Associate, Securities Resume Samples

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EG
E Grady
Estevan
Grady
2001 Cremin Cliff
New York
NY
+1 (555) 262 0185
2001 Cremin Cliff
New York
NY
Phone
p +1 (555) 262 0185
Experience Experience
Boston, MA
Securities Lending Associate
Boston, MA
Wilkinson, Keeling and Schiller
Boston, MA
Securities Lending Associate
  • Act as a subject matter expert with regards to securities lending accounting and billing to work jointly with the Securities Lending and Finance team to drive revenue opportunity and maintain the business’ competitive advantage
  • Create and execute custom swap products to help portfolio managers effectively hedge risk
  • Compiling and distributing securities lending market color to execution traders and portfolio managers
  • Support the continued evolution of the Securities Lending technology platform and global process model. Participate in projects as they relate to broader business product and system development, as well as process re-design and improvement
  • Participate directly in the due diligence performed by SLF for new lending opportunities and changes to the existing product, analyzing the operating model and options associated with the contemplated activity
  • Develop and maintain close relationships and partnerships with Securities Lending and other BlackRock colleagues (traders, product managers, technology teams, etc.), as well as with external service providers, partners and counterparties
  • Identify and direct activities related to key change event items related to the SLF business to ensure all areas are engaged in a well-controlled and client-focused manner
Dallas, TX
Securities Financing Associate
Dallas, TX
Tillman, Schaden and Kutch
Dallas, TX
Securities Financing Associate
  • A consistent top performer with a ‘can do’ attitude, embraces the team’s established performance culture
  • Taking responsibility for progressing matters, working with multiple stakeholders to resolve issues and progressing matters to a conclusion
  • Self-motivated with a strong team ethic, creative and can bring new ideas to existing workflows and processes
  • Flexible and hard-working with a high level of accuracy and attention to detail
  • Working collaboratively as part of a team of Negotiators in Birmingham
  • Taking responsibility for the achievement of agreed individual targets
  • Drafting and negotiating complex master documentation including global master securities lending agreements, global master repurchase agreements, commission sharing agreements and any other relevant documentation and subsequent amendments
present
Detroit, MI
Associate Securities Processing Analyst
Detroit, MI
Ernser-Bailey
present
Detroit, MI
Associate Securities Processing Analyst
present
  • Develop strong working relationships with outside Deal Administrators to ensure accurate execution of trades
  • Identify process or procedural improvements within the Ops group with both internal and external partners to create efficiencies
  • Provide feedback to management of any potential client or control issues within the Operations
  • Provide management with daily updates on activities, review issues within the assigned portfolio, and dimension solutions to achieve client satisfaction
  • Manage processing of daily loan activity within highly demanding timelines and competing priorities
  • Work closely with credit and legal
  • Provide excellent customer service to clients
Education Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Quinnipiac University
Bachelor’s Degree in Finance
Skills Skills
  • Hard working, detail-oriented and committed to producing great end results
  • Excellent interpersonal skills including the ability to communicate clearly and concisely with all levels of management
  • A self-teacher and quick learner able to pick up the technical skills necessary for any project
  • Demonstrated ability to prioritize work and manage time
  • Ability to work autonomously or as a member of a team
  • Excellent written and verbal communication skills
  • Ability to thrive in a fast-paced, rapidly changing work environment
  • This job operates in a professional office environment
  • Proficiency in Word, Outlook, and PowerPoint (Microsoft Office Suite)
  • Strong analytical and financial modeling skills
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15 Associate, Securities resume templates

1

Associate Securities Processing Analyst Resume Examples & Samples

  • Bachelor’s degree or years experience equivalent
  • 3 years of security/settlements related experience
  • Previous international experience with LATAM markets preferred
  • 100% Bilingual — Fluent English /Spanish
  • Proficient PC skills (MS Office Suite, Word, Excel, Access a plus)
  • A proven ability to learn new processes and introduce change
  • Proven success as a team player
2

Associate Securities Processing Analyst Resume Examples & Samples

  • Bachelor’s Degree or years experience equivalent
  • 2 years or more finance background with minimum 2 years reconciliation experience
  • Demonstrated ability to lead, motivate and influence others
  • Ability to multitask and prioritize
  • Ability to exercise good judgment
  • Proficient in Microsoft office skills, including v-lookup, pivot tables, etc
3

Associate Securities Processing Analyst Resume Examples & Samples

  • 3 years of securities experience Strong PC skills: MS word and Excel
  • Ability to interact positively with clients
  • Ability to work with high profile and demanding clients
  • Ability to meet deliverables on a timely basis
  • Ability to work productively in a continuously evolving, complex and fast pace environment
4

Associate Securities Processing Analyst Resume Examples & Samples

  • Ability to meet daily deadlines
  • Ability to work in a collaborative team environmen
  • Flexible/sense of urgency and the ability to multi-task
  • Must have a good working knowledge of Excel
  • Word and must be PC literate
  • Familiarity of Depository Trust Corporation clearance and settlement processes is helpful
  • Knowledge and experience in Financial Markets products is a critical
  • 1-2 years of financial services experience is preferred
5

Securities Division Ficcs European Special Situations Group Strats Associate Resume Examples & Samples

  • Developing ALM framework
  • Developing macro risk management strategies
  • Developing capital allocation framework
  • Developing portfolio management system and risk reports
  • Strong academic background in a relevant field - Computer Science, Applied Mathematics, Physics, Engineering
  • Strong programming background in a structured language (For example, C++)
  • Strong quantitative and mathematical skills
  • An understanding of financing markets or the Prime Brokerage business would be beneficial
6

Associate Securities Processing Analyst Resume Examples & Samples

  • Send outgoing and answer incoming margin calls in timely manner
  • Determine eligibility of collateral
  • Book entries for collateral movements
  • Monitor credit risk of all clients
  • Provide excellent customer service to clients
  • Work closely with credit and legal
  • Track movements in mark to market on open positions
  • Settle interest in a timely manner
  • Monitor and resolve collateral balance breaks and fails
  • Knowledge of Microsoft Excel
  • Ability to quickly learn in a fast paced environment
  • Strong planning, organization and process management skills
  • Strong focus on control
  • Must be comfortable with and able to manage complex systems and environments
  • Flexibility with a sense of urgency
  • A proven solution driven approach to problem solving
  • Must have strong interpersonal skills, including strong oral and written communication skills
  • Customer orientation (internal and external) with a commitment to quality
7

Associate Securities Processing Analyst Resume Examples & Samples

  • Bachelor's Degree or Equivalent in related experience
  • 2+ years of Tax or related experience
  • Knowledge of FATCA regulation
  • Strong PC skills, Microsoft Excel, Access (Macros & Database development a plus)
  • Market/product/securities/Tax reporting knowledge
  • Control minded Individual who comprehends Risk
  • Ability to work with high profile and demanding institutional clients
  • Ability to work productively in a continuously evolving, complex, high risk and fast pace environment
  • Managing Work (organization/prioritization abilities/multi-task)
  • Quality Orientation/attention to detail / Follow up skills
  • Team-oriented/team player
8

Associate Securities Processing Analyst Resume Examples & Samples

  • 3+ years of security/settlements related experience
  • 100% Bilingual — Fluent English /Portuguese
  • Excellent client service skills, Proficient PC skills (MS Office Suite, Word, Excel, Access a plus)
9

Associate Securities Processing Analyst Resume Examples & Samples

  • 2 years of business experience
  • 1 year financial experience
  • Experience in the maintenance of international securities lending trades a plus
  • The candidate must be well versed in the Microsoft Office Suite
  • Particular emphasis is on XL and using spreadsheets for balancing and reporting. Macros a plus
  • The candidate must be extremely well organized
  • Must function in an environment in which planning and organization are key factors in success
  • High value is based on teamwork and communications
  • Able to work extra hours when business need dictates and may work US Holidays
10

Associate Securities Processing Analyst Resume Examples & Samples

  • 3+ years of securities experience
  • Strong PC skills: MS word and Excel Ability to Multi task
  • Strong time management skills Ability to interact positively with clients
  • Strong organizational skills Ability to work with high profile and demanding clients
11

Associate Securities Processing Analyst Resume Examples & Samples

  • Recent college graduate
  • Previous international experience with Latam markets preferred
  • Bilingual - Fluent English / Portuguese or Spanish required
12

Valuation Associate, Securities Resume Examples & Samples

  • Bachelors degree in Finance, Economics, or quantitative-related subject
  • 2-5 years of experience in Asset Valuation/Product Control/or Investment Support
  • Knowledge of financial securities valuation principles and practices
  • Advanced Excel modeling, data manipulation and PowerPoint skills
13

Associate Securities Processing Analyst Resume Examples & Samples

  • Develop and maintain strong relationships with internal clients to ensure delivery of Private Bank products to Citi clients
  • Ensure daily processing of all loan activity including utilization of the Flexcube/Credit Platform/WINS product processors
  • Responsible for ensuring all activity is conducted in accordance with audit policy, procedure and appropriate controls
  • Maintain or exceed key performance identifiers at or above published expectations
  • Manage processing of daily loan activity within highly demanding timelines and competing priorities
  • Ensure compliance of all activity within the terms of applicable credit agreement
  • Provide feedback to management of any potential client or control issues within the Operations
  • Identify process or procedural improvements within the Ops group with both internal and external partners to create efficiencies
  • Customer/client facing experience in a Financial Institution or related industry a plus
  • Previous experience with Flexcube product processor is a plus
  • Experience with accounting and reconciliation a plus
  • Bachelor’s degree or equivalent job experience
  • Excellent organizational and time management skills a must
  • Superb written and verbal communication
  • Proficient in Microsoft Office with focus on Word and Excel
  • Able to effectively analyze legal documentation such as credit agreements
14

Associate Securities Processing Analyst Resume Examples & Samples

  • Bachelor's Degree and/or commensurate amount of accounting/commercial banking experience
  • Knowledge of Generally Accepted Accounting Procedures
  • Knowledge of the corporate loan product and/or Syndication, Origination businesses is preferred
  • Strong PC skills with advanced knowledge of Microsoft Office, specifically Excel
  • Strong interpersonal, communication and customer service skills
  • Ability and willingness to work in a structured, high paced environment, with daily routine operations
15

Associate Securities Processing Analyst Resume Examples & Samples

  • Self manage trade closing through communication with custodians, admin agents , counterparties, and fund administrators while maintaining minimal operational risk
  • Operate and understand proprietary trading systems as well as external trading platforms such as TSI & ClearPar as it pertains to the loan trading function
  • Interact with the Par Loan Trading desk, Legal, Sales and Operations groups in order to deliver solutions for Citi’s clients
  • Develop strong working relationships with outside Deal Administrators to ensure accurate execution of trades
  • Provide management with daily updates on activities, review issues within the assigned portfolio, and dimension solutions to achieve client satisfaction
  • Gain a strong understanding of Loan Syndication and Trading Association (LSTA) documents and develop a thorough understanding of the mechanisms which govern the corporate loan market
  • Generate loan documentation such as loan confirmations, loan assignments, and pricing memos in accordance with LSTA guidelines
  • Actively converse with internal and external legal counsel to generate loan documentation and accelerate the closing process while ensuring Citi’s legal risk is mitigated
  • Candidate must be pro-active to independently identify and work to resolve potential risk, profit and loss, and legal issues while communicating pending concerns to the desk
  • Bachelors degree in finance/ operation management and/or commensurate amount of commercial banking experience is preferable
  • Knowledge and understanding of LSTA & LMA standards as well as basic accounting principles is preferred
  • Familiarity with Par loan trading market convention is preferred
  • Very strong customer service skills with exceptional written and verbal communication skills
  • Strong problem solving, research and analytical skills with the ability and willingness to work in a structured, high paced environment, with daily routine operations
  • Self driven and highly motivated team player
  • Demonstrates leadership skills
  • Strong knowledge of Microsoft Office with focus on Word and Excel
16

Foreign Securities Associate Resume Examples & Samples

  • Bachelor’s degree or equivalent analytical and communication training or work experience
  • Three or more years of directly related experience in financial services or mutual fund compliance with a medium to large legal or financial services firm
  • Previous job duties and training should demonstrate
  • Knowledge of current market regulations
  • Excellent research, comprehension and analytical skills
  • Excellent interpersonal skills; proven ability to inform and influence decision making
  • Excellent communication skills; in-depth experience in drafting, editing and proofreading detailed documents
  • Professional skills necessary to independently manage multiple complex projects involving confidential and detailed information, including all forms and types of foreign filings and related reporting and audits
  • Able to prioritize, initiate and complete complex assignments to meet multiple regulatory or corporate deadlines; able to remain flexible and work under pressure and to seek appropriate guidance as needed
  • Gather, comprehend, evaluate, and summarize detailed information; recognize with whom to consult and collaborate to obtain timely, reliable information
  • Maintain updated understanding of relevant regulations, policies, procedures applicable to area of expertise; consistently create, maintain and identify reliable research resources
  • Write, read, speak and listen effectively; explain complex issues to others based on analysis of specific fact situations relevant to applicable regulations, policies
  • Strong attention to detail; excellent analytical skills and ability to perform mathematical calculations and analysis
  • Professionally and confidently interact with all levels of internal and external contacts; establish and maintain productive working relationships, resolving conflicts and exchanging pertinent information to meet common objectives
  • Productively use industry standard legal and business software applications and research tools (eg: OneTIS, GlobalMax, Bloomberg, Windows Office and Outlook; Internet, Compliance Passport and other FTI applications)
17

Associate Securities Processing Analyst Resume Examples & Samples

  • Associates Degree in Finance, Accounting or Business Management
  • 1 Year of Relevant Experience related to US Tax laws- Reg 1441
  • Basic Understanding of U.S. tax information rules applicable to U.S. Persons and non U.S. Persons
  • Basic Understanding and knowledge of IRS Forms W9 and W8 and their associated requirements
  • Strong PC skills; Microsoft Excel and/or Access (Macros & Database development a plus)
  • Basic knowledge of Securities
  • Basic knowledge of 1042/1099 reportable income
18

Agency Securities Lending, Associate Resume Examples & Samples

  • Builds strong and effective client relationships
  • Responsible for ensuring the timeliness and completeness of the team’s daily, weekly, monthly processes and deliverables
  • Remains cognizant of the point of origination of risks and takes action to make team members aware of risk or to make non-threatening
  • Utilizes expertise and knowledge to contribute to significant improvements in operational processes and policies
  • Applies all internal and external policies/guidelines and requirements of GTO and alerts the leadership team of potential risks of breaches
  • Where appropriate, builds and maintains relationships with front office clients to provide a point of contact for time critical, complex or regulated tasks
  • Responsible for the renewal and testing of the Business Continuity Plan
  • Provides input, as appropriate, to product / function development to ensure a superior offering in the face of changing client needs and market trends
  • Ensures the escalation of operational, regulatory and other risks to his leadership team and functional leads as appropriate; contributes to the development and implementation of mitigation or control solutions
  • Works effectively within own team, providing support and guidance to colleagues to create and foster an environment of continuous improvement
  • Relevant experience in one or more specific technical areas
  • Knowledge of securities lending and settlement services to institutional clients including DTC, Loanet and Fed
  • Knowledge of STARC requirements and/or general risk principals
  • Ability to devise solutions to complex tasks
  • Ability to write documentation around systemic processing controls
  • Product and system knowledge in the product line
  • Exceptional analytical skills, flexible regarding production problem solving
  • Ability to work in virtual teams and in a matrix reporting structure
  • Ability to work in fast paced environment, keep pace with technical innovation and maintain a broad understanding of the GTO offering
  • Open minded, able to share information, transfer knowledge and expertise to others
19

BB&T Securities IRA Associate Resume Examples & Samples

  • Monitor all IRA documentation to ensure accuracy. Process documentation by coding system that the documentation was received. Scan documentation into optical storage system
  • Review and process all Automated Clearing House (ACH) agreements signed by the client for setup on the IRA
  • Review and process all IRA distribution requests by ensuring that proper documentation is received and is accurately completed by the client. Ensure the distribution is in accordance with IRS rules and regulations and that the proper distribution code is used for appropriate tax reporting
  • Review and process all incoming and outgoing non-Automated Customer Account Transfer (ACAT) and rollover requests. Responsible for ensuring the transfer or rollover is in accordance with IRS rules and regulations. For incoming transfers or rollovers, responsible for following up on the request with other firms to ensure timely completion and receipt of assets
  • Review and process all rollover deposits. Ensure proper completion of Rollover Certification Form from the client
  • Review and process IRA to Roth conversion, recharacterization, and excess contribution removal requests. Ensure proper completion of conversion form from the client. Calculate any gain or loss for recharacterization and excess contribution removal requests
  • Review and process annuity ownership change request forms and annuity liquidations. Follow up with the annuity carrier to ensure requests are processed timely
  • Review, interpret, and code Power of Attorney (POA), Qualified Domestic Relation Order (QDRO), Divorce Decree, and Separation Agreement documents
  • Process tax reporting corrections (e.g. 1099R, 5498)
  • Review exception reports and process correction entries as needed. Notify financial advisors and client service associates about corrections
  • Sort, open, and review mail received
  • Responsible for staying abreast of new or updated IRS rules and regulations for IRAs
  • Assist financial advisors and client service associates by researching and responding to inquiries and requests for information
  • Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
  • One year of brokerage industry experience
  • One year of IRA or qualified plan experience
20

Mortgage Backed Securities, Associate Resume Examples & Samples

  • 3-5 years in the financial industry
  • Ability to work productively and collectively with others
  • Strong understanding of trade lifecycle
  • Mortgage pool / EPN product knowledge preferred
21

BB&T Securities Dividend Associate Resume Examples & Samples

  • Process the dividend record date report daily by comparing rates, positions and pay date. Make updates to dividend worksheets when there are differences
  • Review and reconcile dividend suspense accounts to include researching and resolving outages
  • Set up and maintain dividend reinvestment files for clients
  • Oversee the system’s reinvestment of all dividends
  • Process fractional share liquidations upon request
  • Process litigations by retrieving client data and forwarding to litigation agent
  • Process optional and foreign dividends by reviewing agent paperwork and retrieving client data to vote favorable or unfavorable withholding
  • Process stock splits and spinoffs
  • Associate’s degree in a business-related field or equivalent education and related training/experience
22

Securities, Equities, Pipg Strats, Associate Resume Examples & Samples

  • Strong analytical and programming skills
  • Ability to self- motivate, multi task and work independently
  • Work experience in related field
23

Securities Lending Associate Resume Examples & Samples

  • Locating hard to borrow securities with the firm’s prime brokers
  • Monitoring financing levels for equity and equity swap positions
  • Compiling and distributing securities lending market color to execution traders and portfolio managers
  • Create and execute custom swap products to help portfolio managers effectively hedge risk
  • Maintain and utilize securities lending relationships with the firm’s prime brokers
  • Work with internal Tax group to understand firm’s tax risk and exposure
  • Work with internal Compliance group to make sure firm is complaint with regard to firm’s short selling activity at all times
  • Work with Technology group to create transparent reporting for portfolio managers to accurately monitor financing levels for equity and equity swap
  • Minimum 5 years large hedge fund or sell-side securities lending experience
  • Strong knowledge of the securities lending industry with specific emphasis on the intricacies of the European markets
  • Superior communication and presentation skills in order to effectively communicate securities lending color to traders and portfolio managers
  • Must have strong math and analytical skills to understand equity trading strategies
  • Exposure to and understanding of various hedge fund investment strategies (Long/Short Equity, Event Driven, Statistical Arb)
  • Strong understanding of operations role within the firm and the trade settlement process
  • Attention to detail and organization skills a must
  • Strong knowledge of Microsoft Office (Excel, Word, Outlook)
  • Experience using Bloomberg
24

Securities Lending Associate Resume Examples & Samples

  • Coordination and oversight of Business Operations Securities Lending accounting and billing to ensure timely settlement of billing within established policies and market convention
  • Prepare rebate and fee statements and settle with counter-parties
  • Prepare and process journal entries
  • Analyze, research and reconcile accrual variances
  • Prepare and distribute relevant management reporting analytics
  • Engage in various revenue-related accounting and analysis projects
  • Document, maintain, and update policies and procedures
  • Partner with APG and other Business Operations teams to identify opportunities to enhance the controls and processes related to accounting and billing process and prioritize / drive the completion of any related deliverables
  • Act as a subject matter expert with regards to securities lending accounting and billing to work jointly with the Securities Lending and Finance team to drive revenue opportunity and maintain the business’ competitive advantage
  • Participate directly in the due diligence performed by SLF for new lending opportunities and changes to the existing product, analyzing the operating model and options associated with the contemplated activity
  • Identify and direct activities related to key change event items related to the SLF business to ensure all areas are engaged in a well-controlled and client-focused manner
  • Create and maintain metrics to provide transparency to management and business partners around results and performance
  • Provide ongoing communication within Business Operations on priorities/changes, open items, upcoming deliverables, and any issues or concerns
  • Demonstrable experience in finance/accounting field preferred
  • College degree (BS/BA) preferably in Finance/Accounting/Business
  • Systematic thinking, efficiency, attention to detail, quality control, and striving for constant improvement
  • Strong time management skills with the ability to multi-task and prioritize own work
  • Knowledge of the financial services industry preferred
  • Highly detail oriented and risk focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results
  • Proficient with Excel and other MS Office applications, and able to quickly learn proprietary systems
  • Reliable and trusted team player with strong integrity and ethics. Driven to be a productive part of a highly functioning, collegial team, and to work in a high expectation and high impact environment
25

Securities Lending Associate Resume Examples & Samples

  • Follow established procedures and perform appropriate controls (including cash, security and collateral reconciliations), while exercising good judgment in managing risk and following company escalation procedures
  • Develop expertise in local market practices through experience, training, classes and outside research, to ensure best of class service
  • Bachelor’s degree required. Master’s degree or other certifications/achievements desirable
  • Strong demonstrated aptitude and interest in finance required
  • Self-motivated, confident and proactive problem solver. Positive, “can-do” attitude and willingness to stretch self-outside comfort zone and grow
  • Highly detail oriented and customer focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results
26

Securities, Ficc Algo Strat, Associate, Tokyo Resume Examples & Samples

  • Technology: experience building large-scale distributed systems, implementing fundamental algorithms and working with different programming languages - C / C++ / Java
  • Finance: understanding of market dynamics and conventions, and of different products’ behaviours and specifications
  • Mathematics: understanding of time series analysis, statistics, data mining and numerical techniques
  • Knowledge of financial markets, particularly fixed income, currencies, and commodities
  • Experience in electronic trading
  • Good understanding of probability and statistics
27

BB&T Securities Reorganization Associate Resume Examples & Samples

  • Process all voluntary and mandatory corporate actions for client accounts through the DTCC and BoNY
  • Process physical exchanges (deposits) and survivor option (death puts) through DTCC and the transfer agent
  • Process bond redemptions through BoNY and DTCC
  • Process survivor options (death puts) through DTCC and the transfer agent
  • Review and reconcile Corporate Action suspense reports. Research and resolve outages
  • Prepare and send notices to financial advisors and client services associates for redemptions, voluntary and mandatory offers
28

Associate, Securities Resume Examples & Samples

  • Perform discounted cashflow analyses under different credit scenarios, financing structures and other assumptions
  • Monitor portfolio positions by maintaining data on purchases, sales and actual vs projected cashflows
  • Coordinate with the Trading team including support for BWICs
  • Calculate valuations for portfolio hedge positions
  • Strong Excel and Power Point skills a must
  • Ability to work autonomously or as a member of a team
  • A self-teacher and quick learner able to pick up the technical skills necessary for any project
  • Excellent interpersonal skills including the ability to communicate clearly and concisely with all levels of management
  • 3-5 years of experience at a financial institution; ideally in the mortgage or structured products sector
  • Proficiency in Word, Outlook, and PowerPoint (Microsoft Office Suite)
  • Strong Excel skills required; knowledge of macros a plus
  • Detailed knowledge of Intex required
  • Understanding of Bloomberg, 1010 data and LP database a plus
  • Accountability - Demonstrates a commitment to and responsibility for accomplishing individual, team and business objectives
  • Drive - Consistently achieves challenging goals/objectives, and demonstrates an ability to create value and maximize results
  • Teamwork - Fosters collaboration among team members and business partners, and uses capabilities to achieve team goals
29

Associate, Public Securities Resume Examples & Samples

  • Set-up client account documentation
  • Responsible for ensuring the accuracy of all data and transactions recorded in the portfolio accounting system
  • Preparation of monthly and quarterly reports for distribution to clients and/or their trustees
  • Responsible for the accuracy of the Accounting data contained within client reports
  • Manage client billing and reporting
  • Oversight of custodial reconciliation
  • Various Fund oversight
  • BA in accounting, finance or related field
  • Minimum 1-3 yrs. experience
  • Knowledge of GIPS Standards highly desired
  • Knowledge of equities and derivative experience a plus
  • Knowledge of Eagle Star/PaceAdvent Axys a plus
30

Securities Financing Associate Resume Examples & Samples

  • Negotiating documents within the Global Prime Finance (GPF) Legal team, reporting to the Head of Global Prime Finance, Birmingham
  • Drafting and negotiating complex master documentation including global master securities lending agreements, global master repurchase agreements, commission sharing agreements and any other relevant documentation and subsequent amendments
  • Undertaking due diligence on counterparties and assessing whether master agreements are eligible for regulatory netting
  • Working collaboratively as part of a team of Negotiators in Birmingham
  • Taking responsibility for the achievement of agreed individual targets
  • Taking responsibility for progressing matters, working with multiple stakeholders to resolve issues and progressing matters to a conclusion
  • An excellent communicator with a proven ability to convey complex legal issues in plain English
  • Self-motivated with a strong team ethic, creative and can bring new ideas to existing workflows and processes
  • Excellent time and workflow management skills
  • Flexible and hard-working with a high level of accuracy and attention to detail
  • Ability to work under pressure in a fast paced environment
  • Ability to identify issues and develop successful solutions
  • Qualified as a Solicitor ( or international equivalent)
  • Previous experience of negotiating English law governed finance documentation which may include some of the above mentioned documents (beneficial)
  • Previous experience at a leading law firm, financial services organisation, hedge fund or asset management company (beneficial)
31

Derivatives & Securities Financing Associate Resume Examples & Samples

  • Drafting and negotiating, amongst others; OTC Clearing documentation including the International Swaps & Derivatives Association (ISDA)/ Futures & Options Association (FOA) Clearing Addendum, Addendum Annex and Supplement; Listed Futures & Options (F&O) Agreements; Foreign Exchange (FX) Prime Brokerage Documentation
  • Providing general support, training and mentoring of more junior negotiators from Birmingham and Mumbai, where appropriate
  • Drafting contractual provisions as and when required by your clients
  • Progressing matters and resolving negotiation deadlocks, coordinating multiple stakeholders to resolve issues and progress matters to conclusion
  • Advising other internal departments on the legal implications of proposed deviations from the Bank’s templates
  • Managing internal and external clients’ expectations at all times especially with regard to the Bank policy and key operating procedures
  • Updating the status of negotiations in the bank's systems as required
  • Completing closing form upon the execution of the agreement and giving instructions to the administrative support team in order to update the Bank’s record and Information Technology (IT) systems
  • Assisting the Manager with identification, development and implementation of process improvements
  • A qualified solicitor (or international equivalent)
  • Previous experience in drafting and negotiating OTC Clearing documentation including the ISDA, FOA Clearing Addendum, Addendum Annex and Supplement; F&O Agreements and FX Prime Brokerage Documentation
  • Previous experience in financial services
  • Experience in advising internal stakeholders on the legal implications of amendments to agreements proposed by clients
  • Ability to read complex legal documentation
  • An excellent communicator with a proven ability to convey complex legal issues in plain English and provide comprehensive legal analysis
  • A consistent top performer with a ‘can do’ attitude, embraces the team’s established performance culture
  • Excellent time and workflow management skills with the ability to work under pressure in a fast paced environment
  • Self-motivated with a flexible and hard-working approach, a high level of accuracy and attention to detail
  • The ability to identify issues and develop successful solutions
  • The ability to act as a technical point of contact for others in the team
  • Previous experience in exposure to senior management or clients (beneficial)
  • Fluent in English (written and oral)
  • Ability to assist with the training of new starters and with on-going training needs to up-skill the team
  • Educated to Bachelor’s degree level (or equivalent qualification / work experience)
32

Securities, Ficc, Fast Strat, Associate Resume Examples & Samples

  • Strong academic record with Bachelor?s level or above in Mathematics, Physics, Engineering, Computer Science or a related quantitative discipline required
  • Quantitative background including an understanding of probability (includes modelling) and statistics required
  • Programming background in compiled or scripting languages - C/C++, Python, Java required
  • Familiarity with statistical computing languages or packages ? Numpy/Scipy/Sklean, Git, Matla required
  • Must have interest and desire to learn about financial markets
  • Knowledge of distributed computing required
  • Ability to solve problems and explain the ideas that underlie them
  • Confidence to work in a high-pressure environment and deliver results
33

Securities Senior Associate Resume Examples & Samples

  • Establishing American Depositary Receipt programs
  • Rule 144A and Section 4(a)(2)/Reg. D private placements as part of Australian IPOs and secondary offers
  • Initial public offerings in the United States
  • Rule 144A debt offers (investment grade and high yield)
  • Private placements of debt; and
  • Securities law aspects of M&A transactions
  • US qualified lawyer with 5 - 10 years experience in US capital markets
  • Experience across debt or equity transactions is essential and experience across both areas would be preferred
  • Experience ideally gained in a similar firm environment
  • Strong technical, drafting and commercial skills
  • Strong client service ethic
  • Ability to work well as part of a team
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Associate, Securities Standards Resume Examples & Samples

  • Minimum of 5-7 years operational risk experience in Asset/Wealth Management
  • Series 7 and 66 preferred or must be attained within 6 months
  • Experience with Sungard Protegent PTA system a plus
  • Self-motivated and able to multi-task and work independently
  • Must be able to have intermediate discussions about various products including brokerage (NYLIFE Securities) vs advisory(Eagle)