlements team
  • Responsible for communicating with clients, front office and product control in order to ensure that processes take place in an accurate and timely manner and that any discrepancies are addressed
  • Excellent oral and written communications skills and interpersonal skills to deal effectively with various stakeholders
  • Solid computer skills (MS Office)
16

Analyst, Settlements Resume Examples & Samples

  • Forecast to treasury and settle crude cargo and by-products commodity invoices: actualize volumes, verify pricing, resolve discrepancies, send out receivable invoices and make payments
  • Work closely with the London trading office and Calgary by-products team to ensure timely and accurate settlement of transactions
  • Enter and pay all related transportation, tariff and inspection fees
  • Ensure cash is cleared correctly and follow-up with counterparties on outstanding items
  • Perform SOX duplicate payment review quarterly
  • Document settlements processes and suggest improvements with a view to standardization and efficiency improvement
  • Build tools/models to reduce manual processes and errors while increasing efficiency
  • Respond to auditor requests for information as required
  • 1-3 years relevant oil and gas experience in finance, accounting, settlements, trading or marketing
  • A university degree or diploma in finance or accounting, or equivalent experience
  • Detail oriented with exceptional organizational and prioritization skills
  • Proficient in Microsoft Office, particularly MS Excel
  • A self-starter with the ability to take initiative, review processes with a critical eye and implement improvements
  • Customer service oriented with ability to deal with internal and external customers in a professional manner even under stressful situations
  • Critical thinker with an interest in learning how the supply and trading business operates
17

Settlements Senior Analyst Resume Examples & Samples

  • Work on system and process enhancements; review and update document procedures on a regular basis
  • Become fully familiar with the Product service standards and act as guidance point for junior members of the team
  • Understanding of settlement, asset services, corporate action and fund process services
  • Key point of contact across the Product groups and Operations Seniors
  • Will often take responsibility for task including deputising for Team Manager at meetings/ calls
18

Analyst, Trade & Settlements Resume Examples & Samples

  • The ideal candidate will have strong analytical skills, be able to work accurately under pressure in a time critical environment, be able to work as part of a team and also using their own initiative
  • Good organisational and communication skills are essential
  • Good communication skills, both oral and written Excel, SharePoint and Visio skills would be advantageous, but are not a prerequisite
19

Senior Analyst, Settlements, Transfer Agency Resume Examples & Samples

  • Responsible for reviewing the recording of subscription monies onto the register system
  • Responsible for the Banking and paying out of all cheques
  • Responsible for ensuring all electronic payments for settlement are agreed and paid in line with the regulatory deadlines and SLA
  • To review and sign off the client money transfers and update cashbook
  • Responsible for debtor chasing
  • Responsible for controlling the cheque books
  • To liaise with clients and brokers on a regular basis, ensuring all queries are dealt with in the agreed timescale
  • Monitor ERM's, Assist on the queries and liaise with other departments where necessary
  • Development / Testing
  • Assist in the continued process of TQM (total quality management)
  • Day to day assistance and guidance provided on the processing quality and timeliness in Bangalore, seeking appropriate information from local management there where required
  • To work with the Manager and Group projects area on any allocated Client projects
  • Analyse monthly management information and provide results to the Accounts Manager
  • Maintains a close working relationship with other areas, such as Dealing, Registration, Management Accounts and other internal areas such as the Relationship Managers
  • Demonstrate a good understanding Transfer Agency
  • Demonstrate a working knowledge of Cash Management, Reconciliations and Client money regulations processes
  • IOC or working towards this qualification
20

S&D Settlements Senior Analyst Resume Examples & Samples

  • To support the daily maintenance of Agency Securities Lending and investment transactions by assuring timely and accurate issuance of instructions and/or settlements
  • Assure the settlement of loans against the agreed upon collateral
  • Properly maintain collateral levels by marking to market all loans to contractual levels
  • Assure the settlement of returned loans against the agreed upon collateral
  • Reconcile cash and positions across a variety of venues within prescribed guidelines
  • Issue and maintain worksheets and instructions in due form
  • Ensure strict adherence to policies and procedures
  • Develop close relationships with borrowers and custodians
  • Intermediate to advanced Excel skills Macros a plus
  • Must function in an environment in which planning and organization are key factors in succes
21

Power Settlements Senior Analyst Resume Examples & Samples

  • Accountable for the accurate and timely completion of Settlements activities within the area of responsibility
  • Accountable for ensuring that the operational activity within the area of responsibility is conducted within a strong control framework. Highlight any gaps or issues and in conjunction with the Settlements Team Manager, develop, document and implement mitigations as appropriate
  • Support the integration of new business activity into area of responsibility, ensuring people and processes are aligned and activity is embedded in a controlled and efficient manner
  • Support change activities and projects to ensure successful implementation in area of responsibility
  • Understand the business performance expectations of the team and support the Settlements Team Manager in the measurement and reporting of KPIs for area of responsibility. Provide commentary and actions as appropriate and address root cause of issues
  • Engage with the front office to improve straight through processing of Settlements activities
  • In conjunction with the Settlements Manager, ensure all processes are clearly documented and maintained; support team members in understanding and following documented processes
  • In- depth knowledge of ERCOT or CAISO market settlements
  • Proactively manage non-standard transactions
  • Ability to understand the impact and mitigate risk of non- standard contracts on the standard settlement process
  • Ability to understand the impact of non-standard contracts on market settlements and explain potential risks to Commercial teams
  • Strong team working capabilities
  • Knowledge of SAP, Openlink, Epsilon and Nmarket
  • Strong excel and analytical skills