Collateral Operations Resume Samples

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AF
A Flatley
Arielle
Flatley
5351 Maxime Vista
Chicago
IL
+1 (555) 758 6602
5351 Maxime Vista
Chicago
IL
Phone
p +1 (555) 758 6602
Experience Experience
06/2014 present
Chicago, IL
Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager
Chicago, IL
Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager
06/2014 present
Chicago, IL
Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager
06/2014 present
  • Design and implement improved MIS and communications for Credit/Capital Advisory to provide early alerts for risk areas within the portfolio
  • Perform risk management reporting
  • Lead projects for work process automation, system integrations/development, etc. for the PB in concert with other PB disciplines and/or corporate project teams
  • Manage to efficiency and strategy location targets each year
  • Manage inquiries from Credit, Lenders, Client Services and Loan Operations on control, collateral and compliance related topics
  • Create and maintain collateral terms in the Collateral Monitoring System (lending values, pledges, special comments)
  • Build, manage and maintain off-line monitoring arrangements as necessary to support PB credit product and/or collateral-related covenants
04/2009 04/2014
Houston, TX
Financing & Collateral Operations Associate
Houston, TX
Financing & Collateral Operations Associate
04/2009 04/2014
Houston, TX
Financing & Collateral Operations Associate
04/2009 04/2014
  • Provide funding projections to cash management and BRM to ensure correct funding across Morgan Stanley's bank accounts
  • Assist with and initiate projects to make current processes more effective and efficient
  • Managing client relationships on a day-to-day basis providing service to hedge funds and financial institutions
  • Provide daily financing projection to the business unit
  • Exposure Management for Morgan Stanley
  • Exposure management for Morgan Stanley
  • Work with multiple units in operations, BU and technology on projects and initiatives
02/2003 10/2008
Boston, MA
Financing & Collateral Operations Analyst
Boston, MA
Financing & Collateral Operations Analyst
02/2003 10/2008
Boston, MA
Financing & Collateral Operations Analyst
02/2003 10/2008
  • Ensuring controls on collateral management process are monitored and exceptions resolved in a timely manner
  • Work closely with third party vendors, including Equilend, Loanet, and Pirum, for business initiatives and escalation on day to day processes
  • Maintain a clear focus on enhancing control and continuously improving and reducing operational risks
  • Collateral processing and reconciliation
  • Interaction with clients daily regarding the OTC collateral process
  • Troubleshoot problems arising on an ad-hoc basis and react to BU and Client driven demands
  • Trade Processing/Allocation
Education Education
Bachelor’s Degree
Bachelor’s Degree
University of Massachusetts Amherst
Bachelor’s Degree
Skills Skills
  • Strong Team player and commitment to support team objectives
  • Knowledge/experience of TriOptima vendor platform
  • Specific product, process and systems knowledge relevant to the role
  • Strong client service appreciation with a focus on delivering excellence
  • Awareness of regulations impacting the OTC derivative market
  • Understanding of the OTC Derivatives front to back trade life cycle
  • Previous investment Banking experience
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1

Sec Processing Rep \ Collateral Operations Resume Examples & Samples

  • Assisting team to ensure daily collateral service is provided to our clients e.g. margin call, trade settlements, client queries, MIS
  • Ensure adherence to key processes and control requirements with a focus on complying with Citi risk and controls framework in a timely manner
  • Timely resolution of margin call disputes in the event of calculation discrepancies
  • Assist with daily, weekly and monthly reconciliations
  • Building relationships with existing and new clients to ensure smooth transition of new business incremental business change in client requirements
  • Participation in the implementation of strategic projects e.g. straight through processing, data management
  • Assisting with preparing the team for various audit/risk and due diligence reviews
  • Communicate with external parties e.g. counter parties, clients, custodians
  • Assist training panel to roll out cross training in the team
  • Working with team leaders and Section Manager to ensure goals are met
  • Have a general understanding of securities markets, payments, settlements
  • Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps / resolution Educational Level: Business qualification desirable
2

Sec Processing Rep \collateral Operations Resume Examples & Samples

  • Have a general understanding of securities markets payments settlements
  • Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps / resolution
  • Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success
3

Collateral Operations Junior Specialist Resume Examples & Samples

  • Exposure/understanding of Collateral Management desirable but not essential
  • Be able to work independently and able to deliver under time constraints
  • Effective Team player
  • Ability to put forward constructive feedback on cases and issues
4

Head of Collateral Operations Resume Examples & Samples

  • The incumbent will be responsible for management of BAU activities ensuring delivery of accurate, controlled and efficient processing and reporting to our clients
  • The candidate must be able to communicate effectively at all levels and be able to represent Northern Trust at client presentations, various industry and business forums
  • This individual must also be a lead driver of the overall Collateral Management vision, ensure that consistent standards and best practices are utilized and drive key initiatives and issues to conclusion
  • Managing the Collateral Management group
  • Conducting the performance management process, identifying training and development needs, and establishing performance standards
  • Determining staffing needs, making hiring and firing decisions, handling salary administration and ensuring resources are available to accomplish priorities
  • Participating in developing the business unit strategic plan, and sets goals and priorities based on the direction set for the unit. Follows through to ensure objectives are met
  • Providing input into the budget management process and manages expenses
  • Providing leadership and guidance to staff, fostering an environment which encourages employee participation, teamwork, and communication
  • Managing the relationships with Investment Managers and Clients to ensure that all Collateral processing and control requirements are met and be responsible for ensuring that functions (i.e., margin processing, reconciliation, dispute resolution, reporting, etc.) therein deliver
  • Proven track record within financial service operations, including managerial responsibilities in a fast-paced, client-focused, deadline-oriented environment. Collateral Management experience is preferred. Derivative product knowledge and derivative operations experience is required
  • High appreciation of the current strategic direction of Collateral Management and any industry or regulatory initiatives (i.e., EMIR, T2S ) which may affect it
  • Proven ability to lead teams towards meeting client expectations, but to also be a team player with a track record of building strong networks and relationships
5

Gpc-open Collateral Operations Resume Examples & Samples

  • 2-3 years experience in financial services sector and has a general understanding of securities markets/payments/settlements
  • Accuracy and high attention to detail
  • Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps/resolution
6

Gpc-open Collateral Operations Resume Examples & Samples

  • Have a general understanding of securities markets/payments/settlements
  • Ability to organize workload to meet various settlement cut-off times
  • Good business judgment, knowing when to escalate, and who to keep informed to identify appropriate next steps/resolution
7

Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager Resume Examples & Samples

  • Design and recommend improvements to procedures/workflow to align practices across AM where possible. Targeted areas for review: Margin Call process, Overdraft management, Account Control, Pre-Trade Approvals (for FX/Deriv), Collateral Verification
  • Design and implement improved MIS and communications for Credit/Capital Advisory to provide early alerts for risk areas within the portfolio
  • Work closely with Program and Technology resources to ensure success of the funded collateral priorities and identify, outline and prioritize initiatives for Credit related to collateral and risk management for funding consideration
  • Work with collateral managers to adapt to changing infrastructure, introducing process enhancements, updating procedures, managing risks and maintaining controls throughout the migration to new technologies
  • Manage to efficiency and strategy location targets each year
  • Minimum of 10 years working in a collateral, credit administration, operations, or trading support group within the Financial Services
  • Strong Operational disciplines and control mindset
  • Service Oriented
  • Outstanding Communication skills / Team orientation
  • Interest in the Financial Markets and risk measures
  • Experience in providing business requirements for technology
  • Series 99 or equivalent required within 120 days
  • Reg T experience a plus
8

Financing & Collateral Operations Associate Resume Examples & Samples

  • Monitor, communicate, and agree all client daily activity in over 30 International markets for multiple Morgan Stanley entities
  • Agree and exchange collateral with lenders for securities lending movements
  • Ensure settlement of all trades and proactively chase failing and failed trades via liaising with the Securities Lending desk, external clients, and internal operations teams
  • Assist with and initiate projects to make current processes more effective and efficient
  • Serve as key point of contact for external lender population
  • Provide various types of ad hoc and regulatory reporting
9

OTC Collateral Operations Resume Examples & Samples

  • Computer literate, including Word, Excel, and Powerpoint
  • Handle various ad-hoc requests with minimal supervision
  • Pro-active, detail-oriented and able to work in a fast learning environment
  • Strong interpersonal, communication and partnering skills. A “team-player”
  • Ability to prioritize and work in a dynamic, deadline-focused environment
  • Minimum of a college degree
  • No more than 8 years of business experience
  • Experience in ISDA documentation / OTC operations / collateral / repo / finance / investment banking
10

Financing & Collateral Operations Analyst Resume Examples & Samples

  • Trade Processing/Allocation
  • Exposure Management for Morgan Stanley
  • Trade Reconciliation
  • Maintain a clear focus on enhancing control and continuously improving and reducing operational risk
  • Troubleshoot problems arising on an ad-hoc basis and react to BU and Client driven demands
11

Fixed Income Collateral Operations Analyst Resume Examples & Samples

  • Knowledge of fixed income securities including repo and collateral management
  • Ability to handle high pressure situations
  • Organizational skills with special emphasis on the ability to prioritize responsibilities
  • Detail orientated, ability to recognize unusual flows/triggers for collateral in agreements and new trade structures
12

Collateral Operations Analyst Resume Examples & Samples

  • Analysing regulatory and market change, and the potential impact on the department, and working with Change and other Operations team to implement necessary change
  • Leading investigations into process breaks to determine remediation opportunities and highlight process weaknesses, and drive process improvements
  • Identifying issues within the business processes and monitor action taken
  • Building great relationships across Technology, Front Office, Finance and Operational Risk
  • Supporting Front office in driving the operational capability
13

Financing & Collateral Operations Associate Resume Examples & Samples

  • Responsible for margining Institutional and Hedge Fund clients under the provisions of ISDA Credit Support documentation. The products supported are predominately Fixed Income and Equity derivatives, with some Repo and expansion into Commodities derivatives as well
  • With increased product complexity and expanding volumes the collateral team faces a number of challenges in ensuring the scalability of the department's functions whilst maintaining optimal control and efficiency. As such, in addition to the margining function there is continual focus on actively managing disputes and their reconciliation, maintaining an oversight of controls and ensuring an on-going review of the procedures and processes in place
  • A core focus of management is ensuring that analysts and managers alike are collateral experts capable of engaging with business stakeholders on all aspects of the collateral function at their level. This is reflected in the scope of functions and responsibilities as well as the skill sets required
  • Initially, the successful candidate will be working in our collateral team. This role can be broken down into
14

Open Collateral Operations VP Resume Examples & Samples

  • Strong understanding of Collateral Management
  • Expertise at challenging current processes, working independently but also as part of a wider team supporting global and regional objectives under time constraints
  • Expertise at identifying risk and providing enhanced mitigating solutions
  • Ability to organize workload to meet client deliverables and internal deliverables
  • Able to create a strong team spirit
  • Strong skills in Microsoft Office
  • Knowledge of Collateral systems
  • Extensive years financial services experience required
15

Fixed Income Collateral Operations Specialist Resume Examples & Samples

  • Extensive knowledge of fixed income securities including repo and collateral management
  • Complete understanding of relational databases and/or process flows
  • Ability to meet and set deadlines
  • Ability to delegate tasks
  • Ability to make complex decisions in high pressure scenarios
  • Strong organizational skills with special emphasis on the ability to prioritize responsibilities
  • Complete understanding of financial markets (securities, equities, foreign exchange, interest rates, commodities) and derivative products (caps, floors, collars, FRAs, swaps, swaptions, structured)
  • Complete understanding of financial markets documentation (ISDA, IFEMA, PSA, GMRA, MSFTA)
  • Capability to analyze and interpret legal trading agreements
16

Financing & Collateral Operations Manager Resume Examples & Samples

  • Supervisory oversight of the Vendor Oversight and Regulatory Control team
  • Responsible for the monthly regulatory FOCUS reporting, yearly audit exams, as well as other regulatory requests and initiatives impacting financing operations
  • Prior people and process oversight management
17

Financing & Collateral Operations Analyst Resume Examples & Samples

  • Oversight and control of our third party vendor and ensuring daily checks and reviews are completed per legal agreements
  • Work closely with third party vendors, including Equilend, Loanet, and Pirum, for business initiatives and escalation on day to day processes
  • Experience in a vendor oversight or control team capacity
  • Ability to ask questions and think critically in high risk situations
18

Global Collateral Operations Data Specialist Resume Examples & Samples

  • Work closely with OPUS team throughout the lifecycle of new feature development as well as issue/bug resolution and testing
  • Develop tactical automated MIS reporting
  • Transitions all tactical development into strategic BRD and see through to production implementation
  • Perform in-depth analysis on sleeper collateral situations and separately on dispute impact to Margin Period of Risk to assist in risk assessment, MIS development, control and workflow recommendations
  • 7 - 10 years of experience in providing business analysis e.g. for audit, compliance, and metrics reporting
  • Ability to analyze and provide insights on large volumes of data (2+ million rows)
  • Strong technical skills including
19

Senior Analyst, Collateral Operations Resume Examples & Samples

  • Complete all daily processes to ensure the production and delivery of margin alls /statements/reconciliations. Respond to enquiries and requests in a timely and accurate manner. Resolve all daily exceptions and discrepancies, working collaboratively with front office and internal teams
  • Identify and escalate risks and control gaps according to RACA and Process Control Self-Assessment document
  • Ensure all relevant policies are adhered and attested to within required timeframes
  • Ensure adheres to the market regulatory requirements and ISDA best practices
  • Where appropriate, contribute on projects, initiatives and programmes of work. Ensure regular progress updates are held with supervisors
  • Understand the specific TMO and the wider Services strategy and how the role supports business objectives
  • Perform effectively and act according to the RBS, Values and People Standards. Know and understand all compliance policies associated with the role and responsibilities
  • Previous investment Banking experience
  • Knowledge/experience of TriOptima vendor platform
  • Understanding of the OTC Derivatives front to back trade life cycle
  • Awareness of regulations impacting the OTC derivative market
  • Strong client service appreciation with a focus on delivering excellence
  • Specific product, process and systems knowledge relevant to the role
  • No mandatory qualifications required for this role
  • Require good attention to detail
  • Strong Team player and commitment to support team objectives
20

Global Collateral Operations Operations Analyst Resume Examples & Samples

  • Prepare reports of collateral transactions or balances to satisfy the following requirements
  • Tax knowledge
  • Strong understanding of financial markets with preferably more than 5 years of experience in any of the following disciplines
  • Graduate degree and/or CPA certification
  • Regulatory Reporting exposure
21

Financing & Collateral Operations Associate Resume Examples & Samples

  • Process Tri-party and bilateral funding forecasting and funding
  • Liaise closely with both BRM, TSY and Cash Management around funding obligations and discrepancies
  • Ensuring the efficient and timely processing of the Equity and FID financing book including recalls, substitutions, restrictions, pledging, exposure management and projections of future requirements and book breakdown
  • To advise the BRM on the freedoms/limitations of collateral management in Tri-Party, including the ability of Tri-Party to enforce stipulations applicable to a bilateral trade
  • To become a contact for BRM operations for other interacting areas including Trading, Sales, Finance, IT and supporting teams such as settlements and client service functions
  • Position reconciliation between Agent and Morgan Stanley
  • Provide daily financing projection to the business unit
  • Collate and distribute key metric data to stakeholders such as collateral schedules and haircuts
  • Collate and distribute collateral availability to Bank Resource Management
  • Ensure the timely processing of cash movements between Morgan Stanley, its clients and agents
  • Provide funding projections to cash management and BRM to ensure correct funding across Morgan Stanley's bank accounts
  • More than three years of experience in financial/banking industry