Investment Operations Resume Samples

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MH
M Harber
Madonna
Harber
131 Santina Viaduct
Houston
TX
+1 (555) 463 3447
131 Santina Viaduct
Houston
TX
Phone
p +1 (555) 463 3447
Experience Experience
06/2015 present
Detroit, MI
Investment Operations Associate
Detroit, MI
Investment Operations Associate
06/2015 present
Detroit, MI
Investment Operations Associate
06/2015 present
  • Develop, and maintain metrics for measuring adherence to Data Management and Operations standards and processes and improvements
  • Performance Reporting – calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
  • Assist in the preparation of management reports
  • Complete ad hoc projects, creates analytical reports, provides supplemental analysis, and gathers information to aid investment decisions
  • Performance Reporting calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
  • Adapt to a fast-paced and dynamic work environment. This includes working independently and on a team
  • Perform and coordinate portfolio analytics, including performance attribution (CAPeR and PMA) and monthly/quarterly reporting data packages
06/2008 01/2015
Detroit, MI
Investment Operations Analyst
Detroit, MI
Investment Operations Analyst
06/2008 01/2015
Detroit, MI
Investment Operations Analyst
06/2008 01/2015
  • Create a strong workforce by developing competent individuals ready for the future digital banking operations
  • Assisting the team on manager performance analysis and monitoring
  • Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on corporate actions
  • Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on bank debt (term loans)
  • Checking and processing of professional and fund manager fees
  • Annual Audit Support; Provide assistance to auditors, both internal and external, during periodic reviews of processes and investment pool balances and/or data
  • Perform daily and monthly calculation, reconciliation, control and outlier reporting of performance for assigned client’s portfolios, and benchmarks
01/2006 02/2008
Philadelphia, PA
Investment Operations
Philadelphia, PA
Investment Operations
01/2006 02/2008
Philadelphia, PA
Investment Operations
01/2006 02/2008
  • Create and maintain metrics to provide transparency to management and business partners around results and performance
  • Provide assistance to manager and audit liaison during departmental SOX/Audit reviews
  • Promote teamwork and collaboration across the group, providing guidance and mentorship to junior members of the team
  • Perform risk assessments, and establish, implement, and document control procedures
  • Work with Trade Operations and Portfolio Management to resolve exceptions
  • Work closely with Operations manager during Internal and external audits relating to CASS
  • Participate in working groups and project teams to provide subject matter expertise on function, procedure and control
Education Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Arizona State University
Bachelor’s Degree in Finance
Skills Skills
  • Strong analytical skills with an ability to identify problems and develop solutions
  • Possess strong interpersonal skills with an ability to communicate constructively at all levels
  • Possess a good understanding of the risks inherent in the corporate actions environment and demonstrate good discipline around control and escalation
  • Strong communication skills - both oral and written; ability to communicate effectively with senior management, clients and external Providers
  • Highly organized and detail oriented
  • Team player with excellent attention to detail, problem solving/analytical abilities, research skills and willingness to learn
  • Solid working knowledge and understanding of settlements and claims
  • Good verbal and written communication skills
  • Has the ability to be flexible and to adapt to changing circumstances
  • Self-starter capable of working independently as well as an effective team player and collaborator
Create a Resume
1

Supv-investment Operations Resume Examples & Samples

  • To supervise, plan and administer the daily work of assigned staff in order to ensure it is completed in accordance with departmental guidelines and ensure an effective internal control environment is maintained
  • To monitor staff performance measurements and provide timely feedback to both staff and management
  • 4 year degree, Five to Seven year’s experience in securities industry
  • 2 to 3 year supervisory experience
  • Financial Services Operational experience
  • Six Sigma green belt or similar experience
  • Leadership position in industry working group
  • Business Analysis or IT background transferable for core operations
  • Ability to work through issues while keeping within internal policies
  • Strong knowledge of FX and securities markets
  • Knowledge of OTC and ETD products
  • Ability to communicate effectively (both orally and written) with both internal and external counterparties
  • Strong securities services market knowledge
  • Strong risk management skills
  • Experience with Industry software and knowledge of the vendors that service it
  • Strong negotiation skills and ability to resolve complex issues
  • Ability to work under pressure and meet time critical deadlines
  • Knowledge of business desktop applications (Word, PowerPoint, Visio, Access, Project, Excel)
  • Strong transition management skills
  • Knowledge and experience in working with of Industry Vendor i.e. Omgeo CTM, Alert, CMS, MarkitServe, DTCC,
  • Supervises/manages staff; makes hire, termination, promotion and merit decisions
  • Provides technical guidance to staff in any department within FTS
  • Responsible for writing staff reviews
  • Ability to set direction and guide staff to desired results
  • Ability to influence and negotiate within own department and across FT
  • Ability to supervise multiple skill levels of staff members in own and other locations
2

Intern, Investment Operations Resume Examples & Samples

  • Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units
  • Reconcile portfolio holdings between custodian banks, internal trading systems and 3rd party vendors
  • Daily interaction with and use of the firm's proprietary systems and databases as well as external systems including Advent APX, Bloomberg and Charles River
3

Investment Operations Analyst Resume Examples & Samples

  • Assisting Portfolio Managers/Traders with the implementation of new client trading strategies. This includes analyzing data received from internal systems/ clients, custodian and data vendor, setting up the client's portfolio in our internal systems, creating client reports and conducting beta testing
  • Reconcile portfolio holdings between custodian banks, internal trading system(s) and brokers, track intra-day cash flows and complete weekly/monthly client performance reports
  • Complete ad hoc Portfolio Manager and client requests
  • Maintain documentation and innovate operational processes and procedures to reduce risk and increase efficiency in the daily trading process for Investment Division clients
  • Follow the lifecycle of various OTC products / assignments (trade affirmation/variation margin /collateral)
  • Analysts are required to work periodic holidays as well as early morning shifts (start time is 5:00am)
  • Ability to identify potential issues and promote efficient resolution; ability to set and pursue goals and demonstrate a commitment to organizational success
4

Supv-investment Operations Resume Examples & Samples

  • Graduate level finance or business courses will be viewed favorably
  • Professional qualification/certification in finance, accounting or management highly preferred
  • Fair understanding of the OTC Derivatives products
  • Strong analytical and organizational skills with the ability to work in a fast-paced, team-oriented environment
  • Excellent understanding of financial markets, asset classes & counterparties
  • Timeliness and ability to adapt with wider changes in the market
  • Very good command of English both spoken and written
  • Proficient in MS Office applications (Word, Excel, Outlook, PowerPoint and Access)
  • Effective interpersonal and people-management skills
  • Supervises the daily workflow of a functional group
  • Ability to motivate assigned staff, hold them accountable, organize workflow, and manage change
5

Alternative Investment Operations Change the Bank VP Resume Examples & Samples

  • Lead and direct project activities, meetings, understand dependencies, and manage timelines
  • Communications skills: The candidate must be able to concisely explain complex issues. The candidate must also possess strong written and oral executive-level communications skills
  • Project management skills: The candidate must have the ability to create practical and comprehensive implementation plans and partner with all levels of management and stakeholders to gain consensus. Experience of managing multiple projects or engagements and their associated budgets is essential
6

Project Manager, Investment Operations Resume Examples & Samples

  • Relationship Building; works effectively with strong, diverse teams of people with multiple perspectives, talents, and backgrounds. He or she is known for doing what is best irrespective of politics and is comfortable with consensus building (at multiple levels) and soliciting constructive feedback; ability to elicit cooperation from a wide variety of participants including upper management, clients, other departments, and 3rd party providers
  • Flexibility & Organization; adapt to shifting priorities, demands and timelines through analytical and problem-solving capabilities; proven ability to multi-task and efficiently manage time across competing activities/resources; able to effectively prioritize, execute tasks, and thrive in a high-pressure fast paced environment
  • Intellectual Curiosity; energized by learning new things and engaging across a wide range of issues; must have strong problem solving skills; adept at conducting research into project-related issues and products
  • Judgment; makes recommendations and decisions that balance a variety of factors (e.g. cost, risk, short-term vs. long-term impact) and are supported by a sound fact base to achieve an optimal outcome. Goes back to core values and key objectives when making decisions/recommendations
  • 3-7 years of Project and Process Management experience. Experience with regulatory compliance initiatives in both US and non-US jurisdictions
  • Experience with large scale technology implementations, custom development, and data and system integrations required
  • Knowledge of the Financial Services industry, specifically the Alternative Asset Management arena
  • Specific experience with Compliance and/or Regulatory functions a plus
7

Investment Operations Resume Examples & Samples

  • Ensure best practices and operational consistency across the global Investment Operations teams
  • Perform risk assessments, and establish, implement, and document control procedures
  • Interact with various teams within Investment Operations and globally across the firm including Portfolio Management, Global Client Group, Onboarding, Product Services, Legal & Compliance, Technology, clients, and external service providers, and serve as a key contact and escalation point representing Investment Operations
  • Participate as key representative for Investment Operations in fund launches, new product launches, system migrations, and various global initiatives
  • Coordinate with Technology and various internal groups on system enhancements and development
  • Provide operational back up support across global Investment Operations as needed
  • Produce, analyze, and distribute control reporting to Management
  • Confidence dealing with managers across Business Operations, Portfolio Management, and external parties on a global level
  • Understanding of service excellence
  • Highly proactive, willing to take ownership of issues and follow through to resolution
  • Has a high level of self-motivation
  • Self-starter capable of working independently as well as an effective team player and collaborator
  • Has the ability to be flexible and to adapt to changing circumstances
8

Investment Operations Securities Lending Product Manager Resume Examples & Samples

  • Coordination and oversight of Business Operations Securities Lending BAU activities to ensure timely enablement of new lendable inventory and client onboarding in accordance with client guidelines and established policies
  • Partner with APG and other Business Operations teams to identify opportunities to enhance the controls and processes related to onboarding new Securities Lending clients, expand access to lendable inventory, and prioritize and drive the completion of any related deliverables
  • Act as a subject matter expert with regards to securities lending operations to work jointly with the Securities Lending and Finance team in researching and managing the implementation of market, borrower or asset expansion activities 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
  • Bachelor’s degree required. Master’s degree or other certifications/achievements desirable
  • Minimum 5 years of experience in the financial industry; Securities Lending and Project Management experience a plus
  • Highly risk aware and demonstrated ability to multi-task and make appropriate decisions under rigid deadlines, while adhering to established procedures and escalation/risk mitigation measures
  • Self-motivated, confident and proactive problem solver. Positive, “can-do” attitude and willingness to stretch one’s self outside comfort zone and grow
  • Highly detail oriented and risk focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results
  • Exceptional verbal, written and listening skills. Comfortable interacting with and influencing a wide range of audiences, from peers to senior level managers
  • 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
9

Investment Operations Resume Examples & Samples

  • Process claims to banks and dealers based on information received through trade resolution
  • Work with Blackrock securities lending to ensure there is no exposure to loan encumbered positions
  • Maintain awareness of industry changes and their impact on the settlements process
  • Bachelors Degree in Finance or similar concentration required
  • Solid working knowledge and understanding of settlements and claims
  • PC proficient with experience in Excel, Word, PowerPoint and various Investment Management and settlement platforms
10

Alternative Investment Operations Analyst Resume Examples & Samples

  • Process Client Subscriptions into funds
  • Process Client Redemptions out of funds
  • 3-5 years of experience in the financial services industry
11

Black Rock Investment Operations Trade Ops Resume Examples & Samples

  • Confirm, research, and resolve fails with custodian and broker dealer across all products and sectors
  • Work with Trade Operations and Portfolio Management to resolve exceptions
  • Team player with excellent attention to detail, problem solving/analytical abilities, research skills and willingness to learn
12

Investment Operations Associate Resume Examples & Samples

  • 10 years clerical experience in a professional services environment
  • Associate’s or Bachelor’s degree
  • Process and systems orientation
  • Ability to handle multiple tasks simultaneously
  • Investment experience helpful
  • 9-10+
13

Black Rock Director Corporate Actions & Investment Operations Resume Examples & Samples

  • Manage and coordinate with the Corporate Action Management team in accordance with BlackRock’s global best practices through the application of controls, operational processes and procedures
  • Ensure counterparty alignment with BlackRock global operations footprint and process
  • Participate in the design and implementation of Corporate Actions strategy
  • Drive the delivery of the Corporate Actions strategic initiatives with Technology and internal parties
  • Participate in regional and global initiatives
  • Ensure appropriate statistics are development and distributed to monitor the performance, KPI’s, KRI’s etc
  • Communicate with global team managers and facilitate the global team structure
  • Contribute to senior management meetings and the overall strategic direction of the investment operations function
  • Ensure robust Business Continuity Plans are in place and kept up to date as part of strategic implementations
  • Ensure Global Corporate Actions operate to the highest standards of risk mitigation
  • Continue to develop automation and efficiency initiatives to provide a scalable platform
  • Keep pace with industry initiatives and ensure BlackRock developments are in line
  • Co-ordinate internal and external Audit obligations on behalf of global corporate actions
  • Maintain threshold competence in Corporate Actions core competencies
  • Maintain competence for role through ongoing participation in BlackRock training initiatives
  • Achieve and maintain understanding of all financial instruments
  • Participate in Blackrock annual review process and draft goals/objectives for your development in conjunction with your Manager
  • Maintain full knowledge of Blackrock corporate policies, procedures and guidelines
  • Significant experience in managing and leading Investment Operations or middle office teams in a global or cross regional capacity
  • Significant experience in support of securities lending
  • Change management experience, e.g. implementing complex regulatory requirements and large functional or platform migrations
  • Experience of working in a client facing environment would be desirable
  • Demonstrate strong technical knowledge of investment products, particularly corporate actions
  • Demonstrable experience developing and leading high performing teams
  • Demonstrated ability to influence others, with or without technical knowledge
  • Risk aware and responsive
  • Exceptional written & verbal communication skills
14

Investment Operations Spec Resume Examples & Samples

  • Four or more years of experience in investment operations activities
  • Strong ability to manage multiple tasks/projects and deadlines simultaneously
  • Ability to identify and resolve/escalate problems
  • Advanced mathematical and/or accounting skills
15

Investment Operations Associate Resume Examples & Samples

  • Provide basic research support by running routine reports and performing data entry tasks including the Morning Cash Report, Daily Cash Email, Daily Performance Report, other reports as defined and required
  • Provide support to the Investment team for proxy voting matters
  • Update various excel files for Investment Team based on deadlines established by each, i.e. weekly, monthly, quarterly
  • Perform and coordinate portfolio analytics, including performance attribution (CAPeR and PMA) and monthly/quarterly reporting data packages
  • Maintain shared investment models and portfolio model summaries including monthly processing and reporting, data verification, and scenario testing at the request of the investment team
  • Monitor and review client trading restrictions to ensure all guidelines are being satisfied in trade implementation
  • Review trading models and implement equity and fixed income securities trades and monitor trade execution
  • Create commission, CSA and soft dollar reports
  • Ensure receipt and investment of client cash inflows and outflows
  • Minimum 2 years professional work environment experience
  • Must demonstrate initiative, ownership for position and effective problem solving
  • Advanced computer skills, specifically with Microsoft Office 2010 (Outlook, Word, Excel, PowerPoint), Adobe Acrobat, Internet Browsing and Research Tools
  • Proven organizational skills and detail orientation / Proven communication skills, both verbal and written
  • Excellent client service skills and team orientation / Ability to prioritize work and multi-task
  • Ability to work and communicate effectively with all levels / Ability to meet tight deadlines with a sense of urgency
  • Due to trading environment, schedule will require arrival by 7:30 a.m
16

Senior Investment Operations Specialist Por T Resume Examples & Samples

  • Having extensive knowledge of Fixed Income operations support and /or products supported
  • Performing daily/weekly/monthly checks on cash packages, cash flows, fails marking, segregated collateral, cash-lag/holdings difference resolution, position reconciliations and NAV compares
  • Reconciling cash for complex clients on a daily basis between our internal record keeping system (PAM), Aladdin and the custody bank for each fund
  • Reconciling holdings for complex clients on a monthly basis between our internal record keeping system (PAM), Aladdin and the accounting agent for each fund
  • Reconciling NAVs on a monthly basis for complex clients between internal record keeping system (PAM), Aladdin and the official NAV source
  • Independently researching and resolving complex cash and position related discrepancies
  • Monitoring status and ensuring completion of relevant deadlines for team
  • Participating and/or leading unit initiatives
  • Anticipating issues that may adversely affect the operational support and taking action to reduce the risk of occurrences
  • Proactively identifying inefficiencies and seek ways to improve current processes
  • Cultivating both internal and external relationships to ensure proper service levels are achieved for each client supported
  • Staying abreast of industry initiatives and market trends that can impact our business model and/or offer opportunities to improve our processes
  • Participating in the custodian relationship management process by providing performance feedback for scorecards, questionnaires, or relationship calls / visits
  • Assisting in establishing and writing operational procedures
  • Degree in Economics, Finance or Business preferred
  • Prior experience in reconciliations
  • Willingness and desire to learn and teach others
  • Proven ability to develop and cultivate relationships across all staff levels
  • PC skills with strong knowledge of excel and industry standard applications
  • Has an entrepreneurial spirit and is willing to take on additional responsibility quickly
  • Ability to be organized, flexible, prioritize tasks, and work in a deadline oriented environment
17

Investment Operations Change Manager Resume Examples & Samples

  • Control reporting and accounting changes all service providers including the review of performance against service standards
  • Deliver service/outputs to customers (internal and external) to agreed service standards, and ensure that strong working relationships with key customers (and suppliers) are maintained
  • Ensure that all reporting and accounting changes are delivered to time appropriately controlled and issues managed to successful conclusion. This will involve engage with fund manager, custodial operations, fund accounting operations and ensuring any engagement with reporting and data services are maintained
  • Ensure that processes and outputs delivered by service providers are compliant with current legislative requirements
  • Responsible for ensuring the change teams deliver projects and change to agreed requirements, standards, cost and disciplines
18

Manager of Risk-investment Operations Resume Examples & Samples

  • Identify areas of operational risk and control mitigation across multiple processes; track and coordinate findings with other control areas such as Dodd-Frank compliance, SSAE 16 reporting, Information Protection, Vendor Governance,Model Risk and in some cases, IT Risk Management. Working knowledge of regulation driven controls
  • Maintain a general understanding of the business
  • Use sound judgment to effectively challenge a business risk assessment and resolution plan with some guidance from supervisor
  • Collaborate with both business and risk and control partners in the execution of duties
  • Work on multiple products and participate in multiple projects simultaneously
  • A team based approach for the wide range of support Risk Management provides to the business
  • Bachelor's degree in Business such as Finance, Accounting, Economics, or related fields; Master's degree is a plus
  • Minimum of 3-5 years of relevant risk and control experience including, but not limited to operational risk management or auditing (internal or public accounting)
  • Retirement industry experience (Defined Contribution, Defined Benefit, and Investment Management) is a plus
  • Related professional certifications such as CPA, CIA, CISA, or CRMA preferred but not required
  • Working knowledge of Risk Management frameworks
  • Ability to apply broad business knowledge and practical experience to understanding and evaluating operational risks and controls
  • Excellent overall communication skills and the ability to interact and work effectively across multiple functional areas with individuals from various organization levels
  • Highly motivated energetic and positive individual who is able to develop positive working relationships, partner effectively within the team as well as to demonstrate the ability to work independently in a variety of assignments
  • Ability to quickly understand new concepts and understand and assess implications to the business
  • Inquisitive nature and ability to seek out information
  • Demonstrates conceptual thinking and analytical skills
  • Strong organizational and time management skills, including the ability to effectively execute on multiple projects simultaneously
  • Working knowledge of MS Office, including Word, Excel and PowerPoint
19

Investment Operations Associate Resume Examples & Samples

  • Trade execution and settlement responsibilities
  • Transferring interests among various hedge funds
  • Assist with fund launches and restructuring
  • External client communications and reporting
  • Bachelor's degree in Finance, Accounting or Economics
  • Two plus years in a client facing role within the financial services industry
  • Ability to multi-task in a fast based environment
20

VP, Investment Operations Par U Resume Examples & Samples

  • Managing multiple teams and processes that support the servicing of an $80 billion+ / 5,000+ commercial and agricultural loan portfolio. Those teams include Investment Accounting and Reporting, Investor Reporting, Corporate Accounting, Valuations, Financial Planning and Analysis and Treasury operations
  • Developing and communicating the strategic vision for the Investment Operations group and establishing annual performance objectives for the individual teams. Responsible for the talent management of 30+ resources on the teams, including performance mid-year and annual evaluations, training, development, coaching, 360 feedback, succession planning and mentoring
  • Establishing and maintaining collaborative internal customer relationships with Prudential Investment Management business partners (e.g. Corporate Reporting, Banking, Risk and Internal Audit). This also includes direct collaborative working relationships with PMCC business partners (Sr. Management, Originations, Closing, Compliance, Legal, Finance, Human Resources and Information Technology), in support of PMCC & PAR
  • Establishing and building external customer relationships, with key industry leadership groups, (e.g. MBA), vendors (e.g. MIAC, Banking Partners) and Agency seller servicer partners. (e.g. Fannie Mae, Freddie Mac and Ginnie Mae)
  • For Investment Accounting, provide managerial support, objective setting, metrics and key control reviews, technical oversight and compliance with of GAAP, STAT, Market Value accounting, debt investment valuations, multi-currency lending and reporting required for Prudentials Insurance company commercial and agriculture debt portfolio
  • For Investor Reporting, Corporate Accounting and Treasury Services, provide strategy, managerial support, objective setting, Seller Servicer guide support, project prioritization and oversight of technical process improvements, including evaluating outsourcing opportunities. Includes Service Fees, mortgage servicing rights, operating expenses and GAAP accounting for the Servicing business
  • Management and communication of all financial, planning and analysis needs for the Servicing business, including forecasting revenues, expenses, business metrics and quarterly business health meetings
  • Bachelor's degree in Business, Accounting, or Finance required; MBA in Finance, Real Estate or International a plus
  • Undergraduate Accounting degree and MBA mix a plus
  • CPA, CMB, or CMS designations a plus
  • A minimum of 10 years of managerial and leadership experience in Commercial Real Estate Finance and/or Operations required
  • Demonstrated ability to manage through change with proven expertise in process improvement
  • Self starter who can work effectively in a fast paced environment
  • Effective interpersonal skills with the ability to develop and foster internal and external relationships with business partners
  • Proven ability to maintain confidential information
  • Strong analytical and problem solving skills and excellent written and verbal communication skills a must
21

Investment Operations Analyst Resume Examples & Samples

  • Preparing financial reports for internal and external customers
  • Completing journal entries and account or position reconciliations
  • Monthly reporting on collateral and counterparty positions
  • Assure trade data accuracy within core trading systems
  • Working with cash management teams
  • Analyzing financial data to identify income trends and exceptions
  • Prepare or review security master file data
  • Documenting processes and testing the effectiveness of internal controls
  • Processing corporate actions on the investment accounting system
  • Performing yield analyses on various invested assets
  • Researching and resolving discrepancies between the general ledger and core accounting systems
  • A four-year Finance degree is preferred
  • Related internship and Microsoft Office (Word, Access, Excel, and PowerPoint) experience is a plus
22

Investment Operations Specialist Resume Examples & Samples

  • Processes mutual fund and variable annuity applications by verifying correctness and completeness of information, as well as submitting applications to appropriate companies to assure timely action on the application by the company and registered representative. Books applicable mutual fund purchases directly to the fund company
  • Produces weekly report of securities sales for Great Western Bank Investment records, Broker/Dealer
  • Enters all data on mutual fund and variable annuity accounts into the agency computer files including all purchases, redemption’s, exchanges and transfers, year end statement information, registration changes and any other applicable service requests. Maintains necessary files on all customer accounts
  • Figures process and pays all securities commissions for all registered representatives. Tracks direct deposits and generates reports for sales tracking department. Enters commission payments into agency system
  • Responds to questions from customers and sales representatives and assists with problems and situations by supplying written or verbal suggestions, answers and solutions as requested. Handles any discrepancies and problems with mutual fund and variable annuity accounts
  • Enters in cash receipts for all securities sales
  • Reconciles securities clearing account
  • Organizes and maintains all mutual fund and variable annuity, and brokerage statements keeping a set for Great Western Bank Investments records and sending out copies to appropriate registered representatives
  • Obtains signature guarantees when needed for customers
  • Runs various reports as needed on agency system
  • Associate’s degree or two years of business required
  • Three to five years of equivalent experience, preferably in the financial industry with customer service focus, may be substituted for education
  • Licenses in life and annuities as well as NASD Series 6 and 63. Series 7 license preferred
  • Excellent verbal and written communication skills to effectively deal with customers, employees and insurance companies
  • Advanced PC skills with advanced skills in spreadsheet applications required
  • Analytical ability to work effectively with customers, employees, broker/dealer and fund companies to resolve problems
23

Investment Operations Analyst, Derivatives Resume Examples & Samples

  • Integrate new best practice/implement new approaches to processing trades (Bloomberg/other platforms where necessary) as well as cash transfers resulting from funds’ activity
  • Daily focus on reconciling OTC position valuations between our holdings/custodian/counterparty and our accounting team
  • Process daily collateral movements as necessary for derivatives/OTC positions
  • Analysts are required to work periodic holidays as well as early morning shifts
24

Investment Operations Analyst Resume Examples & Samples

  • Responsible for reconciling eligible reported transactions in order to meet all regulatory requirements. This should also include monitoring and reporting on key performance indicators
  • Support Russell globally to ensure daily regulatory reporting is completed and complied with for all mandated fields. Includes being able to work with 3rd party vendors to support and maintain best of breed process and application
  • Support the Investment Division Portfolio teams in the oversight of Investment positions. Work with the Russell and 3rd party reconciliaiton team to validate cash and stock positions and act as escalation point for the resolution of issues for accounts on middle office platform
  • Manage and oversee daily functions of 3rd party vendors as necessitated by the regulatory reporting and reconciliaiton functions
  • Bachelor’s degree required; Business or Finance related or cerfiticates and work experience may be considered in place of degree
  • 3-5 years working in a financial or investment environment with increasing responsibility
  • 3-5 years client service experience in a fast paced environment
  • Proficient in MS Office (specifically Excel & Access)
  • Familiarity with the trading functions within Asset Management firms
  • Familiarity with the regulatory structure and environment governing the various trading environments
  • Experience working in a client service environment
  • Will need to be motivated, show creativity, energy, and exceptional problem-solving skills. The potential candidate must be comfortable in a fast-paced, team-based environment with a high degree of individual autonomy. Strong verbal and written communication is an absolute requirement of this role
  • Must be able to manage, work and prioritize multiple assignments under tight deadlines
25

Investment Operations Associate Ny / nj Resume Examples & Samples

  • Daily account maintenance
  • Processing and reconciling trades
  • Updating daily dashboards and reports
  • Liaising with internal and external advisors including the investment custodian, fund accountants, administration, traders, portfolio managers, investment analyst
  • Positive contributor to team environment
  • Counterparty due-diligence
  • Working knowledge of the Bloomberg service, a plus
  • Ability to work and excel independently with minimal guidance
  • Bachelor’s degree in Finance, Economics, Marketing, or Business Administration
  • Experience in financial services or a professional environment preferred
26

Investment Operations Associate Resume Examples & Samples

  • Assuming ownership for operational issues that are raised and providing resolution in a manner that considers the impact to other operational areas
  • Anticipating issues that may adversely affect the operational support of the funds and taking action to reduce the risk of occurrences
  • Developing an in depth understanding of fixed income products in order to increase service levels
27

Supv-investment Operations Resume Examples & Samples

  • Three to five years of financial accounting/Investment systems/Mutual Fund experience in securities/investment business required
  • Automated financial systems experience required
  • Working knowledge of fund industry practices required
  • Knowledge of financial markets and finance computer systems
28

Investment Operations Analyst Resume Examples & Samples

  • Reconcilliations - Conduct timely reconciliations across asset classes for the EMEA time zone and assist other global time zones as required. Reconcile portfolio holdings between custodian banks, internal trading systems and 3rd party vendors. Reconcile individual client portfolios held within our internal accounting system to the client account held at the custodian. 50%
  • Support the Investment Division Portfolio teams in the oversight of Investment processes. Act as primary contact for day to day activities. This includes analysing data received from internal systems / clients, custodian and data vendors, setting up the client's portfolio in our internal systems, creating client reports and conducting beta testing. 30%
  • Relationship Management – regular contact with brokers, asset managers, vendors and other 3rd party agents to ensure timely reporting of trade information and payments and prompt resolution of any outstanding issues. 10%
  • Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units across all of the Russell offices (continuious process improvement). Ensure adequate controls and segregation of duties in place. 10%
  • Prior direct reconciliations experience of individual client portfolios within a related financial company (Broker, Wealth Manager, Asset Manager) would be an advantage
  • Demonstrate a clear knowledge of various financial products (Equities, Fixed Income, FX, Derivatives (CDX, Futures, Forwards, OTC) and how to reconcile these breaks
  • Understanding of Trial Balance
  • Experience and familarity with Pension industry solutions, including understanding the principles of Liability Driven Investments (LDI's) – preferred
  • Exposure to custody and investment accounting processes – preferred
  • Strong verbal and written communication is an absolute requirement of this role
  • Accounting background preferred
  • Familiarity with Trading and settlement terms within direct or Pooled Funds - preferred
  • Proficient with spreadsheet applications, data manipulation and database applications
  • Will need to be motivated, show creativity and exceptional problem-solving skills. The potential candidate must be comfortable in a fast-paced, team-based environment with a high degree of individual autonomy. Must be able to manage work and prioritize multiple assignments under tight deadlines
  • Excellent communication (listening, written and verbal) skills - a strong preference for individuals with experience interacting with portfolio management, accounting, compliance and risk management functions
  • Ability to work independently with little supervision, yet also work productively as a member of a team
  • Ability to gather & analyze requirements and translate them into business deliverables
  • Flexible attitude with regards to tasks and hours (Analyst will be required to work periodic holidays as well as early morning shifts when required.)
  • University undergraduate degree or equivalent qualification / equivalent experience - Business or Finance related
29

Analyst, Client Service Investment Operations Resume Examples & Samples

  • Solid organizational and time management skills in order to manage workflow and conflicting priorities
  • Effective customer servicing skills
  • Strong analytical skills -ability to resolve complex situations
  • Security processing background preferred
  • Initiate & coordinate manager terminations
  • Coordinate tax harvesting requests
  • Provide alternative asset support
  • Process miscellaneous trading requests as directed
  • Bachelor’s degree or two to four years of related experience in financial services for consideration for this role
  • An investment focused background (particularly with open architecture investing on Northern Investment Solutions platforms) through practical work experience is strongly recommended
30

Intern, Investment Operations Resume Examples & Samples

  • Support various tasks and projects as requested by the Client Operations team
  • Assist in improving existing operational processes and procedures to reduce risk and increase efficiency
  • Daily interaction with and use of the firm's proprietary systems and databases as well as external systems
  • Prompt escalation and resolution of issues when they are identified
  • Daily communications with the team to ensure tasks and projects are in alignment with expectations
  • Individual contributor and strong team player in a fast-paced environment with the ability to prioritize and complete multiple assignments under tight deadlines
  • Ability to identify potential issues and promote efficient resolution
  • Highly proficient PC skills including Excel, Access, Outlook and other database applications
31

Investment Operations Resume Examples & Samples

  • Identification of investment Terms and Conditions (such as liquidity terms, fees, voting rights, new issue eligibility, ERISA eligibility, special investment and redemption instructions) from a review of offering documents, Articles of Association, side letter agreements and investment management agreements. This is verified prior to investment and every year we stay invested in a fund
  • Prepare allocation instructions to instruct the administrator to complete subscription, redemption and transfer agreements (This task requires an understanding of the restrictions of each of our funds of hedge funds as well as a need to monitor for trade splitting. The investment operations specialist may be required to negotiate transfers, and communicate agreed terms to affected parties)
  • Produce liquidity views of investment funds across the AIS portfolios for investment decision support purposes
  • Monitor and follow up with managers and fund administrators regarding the collection of redemption proceeds, AUM’s of legal entities we are invested in, trade confirmations and various other items as the need arises
  • Managing the process of transacting in UCITS funds as they trade differently the hedge funds and require an additional level of detail and someone who can manage multiple parties to make sure each transacted is instructed and accounted for properly
32

Associate Manager, Investment Operations Resume Examples & Samples

  • Partner with various clients and business partners (Finance, Domestic and International Investment Forecasting Teams, Investment Risk Management, etc.) to define solutions to business needs, elicit business requirements, identify approach recommendations and document process flows
  • Conduct analysis of financial data from Irisk associated with Fixed Income, Equity, Private Placement, Mortgage, Derivative, Real Estate and International instruments to support both production and project processes and data requirements
  • Conduct project related tests which include: developing detailed test plans and test cases; conducting tests; evaluating and documenting results; summarize and communicate findings at an executive level
  • Troubleshoot production and project issues; perform root cause analysis, reconciliations, and recommend corrective action to lead the resolution efforts
  • Utilizing various applications (MS Excel, Access, Cognos reports) to facilitate ad-hoc analytical / information inquiries, streamline existing processes, define and build out new processes and perform project testing
  • Independently prioritize and manage various project work
  • Bachelor degree required; Finance, Business, Economics, Accounting or similar preferred
  • 3-5 years of investment operations, accounting, or technology experience
  • Solid understanding of various investment security types
  • Strong PC skills with proficiency in MS Excel; knowledge of Cognos, PAM, Oracle, Bloomberg, Access a plus
  • Strong partnering, and interpersonal skills
  • Good organizational skills, resourcefulness and attention to detail
  • Highly motivated, detail oriented, team player
33

Director, Investment Operations Resume Examples & Samples

  • Work closely with AAGs investment managers as they optimize and manage Prudentials alternative assets portfolio
  • Coordinate with external administrators and fund managers regarding document management including those related to financial statement, capital call, distribution and tax information
  • Control information flow and reporting regarding unfunded commitments and other data required by Prudential as Limited Partner of over 300 PE Funds
  • Trade and data capture support for new investments
  • Handle ad-hoc requests relating to new or existing investments
  • Project management for company or business unit activities involve the alternatives asset class
  • Internal reporting and ad-hoc analysis functions
  • Internal Coordination of the capital call and the funding process
  • Work closely with counterparts in the Private Equity Accounting function
  • Coordinate with investment managers, Finance professionals, attorneys and administrators where necessary
  • Valuation support across the portfolio consistent with Prudentials accounting protocols
  • Management of various investment management, risk, and regulatory reporting activities
  • Significant role in asset class and reporting related technology initiatives
  • College degree in Accounting. Finance, Economics or related business field
  • 10+ years of prior investment operations or Investment Accounting experience
  • 5+ years of experience working with private equity funds
  • Working knowledge of GAAP Accounting and Insurance Company STAT Accounting concepts for this asset class
  • Working knowledge of Private Equity General Partner activities and industry reporting requirements
  • Working knowledge of Private Equity Fund Financial Statements
  • Working knowledge of the INVESTran system
  • Working knowledge of Business Intelligence reporting tools
  • Proficient with excel
  • Strong interpersonal, communication and relationship management skills
  • Proven leader with Staff Management experience
  • Proven experience collaborating across an organization, building relationships, trust and influencing outcomes
  • Self-motivated with the ability to prioritize, meet deadlines, and manage changing priorities
  • CPA a Plus
34

Senior Investment Operations Associate Resume Examples & Samples

  • Ensuring proper delivery of trade information to custodian banks, accounting agents, broker/dealers and other downstream areas
  • Daily monitoring and confirmation of Swaps, Futures, FX, Options trades, etc
  • Confirmation of trade details against executing and clearing counterparty
  • Research and resolve trade discrepancies
  • Communicate trade discrepancies to the trading desk
  • Keeping abreast of industry initiatives and market trends that can impact our business model and/or offer opportunities to improve our processes
35

Investment Operations Analyst Resume Examples & Samples

  • Account on-boarding - Set up accounts for new FX trading activity, credit, CLS, regulatory systems, FX routing. Daily communications with internal and external parties to ensure timely setup and maintenance of accounts. Daily interaction with and use of the firm's proprietary systems and databases as well as external systems. Account Maintenance, responding to inquiries, collecting and distributing updated documentation to counterparties
  • Corporate Actions - Execute daily processing/validation procedures while ensuring the integrity and consistency of corporate action data across multiple platforms. Research and resolve Corporate action details, confirm client entitlements, and communicate voluntary instructions. Work closely with custodians and internal clients to develop sound workflows. Assist in the development of additional utilities needed to automate, control, validate and research data issues
  • FX settlements - responsible for the confirmation, affirmation and settlement of foreign exchange activities. This includes the research and resolution of trade exceptions, fails, and distribution of trade details to custodians, external parties and accounting
  • Analyzing data received from internal systems / clients, custodian and data vendors and other 3rd party agents to ensure timely and accurate reporting of security and pricing information
  • 15%
  • Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units across all of the Russell offices (continuious process improvement). Ensure adequate controls and segregation of duties in place
  • Must have a thorough understanding of industry regulations/vendor policies/procedures and internal policies/procedures to be able to determine where these intersect
  • Demonstrate a clear knowledge of FX trade settlement workflows
  • Exposure to custody and investment processes – preferred
  • Corporate Actions experience - preferred
  • Exposure to EMIR / Dodd Frank regulatory reporting requirements would be a bonus
  • Experience working with vendor products and technology
36

Investment Operations Officer Resume Examples & Samples

  • Associate's degree/college diploma
  • Familiar with the processing systems such as Host system, TSO and DE, etc
  • Knowledge of the securities/mutual fund/insurance operations/industry
  • With common senses for all operation controls
  • Able to cope with the changing product offering and system enhancement
  • Accurate and fast input on figures
  • Good knowledge of English
  • Clear communications
37

Analyst, Client Service Investment Operations Resume Examples & Samples

  • Provide assistance to Account Managers with queries received from clients regarding specific reporting issues
  • Utilize multiple sources to verify transaction details, investigate timing of transaction activity, payment of dividends and account holdings attributes
  • Knowledgeable of the core aspects of the job
38

Senior Analyst, Investment Operations Resume Examples & Samples

  • Sets up securities in trading systems, fix errors, fails and kicked out trades, set up new accounts
  • Updates the trading system for changes in security ID numbers and factor changes
  • Corrects errors, execute cancel re-bills, investigate and work through claims from trading partners
  • Carries out complex activities with significant financial, client, and/or internal business impact
  • May have direct interaction with committees and/or Senior Management
  • May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role)
39

Investment Operations Associates Windsor Resume Examples & Samples

  • Creating work streams of current and future state processes
  • Develop and execute against project plans for key strategic initiatives
  • Ability to interface and influence senior leaders within SS&C
  • Working with outsourced investment accounting teams to do the following
  • Streamline trade processing on core systems
  • Automate Cash and holdings reconciliation between core systems and custodian and Asset Manager/Custodian Statements on file
  • Automate the generation of customer reports including checks and balances to ensure the integrity of the reports
  • Assist with implementation of new clients and senior management initiatives
  • Support of product release testing
  • B.S. Accounting or Finance
  • Investment Accounting work experience a plus
  • Ability to build relationships with a diverse groups within the company
  • Strong facilitation skills and ability to influence others without formal authority
  • Willingness to learn new systems, concepts and broaden knowledge in the industry
  • Knowledge of Microsoft products (Word, Excel, etc.)
  • Bloomberg knowledge
  • 2 years of accounting or finance course work
  • Graduate level coursework or advanced certification
  • Proven track record in achieving results in a matrix- managed environment
  • Report Writing (Crystal, SSRS) a plus
  • Basic to intermediate knowledge of financial markets and behavior of financial instruments including fixed income, equities and derivatives knowledge
40

Alternative Investment Operations VP Resume Examples & Samples

  • Daily operational support for investment cash flow review, approval and oversight
  • Investment allocation compliance
  • Investment onboarding
  • Coordination, reconciliation and oversight of year end auditor confirmations
  • Oversight of the Accounting Outsource Provider culminating in the preparation and reporting of investment level NAVs and each funds' Schedule of Investments (SOI)
  • Bachelor’s degree in Accounting with at least 5 years related experience
  • Management level experience, minimum 1 year a MUST
  • CPA license (or in process), a plus
  • Excellent organizational and communication skills (both written and oral)
  • Ability to prioritize and juggle workload, strong analytical/problem solving skills w/ attention to detail
  • Excellent time management skills; always needs to be aware of deadlines and effectively plan to ensure that all are met
  • Ability to be a team player and maintain good working relationships with all contacts
41

Investment Operations Associate Resume Examples & Samples

  • Disbursements executing cash settlements supporting the loan origination business
  • Custody ensuring safekeeping and reconciliation to the bank for all physical assets
  • SVO filing and reporting for all securities to meet insurance industry regulatory requirements
  • Deal Management capturing all terms related to the trade into the Prudential systems infrastructure
  • Performance Reporting calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
42

Senior Investment Operations Associate Resume Examples & Samples

  • Reconciling holdings on a monthly basis between our internal systems; PAM and Aladdin with the Accounting Agent or Custodian for each fund
  • Reconciling Net Asset Values on a monthly basis between our internal systems; PAM and Aladdin with the accounts official NAV source
  • Developing an understanding of Fixed Income products in order to increase service levels
  • Experience in writing operational procedures
  • Some knowledge of Sarbanes-Oxley / Audit controls, a plus
43

Associate Investment & Operations Resume Examples & Samples

  • Maintenance of Advent APX and assist with monthly performance updates and quarterly billing
  • New account set-up in Advent and Moxy including coding new accounts, linking to custodians, and ensuring proper reporting of all investments
  • Research and monitor investment portfolios using Advent APX, Morningstar and Factset software
  • Manage Wealthbench proposal tool to create optimized asset allocations for prospective clients
  • Participate in investment committee, compiling information, building reports, researching managers and funds, and attending meetings
  • Produce, compile and monitor the Approved List and Watch List investments
  • Complete assigned research or special ad-hoc projects
  • Maintain written procedures on all aspects of this position, with an eye to always improving efficiency and accuracy of each process
  • Strong proficiency in Advent APX and Revenue Center preferred; Factset, Moxy, Morningstar and Wealthbench a plus
  • Strong verbal and written communication skills, professional presentation, organizational skills and a proactive customer service approach
  • Excellent detail orientation, exceptional problem-solving skills, and an ability to organize and prioritize work in order to meet deadlines in a proactive manner with little supervision
  • Minimum of 2 years work experience
  • College degree in business, investments, or finance recommended, advanced degree a plus
44

Senior Investment Operations Associate Resume Examples & Samples

  • Monitoring of counterparty exposure in order to place and respond to bilateral margin calls in accordance with CSA
  • Research and resolve margin call disputes
  • Daily reconciliation and instruction for variation margin of both ETD and OTC Swaps
  • Responding to and instructing on initial margin requirements
  • Fails resolution for the settlements of margin, collateral and principal & income
  • Performing monthly collateral reconciliation for internal system(s) and external business partners
  • Verifying and instructing on periodic payments including the research and resolution of security data discrepancies
  • Responding to ad-hoc reporting request
  • Assuming ownership for any operational issues that are raised and providing resolution in a manner that is seamless regardless of which operational areas are impacted
  • Anticipating issues that may adversely affect the operational support of all derivative products and taking action to reduce the risk of occurrences
  • Providing investment professionals with on-site training and technical assistance on use of existing or future systems
  • Proactively seeking ways to improve current processes by leveraging the tools available to identify inefficiencies
  • Communicating operational support changes and initiatives to all impacted areas of Operations and investment professionals
  • Developing an understanding of the fixed income trading business and sharing knowledge with operations teams in order to increase service levels
45

Investment Operations Administrator Resume Examples & Samples

  • Responsible for the timely and accurate management of all corporate action events in 39 markets across Europe, Africa and the Middle East, including the UK
  • Will be required to work in a high risk, high volume and fast paced environment
  • Responsible for ensuring the successful processing of clients' high value corporate actions instructions within competitive and challenging deadlines
  • Accurate posting of clients' corporate action entitlements and reconciliation activities
46

Consumer Bank Investment Operations Processing Officer Resume Examples & Samples

  • Having 4-5 years of work experience in Financial and investment banking operations
  • Must have knowledge and experience of Trade settlements,Corporate actions and Paid income and Fee reconciliations
  • MS Word and Excel is must
  • Ability to backup team and perform during high transaction volumes
47

Senior Investment Operations Associate Resume Examples & Samples

  • Maintenance of new trades and performing deal verification to ensure the accuracy of the trade details in the derivative system
  • Responding to ad-hoc requests
  • Excellent interpersonal skills. Ability to communicate in a tactful, diplomatic manner
48

Investment Operations Resume Examples & Samples

  • Oversight of Operational delivery of Client Assets (CASS) processes across Reconciliation and Investments
  • Working with Compliance teams in business and CASS Office teams to interpret new/changes to CASS rules; overseeing implementation of changes to processes, controls and documentation
  • Understand impact to existing processes followed and implement changes required in systems, reporting and operational procedures
  • Liaising with outsourced service provider outside UK to monitor BAU and implement process change
  • Perform day to day monitoring of Key CASS related metrics sent by Operational functions. Ensure metrics are accurate and any inaccurate/incomplete data is challenged and completed appropriately within existing deadline
  • Work closely with Compliance, Legal and CASS office teams during implementation/changes resulting from new regulation or existing CASS rule to understand impact to existing operations process/procedure
  • Engage with key SME in Operations teams onshore and offshore (outsourced service provider) to relay the changes, train them and implement process change to comply with new/updated regulations
  • Work with various Operations teams to update procedure documents and facilitate sign off
  • Preparation of material for the various CASS Governance forums from monthly sub-committee meetings, monthly CMAR returns and other OandT CASS metrics
  • Review and validation of monthly CMAR returns submitted by back office operations and complete timely reporting to central Operations Regulatory Control team
  • Weekly and monthly review of Operations metrics relating to CASS
  • Management of Weekly CASS resolution pack attestation – includes timely review of information in sections owned by onshore and offshore teams
  • Ensure any changes in CASS RP master document is also completed during the weekly attestation
  • Ensure Operations team adherence to process controls especially surrounding Reconciliation, Investments processes and regulatory reporting subject to CASS
  • Ensure any breaches impacting CASS are reported to Compliance, CASS office through breach reporting process and work with them to implement corrective action plan
  • Monitor progress of Corrective action plan with owners to ensure appropriate action is taken to resolve the breaches/issues and ensure timely completion
  • Work closely with Operations manager during Internal and external audits relating to CASS
  • Minimum Degree level
49

Consumer Bank Investment Operations Senior Analyst Resume Examples & Samples

  • 5-6 years of work experience within financial and Investment banking services
  • Should have a good business and operations knowledge of Fixed Income Products, Unit Trust, Equities, Operational processes like Trade reporting, Asset Servicing , Settlements
  • Ability to manage team size of 5 - 15 team members
  • Ability to take Operation Process initiative and work independently and along with teams on Projects ; able to work well with cross-functional seniors and peers
  • Ability to work on a flexible late hour schedule as per global time zone requirements
50

Team Leader, Investment Operations Resume Examples & Samples

  • Manage a staff of 2 professionals including providing performance feedback, and preparation of performance reviews
  • Review and oversee the efficient operation of the bank compensation process including bank payment preparation, voucher processing, accrual processing and reconciliation, ledger account sign-off
  • Handle requests from banks and businesses regarding bank fee payments and charges
  • Identify areas for improvement for the bank compensation and scorecard process
  • Manage the scorecard process and communicate with banks and Prudential businesses to investigate/resolve transaction/service issues
  • Coach and develop associates supporting leadership competencies
  • Develop and update procedures and workflow documentation
  • Participate in or lead independent and group projects related to department initiatives
  • Support bank relationship database for data capture, user rollout and reporting development
  • This position requires standard business hours with possible overtime. Additional responsibilities will depend on the candidate's background, skills, experience and performance. While the individual will initially have the responsibilites described above, there may also be the opportunity for exposure to work in other areas of the department
  • A Bachelors Degree in Finance, Business Administration or Economics required
  • Management / supervisory experience (2 years)
  • Strong analytical skills for analysis of business unit activities (i.e. trending and identification of cyclical patterns, variance analysis, cost-benefit analysis, etc.)
  • Good problem solving and decision making skills to respond to business unit (and bank) inquiries and processing issues
  • Strong interpersonal skills to build relationship within Treasurer's and with business partners and banks
  • Initiative / self motivation and innovative thinking
  • Judgment (Ability to apply sound business principles and practices to projects)
  • Flexibility to assume other assignments in the future
  • Ability to work well under pressure and meet tight deadlines in a team environment
  • PC experience preferred: MS Excel and Word required, Powerpoint a plus)
  • Good meeting management skills & presentation skills
51

Senior Investment Operations Analyst Resume Examples & Samples

  • Review and analysis of daily securities pricing tolerance and exception reports for the Franklin Templeton groups’ more complex, difficult to price and fair value securities, as well as, securities requiring additional research through the use of Bloomberg and Reuters
  • Function as back up for Pricing Analysts as necessary
  • Manage the maintenance of the pricing database control lists, i.e., the frozen price, due to trade, research, and watch lists. Assist the Supervisor and Manager coordinating the research and resolution of valuation issues with the portfolio managers, analysts, traders, brokers, and the Pricing Department staff
  • Analyse new additions to the pricing database, specifically complex securities to ensure proper documentation and valuation within the context of the pricing conventions, e.g., treatment of fixed income securities with embedded options, PIK, or reset features, structured notes, Rule 144A issues, verification of manual calculation formulae, and interpretation of corporate actions
  • Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assist in coordinating the team’s efforts with the Supervisor and Manager. Thoroughly understand and be able to articulate all components of risk and their impact on valuation
  • Own the oversight of the Pricing Department’s daily work when the Supervisor is absent
  • Interact with portfolio management and legal counsel to establish fair value as it relates to investments in illiquid securities, securities for which market quotations are not readily available, and/or securities that require special valuation consideration
  • Assist the supervisor as liaison to the external auditors. Effectively coordinate the compilation and presentation of price data to support the valuation confirmation of year-end financial statements for all fund products. Standardize, document, and maintain the year-end process and data requirements on an audit firm specific basis
  • Perform standard Senior Pricing Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations. The business continuity relocation may include travel for an extended period of time
  • Design and propose system, policy and procedural enhancements to address accuracy of the daily process, operational inefficiencies, control issues, and data integrity. Assist Supervisor and Manager in maintaining and updating Pricing policies and procedures
  • Support control testing by the firm’s internal auditors
  • May assist in the preparation, review and coordination of the preparation of quarterly Board of Trustees reports for the European domiciled accounts. Ability to develop alternative valuation techniques like benchmarking and other appropriate methods for esoteric and illiquid asset classes to derive in-house prices and assumptions
  • Work with portfolio and trading personnel to determine fair valuation of thinly traded securities. Requires the ability to work with Portfolio Managers, Trading, and Legal Compliance to resolve complex pricing issues
  • The ability to work hand in hand with technology departments to resolve technical problems and/or enhancement projects
  • Other projects and non-daily functions as assigned
  • Bachelor’s degree in Finance, Economics, or related technical field required
  • Experienced in Pricing and Valuations
  • Preferably working towards IOQ but not essential
  • Demonstrated ability to work well under pressure
  • Demonstrated ability to interact effectively with co-worker
  • Ability to complete the daily securities pricing analysis function and identify potential problems and issues
  • Superior problem-solving abilities, organizational skills, project management skills, and flexibility
  • Ability to resolve various pricing and technical issues within time crunch and ensuring timely distribution of NAVs
  • Solid understanding of the components and calculation of the net asset value
  • Possess sound knowledge of various types of securities and markets in order to analyze price reasonableness provided by vendors and brokers
  • Very good interpersonal and people-management skills
  • Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet TA deadline for reporting mutual fund net asset values. This would entail dealing with various external and internal personnel to resolve problems
52

Supv-investment Operations Resume Examples & Samples

  • Ensure all daily work is completed timely, accurately and according to procedures
  • Maintain, recommend and implement efficient departmental processes and ensure departmental procedures are kept current and an effective control environment is maintained
  • Ensure uninterrupted service to internal clients. Ensure regular feedback is provided to clients on processing levels
  • Recruit staff, as necessary
53

Investment Operations Associate Resume Examples & Samples

  • 2 years of new business or account maintenance experience in a financial services organization
  • Strong data entry skills
  • Good analytical and trouble shooting skills
  • Strong partnering and leadership skills
54

Investment Operations Associate Resume Examples & Samples

  • Ideal candidate will have at least 3-5 years of experience in Investment Management Operations, with experience with Equity and Fixed Income products a plus
  • Bachelor's Degree or equivalent (Finance, Economics or Accounting preferred) and demonstrated, proven experience in Financial Services Operations or similar role promptly
  • Proven record of collaborating with colleagues across geographic and functional boundaries
  • Professional and decisive with outstanding business judgment
  • Controlled processes demonstrated by data management metrics and risk incidents
  • On time, to quality, delivery of projects and initiatives
55

QMA Investment Operations Associate Resume Examples & Samples

  • Collect corporate action decisions from investment teams for timely and accurate instruction to custodian banks
  • Respond timely to inquiries from banks or other internal groups
  • Analyze and re-process updated dividend or other corporate action data
  • Properly record security restrictions in the Non Transferable Security Maintenance (NTSM) application
  • Validate nightly pricing data from applicable fund accountants
  • Coordinate the fair value process; obtain portfolio manager recommendations, document and advise all applicable parties, log details for Pricing Committee reporting
  • Research and submit all applicable quarterly certifications (illiquid securities, fair values, etc)
  • Short Term Investment Fund (STIF) maintenance
  • Update tax table information
  • Validate nightly pricing from applicable fund accountants
  • Assist in the preparation of management reports
  • BA/BS Degree required, preferably in Finance/Economics/Business
  • 1-4 years of related experience in the accounting/operations area of the investment management industry preferred
  • Exposure to financial products in an Operations function
  • Preferred Bloomberg knowledge
  • Highly analytical, organized and detail-oriented
  • Excellent time management skills; works efficiently under the pressure of deadlines
56

Technical Project Manager for Alternative Investment Operations Resume Examples & Samples

  • Manage and direct the development of a project from inception to completion
  • Define goals, deliverables and scope of project with the stakeholders
  • Develop and implement project plans
  • Communicate project requirements to project team
  • Communicate effectively with project stakeholders
  • Track all project deliverables and timelines and ensure the deliverables meet requirements and schedule
  • Identify any project risks to manage and if possible mitigate them
  • Manage the project financials including forecasting and actuals tracking
  • Motivate and supervise project team members and others contracted to work on the project
  • Conflict resolution within the project team
  • Good at planning, organizing and decision making
  • Ability to influence and motivate others
  • Ability to adapt quickly to new environments
  • Knowledge of HFS/Investor Services Functions
  • Qualification in Project Management or equivalent
  • Knowledge of Project Management techniques and tools
  • Direct work experience in Project Management capacity
  • Experience in HFS/IS Operations or Technology
  • Understanding of Citi O&T practices and procedures
57

Investment Operations Analyst Resume Examples & Samples

  • Daily communications with both internal and external parties to ensure timely settlement of trading activity and accurate portfolio data. Prompt resolution of issues when they are identified
  • Daily interaction with and use of the firm's proprietary systems and databases as well as external systems including Advent, Bloomberg and Charles River
  • Evaluate and improve existing operational processes and procedures to reduce risk and increase efficiency
  • In depth experience in asset/investment management or trading operations essential; non-U.S. markets experience also required
  • Equities & Fixed Income settlements experience (CREST, EuroClear and other European local markets)
  • Knowledge and experience of corporate actions
  • Familiarity with custodian, broker and money manager operations
  • Strong computer skills, including advanced proficiency with Excel, database applications, Charles River, BBH Infomediary and Bloomberg. Knowledge of SQL code a plus but not essential
58

Alternative Investment Operations Associate Resume Examples & Samples

  • Investment NAV oversight, reconciliation and reporting, utilizing a risk based approach
  • Oversight of the Accounting Outsource Provider culminating in the preparation and reporting of
  • Bachelor degree in Accounting with at least 5 years related experience
  • Private Equity Investment accounting experience, minimum 2 years a MUST
  • Proficiency in Microsoft Excel; Knowledge of Microsoft Word
  • 2-3 years for public accounting experience, a plus
  • Ability to prioritize & juggle workload, strong analytical/problem solving skills w/ attention to detail
  • Required to be a self-starter with a hands-on “roll up the sleeves” approach, work independently and require very little supervision
  • Ability to travel to Princeton NJ, when applicable
59

Investment Operations Analyst Resume Examples & Samples

  • Bachelors Degree, preferably in Business or Finance
  • Experienced professional with 1-3 years of investment operations experience in the asset management industry
  • Proven ability to work in a team environment and manage complex tasks to deadlines
  • Fixed interest trades knowledge and experience
60

Citibank Berhad Kl-share Finance & Investment Operations Officer Resume Examples & Samples

  • Strong PC knowledge and able to optimize system application usage
  • Preferably possess tertiary education with 2 years work experience
  • Rationale thinking with good sense of judgment in operational related issues; strong understanding of operational guidelines and procedures
  • Good interpersonal skills; people-orientation
  • Able to work independently and a strong participating team player
  • Strong sense of urgency, deadline and detailed oriented
  • Willing to learn and commit occasionally beyond normal working hours or on weekends and public holidays to meet project deliverables
61

Associate Manager, Investment Operations Resume Examples & Samples

  • Coordinating and reconciling the monthly load process for CAMPPS (Consolidated Asset Management Private Placement System)
  • Facilitate and coordinate the monthly pricing process for private assets
  • Work with business partners to resolve pricing issues under time constraints
  • System administrator for the units reporting system
  • Active participant in enhancements to the units reporting system, from planning to testing
  • Preparing monthly enterprise assets under management for PCGs portfolio
  • Completing various monthly and quarterly reports for PCG
  • Analyzing current processes to find efficiencies
  • Managing special projects and ad-hoc reporting requests along with scheduled workload
  • Reviewing and verifying completed reports before they are released
  • Undergraduate degree in Accounting, Finance, Economics or other quantitative area or equivalent work experience
  • Strong PC skills, including extensive knowledge of Microsoft Suite, specifically Excel
  • Ability to identify, communicate and resolve complex issues
  • Proven ability to improve established processes and leverage technology resources
  • Knowledge of private placements and/or fixed income securities
  • Ability to manage multiple assignments and changing priorities
  • Strong analytical and communication skills are required
  • Overtime is required during peak reporting periods
62

Investment Operations Associate Resume Examples & Samples

  • Timely and accurate processing of trade activity, income payments, corporate actions, and deal restructurings in sub-ledger systems
  • Performing cash settlements
  • Preparing and verifying general ledger entries for portfolio activity
  • Overseeing of financial data quality in the data warehouse and reporting databases
  • Submitting and verifying of adjustments to financial data
  • Reviewing portfolios and confirming rates and rate discrepancies
  • Preparing quarterly regulatory reports to support our SEC and NAIC filing requirements
  • Completing reconciliations to custody banks, trade systems and the financial statements
  • Interfacing with various clients and business partners
  • Supporting various ad hoc inquiries and projects
  • Bachelors degree in Finance, Accounting, Economics or Business related preferred
  • Minimum 3.0 GPA preferred
  • Candidates should be graduating in December 2015/May 2016
  • Strong analytical and problem solving skills; ability to understand and analyze financial data
  • Ability to organize and prioritize tasks and work in a deadline oriented and fast-paced environment
  • Strong partnering and interpersonal skills
  • Strong PC skills; proficiency in MS Excel; knowledge of Cognos, PAM, Oracle, Bloomberg, Access a plus
63

Team Lead-investment Operations Resume Examples & Samples

  • In-depth knowledge and experience in the FX
  • Provides ongoing coaching and development
  • Bachelor's degree from a four-year college or university in Finance or related field is preferred
  • 7 or more years of experience in Foreign Exchange and/or Investment operations
  • Experience with production operations management; or equivalent combination of education and experience required
  • Excellent understanding of financial markets and Foreign Exchange
  • Must be very detail-oriented, organized, and able to think critically and strategically. Must be conscientious, proactive, as well as exhibit great people managing skills
64

Investment Operations Analyst Resume Examples & Samples

  • Collect, validate, import and reconcile trade data from external parties (brokers and investment managers)
  • Liaise with finance to ensure broker payments are received and accounted for
  • Liaise with internal/external parties to ensure resolution of trade discrepancies
  • Assemble and distribute broker and manager statements with applicable communication and follow up where necessary
  • Manage timelines based on monthly posting requirements
  • Utilize industry knowledge and individual discretion to resolve issues on behalf of the firm
  • Responsible for establishment, development and maintenance of relationships with internal and external parties (Brokers, Investment Managers, Finance Team, and Client Relationship Managers). Provide insight to Client Relationship Managers around the brokers participating in the CR program
  • Create new workflows and procedures to stay current with evolving business requirements. Participate in testing & the implementation of new systems and processes
  • Bachelor's degree or an equivalent combination of education and experience will be considered
  • Knowledge of broker & investment manager operations
  • Understands investment concepts and terminology
  • Proficiency with Microsoft Office applications (Excel, Access, Outlook, etc.) and experience with data analysis
  • Detail oriented, ability to identify problems and create efficient solutions
  • Able to contribute individually and as part of a team in an intense/fast paced environment
  • Written & verbal communication skills - articulate ideas clearly & influence others
  • Ability to develop and cultivate relationships at various levels both internal and external to Russell
  • Sound judgment and decision making skills. Translate investment concepts into operational processes
  • Quick learner and adaptable to change. Ability to work effectively without detailed procedures in place
65

Supv-investment Operations Resume Examples & Samples

  • Manage the daily workflow of the Pricing Department to ensure timely and accurate securities pricing and NAV calculations for distribution
  • Supervise a staff of individuals with varying levels of experience and backgrounds. Responsible for the Training and Development of assigned personnel. Establish career plans with staff
  • Monitor for significant market events and document management appraised fair valuation
  • Prepare documentation and facilitate the European Valuation and Liquidity Oversight Committee meeting
  • Review of daily securities pricing tolerance and exception reports for the Franklin Templeton groups more complex, difficult to price and fair value securities, as well as, securities requiring additional research. Work with legal compliance and portfolio management to resolve complex pricing issues
  • Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assist in coordinating the team’s efforts with the Manager. Thoroughly understand and be able to articulate all components of risk and their impact on valuation and hedging techniques
  • Review team tasks as needed on local holidays, weekends, and during Business Continuity exercises/relocations. The Business Continuity relocation may include travel for an extended period of time
  • Plan and set departmental goals. Assist Manager in developing and improving pricing policies and procedures. Propose enhancements to current systems utilized in order to achieve operating effectiveness and efficiencies
  • Manage and participate in various projects in the department. Identify project objective, resources and barriers, and implement project strategies. Ensure successful and timely completion of projects
  • Crisis management – Ability to recommend and implement a plan of action to meet objective when the systems are down, system processes are not functioning or other uncertainties in the system environment
  • Business Continuity – provide direction and make decisions during unexpected events. Assist developing and maintaining business continuity procedures
  • Strategic Planning – Participate in the strategic planning of the Pricing department
  • Master’s degree in Business Management, related field or equivalent experience is required
  • Graduate-level courses in Accounting, Finance or Management are viewed favorably
  • Certifications in Financial Market related courses will be an added advantage
  • Proficiency in MS Office with emphasis on Excel
  • Hands-on and Lead experience in Process transitions
  • Two years of supervisory and/or leadership experience required
  • KNOWLEDGE, SKILLS, AND ABILITIES
  • Ability to supervise the daily securities pricing function by ensuring a smooth operating workflow
  • Ability to resolve various pricing and technical issues within time crunch and ensure timely distribution of NAVs
  • Maintain sound knowledge of various types of securities and markets in order to analyze price reasonableness provided by vendors and brokers
  • Must possess excellent quantitative, creative, and problem-solving capabilities and a strong background in statistical analysis and forecasting techniques
  • Ability to review others’ work and detect control and pricing problems effectively
  • Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet deadlines for reporting mutual fund net asset values. This would entail dealing with various external and internal personnel to resolve problems
  • Work with Portfolio and Trading personnel to determine fair valuation of thinly traded securities. Requires the ability to work with Portfolio Managers, trading, and legal compliance to resolve complex pricing issues
  • Work with Fund Accounting to ensure accurate accounting information is maintained in all systems
  • The ability to work hand in hand with FTT to resolve technical problems and/or enhancement projects
  • Experience with market data vendors such as Bloomberg, Reuters, or Interactive Data (IDC)
  • Personal accident insurance for protection of employees and their families
66

Specialist, Investment Operations Resume Examples & Samples

  • Process the daily morning balancing of the Pension and Lump Sum payments
  • Perform Mortality Searches
  • BPS Users – Set up, changes, deletes – Quarterly Audit
  • Oversee daily/monthly processing of Pension and Lump Sum Benefits including IRA Payments, through the processing of Checks, EFT’s, and Wires
  • Cross-train to back-up to other team members performing daily tasks
  • Ability to manage multiple priorities, and meet tight t deadlines
  • Ability to identify issues and effectively research and resolve problems, including definition of root cause
  • Maintain complete and accurate documentation of work performed
  • Participate in continuous improvements projects
  • Pension/Lump Sum Processing Skills
  • Understanding of Data Entry concepts
  • Understanding of Pension Fiscal Balancing between the Global Plus and Omni Pension systems
  • Able to organize work flow for efficient and effective processing
  • Ability to work with Monthly Reporting Packages (TR20/35 reports & Monthly Extracts, Special Handling Check)
  • Able to perform monthly Lump Sum/Pension Balancing and Verification
  • Ability to work with the internal/external customer in a professional manner on a daily basis
  • Ability to multitask and refocus on numerous processes simultaneously
  • Understanding of the check flow process (PNIs, Dormant Check Recons,) and able to place stops on checks
  • Able to assist with new system release testing
  • Four year degree in business OR equivalent work experience in the financial services industry
  • Proficient with use of MS Office (Word and Excel)
  • Basic knowledge of the financial industry
  • Proven problem resolution ability
  • Proven ability to demonstrate the Key Values
  • Proven ability to build positive working relationships and to represent the organization positively
  • Provide proactive client service
  • Proven ability to identify and articulate possible improvements in process flows to increase quality, speed and productivity within the department
67

Head of Investment Operations Resume Examples & Samples

  • Risk Management & Control
  • Team Effectiveness
  • This role requires the incumbent to interact with the following groups
  • Strong knowledge of standard investment advisor systems, processes, functions, products, and services
  • 10 years relevant experience in the investment management/securities industry and/or functions involving securities compliance, investment operations, internal control and project management
  • Certificate in Investment Performance Management (CIPM) a plus
  • Chartered Financial Analyst (CFA) designation a plus
  • Masters of Business Administration (MBA) a plus
  • Excellent written and oral communication abilities
  • Strong coaching and development skills
  • Well developed prioritizing, time management, and multi-tasking skills
  • Well developed decision making and problem solving skills
  • Ability to work independently and as a team
  • Ability to exercise prudent judgment
  • Superior relationship management abilities
68

Investment Operations Associate Resume Examples & Samples

  • Provide on-the-job training as requested
  • Day-to-day monitoring, recording, and timely dissemination of corporate action event notices to investment teams for decision making
  • Work closely with internal operations groups and custodian banks to confirm and process corporate actions in the Eagle accounting system
  • Process and maintain accurate security master file (SMF) information
  • Properly organize and file all completed workflow activity and file surf for archival purposes
  • Provide tertiary back up for proxy, class action and pricing processes
  • Perform any ad hoc projects and related duties as assigned or requested
  • BA/BS Degree, preferably in Finance/Economics/Business
  • Proficiency in Excel; experience with V-look ups a plus
  • Able to work in a team environment while taking individual responsibility for the quality and accuracy of his/her work
  • The ability to handle people and situations with maturity and professionalism
  • Excellent time management skills; works efficiently under the pressure of deadlines during peak periods, the individual may be required to work after regular hours
69

Investment Operations Associate Resume Examples & Samples

  • Business related degree preferred but all majors considered. Some but not all roles may require an Accounting degree (minimum GPA of 3.2)
  • Knowledge of fixed income products, investment strategies and derivatives through coursework and/or internships
  • Proficiency in MS Office applications, (Excel (pivot/macros), and Word) and ability to learn new applications
  • Must be organized, flexible, able to prioritize tasks and work in a deadline oriented environment
70

Analyst, Investment Operations Resume Examples & Samples

  • Global Corporate Actions experience essential
  • Be able to work with minimal supervision, whilst still working as part of a team. Good organisational skills
  • 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
  • Ability to manage expectations to reporting lines, portfolio management teams and custodians
  • Self motivated and pro active
  • Ability to effectively handle deadlines
  • Good communication skills, both oral and written, at all levels, from peer group to management
71

Investment Operations Associate Resume Examples & Samples

  • Supporting, monitoring and calculating unit values for the funds we support
  • Ensure timely and accurate client activity results are recorded in PARIS
  • Preparing and reviewing validation spreadsheet
  • Support ad-hoc requests for data and performance reporting
  • Ongoing review of NAV errors, in conjunction with established unit value revision policy
  • Participate in various analysis and special projects
  • Responsibility for a portion of new fund set up
  • Performing and reviewing asset to liability reconciliations
  • Review and release of Single Client Statements
  • Performing and reviewing monthly marketing reports
  • Bachelors degree in Economics, Finance, Accounting or Business related preferred
  • Ability to understand and analyze basic accounting principles and financial statements
  • Ability to organize, prioritize tasks and work in a deadline oriented environment
  • Strong oral and written communication skills; ability to deal with associates at all levels within the organization
  • Intermediate to advanced proficiency with Microsoft Excel and Word
72

Senior Investment Operations Associate Resume Examples & Samples

  • Being the primary on-site operations point of contact for activities for each of the CDOs supported by the Alternative Products Team
  • Having some knowledge of CDO operations support and/or products supported
  • Reconciling holdings on a monthly basis between our internal record keeping system, CDO record keeping system and the Trustee for each deal
  • Ensure that security data is up to date in our internal CDO record keeping system
  • Working with the Trustees of each deal to verify the information in the Monthly Trustee Report that is provided to clients
  • Assuming ownership for operational issues that are raised and providing resolution in a manner that is seamless regardless of which operational areas are impacted
  • Quickly learn current processes by leveraging the tools available to help identify inefficiencies
  • Degree in Economics, Finance or Business required
  • 1 to 2 years of related experience
  • Outstanding academic achievement, extracurricular involvement, work experience and demonstrated leadership qualities
  • Strong knowledge of fixed income products, investment strategies and derivatives preferred
  • Self-motivation and ability to work within a team environment
  • PC skills with strong knowledge of spreadsheets
  • Has an entrepreneurial spirit that is willing to take on additional responsibility quickly
  • Enjoys a fast-paced, high-intensity environment
  • Able to multi-task and absorb information across a broad spectrum of products
73

Investment Operations Application Developer Resume Examples & Samples

  • Complete all tasks related to technical analysis, building and unit testing, quality assurance, code reviews, system test and implementation in accordance with the IT development life cycle
  • Analyse requirements, design, build and test system components or amendments
  • Coach, train and assist more junior developers
  • Stay abreast of development trends, learn new technologies, and analyse impact of new technologies
  • Always conform to documentation, coding and quality standards as defined
  • Review, discuss and work within agreed timescales and feedback to project managers/team leader any variances arising as tasks are performed
  • Understand client business and make recommendations and technology suggestions to solve problems and improve efficiency
  • Understand architecture of applications in order to effectively troubleshoot problems and develop more efficient production processes
  • Be prepared to carry out business analysis tasks to ensure that the development/change meets user requirements and expectations
  • Prepare for and support user acceptance testing
  • Perform quality assurance tests on the work of other developers
  • Communicate with internal and external customers, supervisors and management using clear, user-friendly terminology (emails, phone and meetings)
  • Provide On-Call support for systems based on agreed coverage timeframe which includes Subject Matter Expert (SME) cover
  • 5 years+ of experience in IT Software development
  • Knowledge and experience with Sql Server 2012 or higher or Oracle 10g or higher
  • Knowledge and experience using a job scheduling tool such as Autosys
  • Knowledge and experience with Microsoft.NET (C#/WPF/WCF) and working with TFS is a plus
  • Experience developing with Markit Enterprise Data Management (EDM) - Cadis or Informatica is a plus
  • Experience working with Agile/scrum software development framework is a plus
  • Strong analytical and critical thinking skills is a plus
  • Strong technical presentation skills
74

Cib-ais-hfs Investment Operations Resume Examples & Samples

  • Ensure all scheduled operational deliverables are completed by agreed deadlines with the client and/or internal JPMorgan divisions
  • Reconciliation of trades, investment positions and cash balances to external third parties (banks, prime brokers, counterparties and custodians)
  • Perform trade break resolution with prime brokers and counterparties
  • Trade support for listed and OTC products
  • Perform/Supervise PB Margin, Collateral Management and OTC Settlements functions
  • Review OTC long form confirmation and/or confirmations via electronic platforms
  • Oversee and support security life cycle event processing
  • Work closely with the on-boarding team and client through the client implementation process
  • Work closely with clients to resolve queries and providing first level account service
  • Streamline operational processes to reduce risk and improve efficiencies
  • Work closely with technology to perform user acceptance testing, for upgrades, and enhancements
  • Management reporting for MIS and ad hoc request
  • Serve as project lead in departmental projects as needed
75

Investment Operations Analyst, Derivatives Resume Examples & Samples

  • Reconcile portfolio holdings between custodian banks, internal trading system(s) and brokers, track intra-day cash
  • Prepare and designate equity and fixed income derivative funds for trading in US/Asia/Europe markets
  • Calculate and communicate cash equitization levels to traders and PMs to ensure compliance (all funds)
  • A working knowledge of OTC products (futures, swaps, options, initial/variation margin) and the implications they have on funds
  • Analysts are required to work periodic holidays as well as early morning shifts (start time is 4:30am)
  • Bachelor's degree in finance, economics, or business administration
  • Candidates must be analytical, detail-oriented and precise with numbers, with a solid understanding of the securities/fund industry as well as investment concepts and strategies
  • Strong individual contributor and team player in a fast-paced environment with the ability to prioritize and complete multiple assignments under short deadlines
  • Maintain strong client-relationships with the foreign exchange, equity, and fixed income derivative teams
  • Familiarity with custodian, broker, and money manager operations
  • Strong computer skills, including advanced proficiency with Excel and comfort with database applications
  • Willingness and flexibility to work non-standard schedules associated with providing trading support across global markets
76

Senior Investment Operations Associate Resume Examples & Samples

  • Reconciling cash on a daily basis between our internal systems; PGIM and Aladdin with the Custody bank for each fund
  • Reconciling holdings on a monthly basis between our internal systems; PGIM and Aladdin with the Accounting Agent or Custodian for each fund
  • Reconciling Net Asset Values on a monthly basis between our internal systems; PGIM and Aladdin with the accounts official NAV source
  • Bachelor's degree required; Accounting, Economics, Finance or Business preferred
  • Strong knowledge of fixed income products, investment strategies and derivatives
  • 2-4 years prior experience in accounting or custody operations
  • PC skills with strong knowledge of excel
  • Ability to be organized, flexible, prioritize tasks and work in a deadline oriented environment
77

Cib-ais-hfs Investment Operations Resume Examples & Samples

  • Oversee PB Margin, Collateral Management and OTC Settlements functions
  • Management of security life cycle event processing
  • Ensure that all controls and procedures outlined in the procedures manual and general company policies are complied with across all groups
  • Create, maintain and update procedures for client specific deliverables
  • On-going review of daily controls and communication of any new training or procedural changes to the team
  • Act as client relationship manager and service as escalation contact
  • Ensure appropriate allocation of work across teams
  • Conduct training and coaching new team members
  • Act as project lead on departmental initiatives
  • Responsible for monthly operations sign-off (including finalizing reconciliations and assessing materiality)
78

O&t-investment Operations Officer Resume Examples & Samples

  • Bachelor degree holder with minimum 5 years’ relevant working experience, preferably in securities, mutual funds and insurance operations
  • Latest banking and investment operations knowledge especially on fund transfer, trade settlement
  • Keep pace in investment product features and operations flows
79

VP Investment Operations, Advisor Services Resume Examples & Samples

  • Requires 8-10 years experience dealing with investment products
  • 3-5 years supervisory experience
  • Must possess Series 7, 24 and 53 FINRA licenses, or obtain shortly after starting role
80

Investment Operations Resume Examples & Samples

  • Sourcing of Valuations (NAVs) from Delegated Custodians
  • Validate NAV received from Custodian through application of rules and checks and query with Custodian where necessary
  • Preparation and production of Quarterly and Annual Statements for the Delegated Portfolios
  • Preparation and production of Quarterly request for fees to the Delegated Custodian
  • Preparation of Quarterly Report on all Delegated Bonds for Finance & Actuarial
  • Daily reconciliation of fees received and required updates to the Fund Administration system
  • Liaising with Custodians in relation to unpaid fees/withdrawals
  • Liaising with the Custodians where Standing Order amounts need to be updated
  • Cash Management process managed Quarterly
  • Update the Bank Rec Log for Servicing - surrenders/transfers
  • Sign off on Delegated Valuation (NAV) for Surrenders
  • Client Queries - ensure all client queries are addressed in a timely and accurate manner
  • Responsible for production of daily online valuations
  • Posting of monthly/quarterly product charges
  • Reconciliation items investigated daily
  • Update Log for Servicing - surrenders/transfers
  • Ensure all team processes, procedures and check-sheets are kept up to date
  • Liaise with other team members on queries and complaints to seek agreement and resolution
  • Ensure root cause analysis is completed for all errors
  • Valuations experience required with a knowledge of component parts of a valuation
  • Knowledge of the Funds Services Industry and the different types of fund structures
  • Good working knowledge of Excel
  • Minimum of 2 years working within the Valuations area
81

Team Lead, Investment Operations Resume Examples & Samples

  • Revenue calculation and reporting of fees related to Investment management services and administration
  • Allocation of revenue between various business units and/or asset managers
  • Track and age outstanding receivables
  • Validate fee calculations on clients statements
  • External and Internal business partner communication
  • Developing and managing staff members
  • Fee related project management
  • Bachelors degree required; Accounting, Finance or Economics preferred
  • Minimum 3 years accounting/financial services experience
  • Ability to lead a team of 1-2 associates
  • Proficient in MS Word, Excel and Access
  • Knowledge of accounting and ORACLE ledger a plus
  • Ability to organize and prioritize multiple tasks/projects in a deadline oriented and fast-paced environment
  • Strong verbal and written communication skills; ability to interact with both internal and external business partners and associates at all levels within the organization
  • Strong mathematical, analytical and problem-solving skills
  • Ability to evaluate and implement process improvements
  • Strong interpersonal skills; ability to partner, develop and maintain business relationships
  • Motivated, confident and enjoys being challenged and works well individually and in a team based environment
82

Investment Operations Specialist Resume Examples & Samples

  • Knowledge of the investment management/asset servicing industry, acquired through experience, is critical for this position
  • Demonstrated client servicing capabilities and excellent communication skills are required for success in this position
  • Must be resilient to pressure and have the ability to adapt quickly
  • Organizational skills are required to manage conflicting priorities and multitask functions in a fast-paced team environment
  • Project implementation skills required to integrate new business with existing business
83

Investment Operations Analyst Resume Examples & Samples

  • As part of the EMEA Settlements, investigating failing trades and pre-matching issues with brokers, custodians and internal departments in accordance with market deadlines and internal procedures. 70%
  • Daily interaction with and use of the firm's proprietary systems and databases as well as external systems including Advent, Bloomberg and Charles River. 20%
  • Evaluate and improve existing operational processes and procedures to reduce risk and increase efficiency. 5%
  • Create department workflows and procedures to effectively process the trading strategies and other activities associated with the implementation and support of new business initiatives. 5%
84

Investment Operations Analyst Resume Examples & Samples

  • 5+ years of Advent Portfolio Exchange (APX) experience with considerable fluency
  • Investment Reporting and Performance Analysis experience
  • Experience tracking Limited Partnerships and other Alternative Investments
  • Proficiency with Advent/APX custom report writer, scripts and macros
  • Degree in Accounting and/or Finance
  • SSRS report development on APX
  • Experience with Bloomberg Terminal
85

Investment Operations Administrator Resume Examples & Samples

  • 3–6 years of administrative experience with an Investment Advisor, Broker, or Wealth Management office
  • Experience with investment documentation and custodial relationships
  • Strong Microsoft Excel, Outlook and Word skills
  • Strong organizational/multitasking skills with the ability to plan/prioritize to ensure efficient and timely deliverables
  • Client service-oriented
  • Strong attention to detail and ability to adapt quickly to a changing environment
  • Ability to communicate (both written and verbal) with all levels of management as well as staff members
  • Ability to work effectively on cross-functional teams or independently
  • Degree in accounting or finance
86

Investment Operations Intern Resume Examples & Samples

  • Produce, review, and distribute routine reporting relating to trading or portfolio activity
  • Develop knowledge of fundamental concepts and complete routine processes
  • Document procedures and identify opportunities for process improvement
  • Developing skills and knowledge of different investment software (e.g. Aladdin and Bloomberg) Developing skills and knowledge of different investment software (e.g. Aladdin and Bloomberg)Develop skills and knowledge of different investment-related software (e.g. Aladdin and Bloomberg)
  • Assist with various projects
  • Pursuing a bachelor’s degree in Finance or related field
  • Working knowledge of Microsoft Office applications including Excel, Work, and Outlook
  • Work experience in an office environment
  • Advanced skills in Excel preferred
87

Senior Investment Operations Associate Resume Examples & Samples

  • Review and resolve trade discrepancies with brokers, gain agreement on all trade details (financial info as well as settlement info)
  • Ensure all trades are sent to banks by deadlines on trade date, with particular emphasis on short-settlement trades
  • Save, store and file all broker confirms each day
  • Affirm all domestic and global trades
  • Load all FX files, ensure all FX activity is matched with brokers in GTSS, and resolve any discrepancies
  • Maintain accurate broker settlement instructions in accounting system
  • Review and analyze futures variation margin (FVM) movements with brokers and banks
  • Monitor all trade processing in our Trade Order Management systems
  • Maintain data integrity of Trade Systems (holiday calendar, security info, daily error messages etc)
  • Confirm all manual/non-standard trades & trade requests have been received by the custodian (FXs, T-Bills)
  • Build and maintain collaborative relationships with internal and external parties
  • Assist with ad hoc projects
  • BA/BS degree required, preferably in Finance/Economics/Business
  • 1 to 3 years of related experience in the accounting/operations area of the investment management industry preferred
  • Knowledge of securities markets/transactions
  • Takes initiative and exhibits leadership qualities when dealing with problems and projects
  • Proficient system skills
  • During peak periods, the individual may be required to work after regular hours
  • Occasional holiday coverage required
88

Investment Operations Analyst Resume Examples & Samples

  • Experience in Investment Operations in the asset management industry
  • Financial Services related degree
  • An ability to work in a team environment and manage complex tasks to deadlines
89

Investment Operations Cluster Head Resume Examples & Samples

  • Male/female
  • Banking, accounting and investment and treasury transactions knowledge
  • Leadership skill
  • Ability to adapt and work under presure with minimum supervisory and fast learner while at the same time could do the effective teamwork
90

Investment Operations Analyst Resume Examples & Samples

  • Perform trade administration functions, including the processing/capture of transaction data into AMPCI systems, follow up of all trade related issues and notification of transaction data to service providers/custodians
  • Liaise with AMPCI's investment staff, external service providers and brokers to resolve trade related issues
  • Investigate and liaise with the AMPCI Front Office and custodian to resolve cash and holding reconciliation breaks in a timely manner
  • Research and investigate corporate event information, manage notifications to portfolio managers and instructions to the administrator
  • Ability to job rotate and participate in general cross training within the Investment Operations Support team which will include specific ad hoc functions
  • Be actively involved in the implementation of any new processes and projects with a focus of providing relevant support for the team
  • Contribute to the design, enhancement and implementation of procedures and processes within the Investment Operations unit and continue to maintain up to date procedures and process flows
  • Identify continuous process improvement opportunities and recommend procedural changes which improve efficiency, reduce risk and strengthen operational controls
  • Previous experience in the following systems would be an advantage: BlackRock Aladdin, DTCC and Charles River
  • Experience with the interpretation of Fixed Interest and Equity trade administration and settlements
  • Understanding of trade matching process and its various components regardless of system
  • Excellent analytical skills with the ability to solve problems and make decisions
  • Excellent stakeholder and relationship management skills and the ability to work in a highly collaborative team environment
  • Bachelors in Commerce, Business or Finance
  • Ability to work in a team environment and manage complex tasks to deadlines
91

Assistant VP, Investment Operations Resume Examples & Samples

  • Capturing and communicating key data relating to Oaktree’s portfolio companies and other private investments in all jurisdictions, with a particular focus on the US and Europe
  • Building and sustaining best-in-class operating procedures to capture and share relevant information across the organization
  • Creating a data infrastructure for investment information across Oaktree that allows for real time analytics and periodical reporting to top executives
  • Coordinating and working with Legal, Accounting, Tax, Operations, Compliance, and other departments across Oaktree; and
  • Performing other tasks and projects as necessary
  • 5-10 years of project and process management experience
  • Experience with large scale technology implementations
  • Knowledge of the financial services industry
  • Exceptional communication skills are necessary given scope of interactions across the global business
  • Experience with data analytics is a plus
  • Demonstrated ability to analyze complex data, evaluate information, identify key issues, draw logical conclusions and close out projects; and
  • Proven ability to maintain composure under pressure while meeting deadlines
92

Investment Operations Analyst Resume Examples & Samples

  • The security pricing analysis requires review of exception based risk reports generated from the OneTIS system that involves analytical skills, prioritization, and attention to detail in a critical deadline driven environment
  • Research security price challenges initiated by Portfolio, Trading, and/or Investment Accounting & Operations Departments. Ensure market valuations are accurate, timely and representative of traded markets
  • Daily interactions may include broker counterparties, pricing vendors, internal trading desk and Portfolio Management, Global Pricing Services teams, Investment Analysis and Operations teams, and other Franklin Templeton Services business units
  • Act as liaison with Portfolio, Trading, Fund Accounting, and external auditing firms
  • Audit corporate actions daily as they relate to valuation and coordinate with the corporate actions group as necessary
  • Provide coverage for other Analysts as needed
  • Support external auditors by addressing pricing audit issues
  • Review, analyse, and resolve any pricing exceptions on a daily basis for assigned region or security type
  • Document all research and exception findings for files. Maintain orderly and complete organization of files
  • Analyse unchanged security prices on a periodic basis
  • Monitor single sourced securities and obtain secondary sources as available
  • Develop and maintain vendor and broker relationships
  • Provide cross-training for other Analysts as required
  • Participate in discussions regarding future plans for enhancements to existing products and integration of new products
  • Evaluate software readiness and conduct quality assurance audits to ensure proper readiness into the production environment
  • Identify and initiate workflow improvements
  • Work with Supervisor/Senior Analyst on special projects as assigned
  • Perform standard Investment Operations Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations
  • Solid understanding of global financial markets, including security pricing, descriptive data, and the impact of corporate actions on securities processing
  • Must possess basic quantitative, creative, and problem-solving capabilities
  • Solid organizational skills and flexibility
  • Reliable, responsible, self-motivated with hard work ethic, requiring minimal direct supervision
  • Ability to prioritize tasks based on urgency
  • Strong inclination towards numbers and details
  • Enthusiastic interest in asset management and financial services
  • Demonstrated ability to interact effectively with co-workers
  • Proven experience in the financial industry
  • Sound knowledge of the financial markets and various security types
  • Experience in portfolio administration, security settlements, or corporate actions will be viewed favourably
93

Investment Operations Analyst Resume Examples & Samples

  • Trade support – Matching, trade settlement and confirmation, SWIFT
  • Middle Office support
  • Perform daily and monthly calculation, reconciliation, control and outlier reporting of performance for assigned client’s portfolios, and benchmarks
  • Update security and portfolio level class schemes and properties
  • Prepare and analyze monthly and quarterly performance
  • Prepare and analyze monthly client reporting
  • Create and update composite benchmarks
  • Verify and maintain security static and dynamic data
  • Verify and maintain portfolio static and dynamic data
  • Daily and monthly reconciliation of portfolios with custodian banks
  • Trade capture
  • Address ad hoc inquiries from the client/custodian banks including wealth related topics, trade support and performance analysis such as providing explanations of performance fluctuations and anomalies
  • Identify inefficiencies in the current production processes and make recommendations on how to improve them
  • Work in partnership with product teams to resolve issues and improve overall processes
  • Maintain internal client support logs
  • Documentation of processes
94

Investment Operations Kaspick Resume Examples & Samples

  • Responsible for the planning and execution of asset transfer plans for new and transitioning clients and new gift activity
  • Prepare and present detailed written asset transfer to clients
  • Coordinate plan execution and manage associated deliverables across multiple internal departments, custodians, and clients
  • Execute the transfer of assets and funds between client accounts
  • Monitor and communicate asset transfer status and tracking relative to the plan and manage stakeholder expectations
  • Interact with other team members and make recommendations on complex transfer matters
  • Act as a facilitator for communications between the custodian, the client, and internal departments regarding asset transfers
  • Troubleshoot and resolve asset transfer related issues
  • Provide oversight of portfolio cash levels for meeting scheduled liabilities
  • Conduct portfolio deviation analyses and research
  • Prepare portfolio reviews and researches discrepancies
  • Serve as a voting member of the Investment Committee
  • Participate in process improvement initiatives within the department and company
  • Two or more years of experience in investment/brokerage operations
  • Experience with portfolio accounting software systems; Advent APX experience preferred
  • Experience in Microsoft Excel
  • Familiarity with charitable asset and/or endowment management preferred
  • Knowledge of securities and asset transfer methods
  • Strong oral and written communications skills and client interaction skills
  • High attention to detail and ability to meet deadlines
  • Successful experience working in a team-oriented, collaborative environment
95

CIB Investment Operations Middle Office Client Change Associate Resume Examples & Samples

  • Working with Clients to define and capture their requirements in the context of agreed service parameters
  • Partnering with SMEs across multiple functions and locations to develop solutions including business and functional requirements, process flows and operating model documents
  • Preparation of Impact Assessments to address delivery approach, resources and timelines
  • Providing end-to-end project reporting, issue management, risk tracking and mitigation, and resource tracking to stakeholders at various levels to ensure delivery on scope, time and budget, and in compliance with organization’s control framework
  • Continuously reviewing change delivery process to implement improvements
  • Developing, tracking, analysing and publishing project and financial reports, scorecards and program/project performance trends
  • Previous change management experience
  • Knowledge of key components of the fund services and custody business
  • Appreciation of nuances and challenges of a client-facing Change delivery function
  • Ability to effectively prioritise conflicting demands, and manage one’s own time to deliver on established commitments
  • Ability to think flexibly and creatively, challenge status quo, probe for details to develop alternative solutions and recommendations for change
  • Effective communication, presentation and influencing skills
  • Ability to work in collaboration with business partners and clients at all levels
  • Ability to identify and analyse dependencies across products, systems and functions, ensuring holistic approach to requirements, implementation approach and final deliverable
  • Strong sense of ownership and result-orientation
  • Resiliency and ability to maintain positive attitude in the face of challenge and uncertainty
  • Expert Excel, PowerPoint and Visio skills
96

Investment Operations Associate Resume Examples & Samples

  • Provide exceptional client service to external and internal clients
  • Adhere to ethics and employee code of conduct
  • Review activities within the job scope for sufficient controls to prevent errors and misstatements of financial results and to monitor for evidence of fraud
  • Maintain data for new and existing clients in Salesforce, iRebal, WealthCentral
  • Monitor tasks and client requests
  • Generate client reports and historical data
  • Updating trading software on a daily basis
  • Support trading operations; i.e. iRebal rebalancing, trade execution, best execution reports, trade blotters and tickets
  • Keep Financial teams up to date by monitoring daily transactions and custodian alerts
97

Investment Operations Officer Resume Examples & Samples

  • Male/female
  • Banking, accounting and investment and treasury transactions knowledge
  • Ability to adapt and work under pressure with minimum supervisory and fast learner while at the same time could do the effective teamwork
98

Investment Operations Resume Examples & Samples

  • Coordination and oversight of Business Operations Securities Lending BAU activities to ensure timely enablement of new lendable inventory and client onboarding in accordance with client guidelines and established policies
  • Partner with APG and other Business Operations teams to identify opportunities to enhance the controls and processes related to onboarding new Securities Lending clients, expand access to lendable inventory, and prioritize and drive the completion of any related deliverables
  • Act as a subject matter expert with regards to securities lending operations to work jointly with the Securities Lending and Finance team in researching and managing the implementation of market, borrower or asset expansion activities 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
  • Bachelor’s degree required. Master’s degree or other certifications/achievements desirable
  • Minimum 5 years of experience in the financial industry; Securities Lending and Project Management experience a plus
  • Highly detail oriented and risk focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results
99

Alternative Investment Operations Associate Resume Examples & Samples

  • Reconcile firm accounts
  • Reconcile Financial Advisor Compensation
  • 1-3 years of experience in the financial services industry
100

Alternative Investment Operations VP-wealth Management Operations Resume Examples & Samples

  • Reconcile client distribution and redemption proceeds
  • Excellent attention to detail and follow-up
  • Ability to thrive in a fast paced and changing environment
101

Investment Operations Analyst Resume Examples & Samples

  • Carries out and ensures all assigned IO tasks are completed and accounted for in a timely fashion. Communicates and coordinates with internal IO and FT group or external parties, to respond to or resolve problems
  • Responds to and resolves any ad hoc queries relating to relevant work processes, with a sense of urgency
  • Serves as back-up support for assigned IO functions
  • Update statistics for tracking and reporting purposes
  • Participate in training (internal or external)
  • Assists Supervisor in developing and improving procedures given the current systems utilized and new systems being developed. Maintains and updates procedure documentation
  • Participates in various projects in the department, ensures successful and timely completion of responsibilities
  • Bachelor degree in a finance related major e.g. Commerce, Banking & Finance, Accounting or Economics, or equivalent work experience preferred
  • 1~3 year of financial experience in securities/investment operations business preferred
  • Good product knowledge(Equity, Fixed Income, FX and Derivatives)
  • Good financial services operation knowledge(Trade Settlement, Corporate Action, Pricing and Security information)
  • Good knowledge of financial markets and various security types
  • Good research, problem solving and analytical skills
  • Good verbal and written communication skills in Korean and English
  • Good organizational and basic project management skills
  • Able to work under pressure and ability to track and deliver assignments on schedule
  • Good PC skills – Windows applications
  • Possess the ability to work on multiple problems at the same time, to take the initiative and to keep all appropriate personnel appraised
102

Investment Operations Manager Resume Examples & Samples

  • Strong academic background in finance and accounting or related field
  • 5+ years of Fund Administration, Middle Office or relevant experience
  • Fluency in Japanese and English
  • Strong command of Microsoft Excel, Word and other Office programs
  • Outstanding interpersonal, written and verbal communication skills
  • Ability to excel in a highly collaborative global team
103

Senior Associate, Investment Operations Resume Examples & Samples

  • Uploads & verifies investment prices in the recordkeeping system
  • Uploads and verifies dividends in the system on a daily basis
  • Market Timing oversight and reporting
  • Historical Performance of Investment Choice (HPIC) reporting
  • Client point of contact for executive insurance benefit plans
  • Administration of corporate owned life insurance (COLI) plans on a proprietary database
  • Responsible for the premium-crediting program, including preparation of the premium listings, following up as necessary to ensure monies have been received, and credited. Reconciles and updates weekly records of premiums paid between MullinTBG and the carriers
  • Determines policy capacity with each premium payment. Performs general analysis to determine if and when 7-pay capacity will run out
  • Proficient in asset reallocation administration, implementation and execution
  • Proficient in Asset Value Reporting (AVR) to include carrier extraction, auditing and report preparation
  • Able to create and update all versions of policy analyses
  • Creation of asset/liability templates for delivery to CRMs, consultants and client service team, to include COLI data extraction and obtaining liability values from Client Services
  • Generate and confirm accuracy of a variety of spreadsheets, reports and correspondence, as required
  • Ensure compliance with plan rules and regulations as well as client directed funding strategies
  • Coordinate activities of client, plan participants, trustee insurance companies and other affiliates
  • Participate in company, department, team and individuals goals, special projects and task forces
  • Participate in development and mentoring of less experienced staff
  • Promote improvement of department processes, procedures and work product
  • Other responsibilities and tasks, as assigned
  • Minimum of one year of practical work experience, preferably in financial services
  • Basic financial acumen with strong math skills
  • Undergraduate degree in related field and/or relevant experience
  • Knowledge of life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred
  • Ability to anticipate needs and take effective action
  • Experience in and knowledge of Excel, or other spreadsheet/database applications and Microsoft Word is preferred
  • Utilizes reasoning ability to define problems, collect data, establish facts and draw conclusions
  • FINRA Series 6 & 63 and state insurance license required within 120 days of hire
104

Investment Operations Associate Resume Examples & Samples

  • Cultivating both internal and external relationships to ensure proper service levels are achieved
  • Assisting with writing operational policies and procedures
  • Developing a deeper understanding of different products and markets and build relationships with our business partner to service our clients
  • Business related degree preferred but all majors considered. (minimum GPA of 3.2)
105

Manager, Investment Operations & Compliance Resume Examples & Samples

  • Acts as primary point of contact for matters outside of routine activities, including but not limited to, operational issues, change management, and ad hoc projects and requests
  • Ensure department compliance with internal requirements and external regulations
  • Execute operational aspects of investment strategy for all trusts managed by the Investment Office
  • Supervise, coach, and develop Investments Analyst
  • Act as liaison between external third parties and other Exelon departments
  • Prepare reports and make presentations to the Senior Vice President and Corporate Investment Committee
106

Investment Operations Specialist Resume Examples & Samples

  • Provide functional support to portfolio managers, traders, and portfolio administrators for Eaton Vance’s portfolios and order management systems
  • Responsible for monitoring trade affirmation and settlement of market transactions
  • Provide reconciliation support for investment team
  • Establishing new client and fund accounts in various trade management systems
  • Work with brokers and custodian banks to resolve trade settlement problems
  • Identify and resolve problems related to transactions or investment data in a timely fashion following established guidelines
  • Facilitate the accurate and timely delivery of critical business information among all necessary parties
  • Initiate the execution of transactions directed to specific brokers as specified in client contracts
  • Act as business owner of data, demographic and activity reports, operations requirements and daily account processing
  • Collaborate with fellow colleagues to ensure all daily fixed income functions are completed concisely each business day
107

Investment Operations Spec Resume Examples & Samples

  • Three to four years of experience in investment operations activities
  • Thorough knowledge of the investment operations within the assigned area
  • Good knowledge of the computer applications used in the assigned area
  • Proven customer service skills
108

Investment Operations Associate A Resume Examples & Samples

  • You communicate effectively with colleagues and business partners through written and verbal correspondence
  • You apply your advanced Excel skills in our day to day operations as well as developing solutions for complex projects
  • You solve complex problems by applying deliberate, calculated analytics
  • You are constantly pursuing a deeper and expanded knowledge of the business and industry
  • You have an eagerness to participate in the agility of the group through training and supporting the larger DCoE team
  • You recognize and escalate high-risk items to minimize loss to either the shareholder and/or Fidelity
109

Investment Operations Administrator Resume Examples & Samples

  • Complete, qualify, and follow through on investment account documentation with various custodians, institutions, and fund managers
  • Complete requisite documentation to setup/add new client(s) accounts in the portfolio accounting system
  • Track new account progress with custodian and communicate new account status to Investment Reporting team
  • Process, qualify and facilitate the movement of funds including wires, EFT, and automatic sweeps
  • Process, qualify and facilitate the transfer of securities between managed accounts and external third party accounts
  • Assist in the production and assembly of client investment and activity reports
  • Oversee and coordinate with administrative support
  • 3 – 6 years administrative experience with an Investment Advisor, Broker, or Wealth Management office
  • Bachelor’s Degree required; major in accounting or finance preferred
  • Strong organizational/multi-tasking skills with the ability to plan/prioritize to ensure efficient and timely deliverables
  • Strong interpersonal, communication and presentation skills essential with an aptitude towards client service
110

Head of Investment Operations & Fund Accounting Resume Examples & Samples

  • Recognized Degree in Finance or Accounting
  • Minimum 8 years working experience in the investment operations/fund accounting of insurance/asset management/ unit trust management companies
  • Good knowledge on settlement functions and accounting
  • Good knowledge of Fund Accounting functions
  • Adequate understanding of securities law
  • Good knowledge of investment systems (knowledge of Bloomberg and Portia is added advantage)
  • Good with figures and conversant in spreadsheet soft wares
  • Well verse with the Securities Commission’s guidelines and accounting standards
  • Fluent English and good communication skills
  • Good analytical skill and attention to detail and accuracy
  • Good organizational skills (in thoughts and procedures)
  • Proactive and ability to meet deadlines
  • Good inter-personal skills
  • Ability to work well in team environment; collaborative, consultative and placing benefits to company/clients above self
  • Maintain good communications with all departments/ Business Units
111

Investment Operations Specialist Resume Examples & Samples

  • Respond to Financial Consultant compliance inquiries and escalated issues
  • Monitor and follow up on new business
  • Update and review operational tasks
  • Clerical duties such as answering telephones, mailing, filing, and processing forms
  • Strong analyzing, coordinating, organizing, and follow up skills
112

Regional Investment Operations Specialist Resume Examples & Samples

  • Analyze account information to discover any issues
  • Recommend best paths for Financial Consultants and clients
  • Respond to client inquiries and requests
113

Associate, Investment Operations Resume Examples & Samples

  • Participate in the oversight of daily operations among service providers, transfer agents, custodians, fund accountants and internal departments
  • Service client calls and provide quality service and an excellent customer experience to clients, banks, trusts, broker/dealers and other service providers; coordinate associated internal and external information flow
  • Support new fund products and trading instruments, as well as the investor onboarding process; qualify new business and document compliance
  • Monitor adherence to contractual policies, procedures & controls through review of Service Level Agreements
  • Process daily transaction files from service provider and track new product activity
  • Oversee cash reporting and projections to portfolio managers
  • Assist with preparation of audit requests received from DFA client and external auditors
  • Support special projects and initiatives for Investment Operations and other groups on an ad hoc basis
  • Develop an in-depth understanding of the service provider’s processes and platforms of back
  • Assist in developing business requirements and data gathering as necessary for any change service requests
  • Monitor trade exceptions & complex shareholder issues; reconcile transaction activity with service providers
  • Bachelor’s degree; Finance, Business or Economics preferred
  • Ability to work well in a team environment, both locally and across international offices
  • Strong analytical mindset with an ability to synthesize data
  • Motivated to self-teach skills and apply learned knowledge to applicable tasks
  • Eager to learn and responsive to constructive feedback and guidance
  • Local regulatory licenses may be required
  • Ability to work independently to meet project requirements with minimal supervision
  • Past experience working in Financial Services, preferably in back office/fund operations preferred
114

Investment Operations Associate Resume Examples & Samples

  • Complete subscription and redemption documentation, track share class information, and monitor manager liquidity provisions on behalf of the client
  • Proactively support client team objectives through communication with third-party service providers. Review documentation and maintain correspondence
  • Utilize internal CA resources to support investment team activities
  • Provide administrative support to client teams and other members of the Advisory Services Group (ASG)
  • Act as a secondary contact for ASG clients, investment managers, and internal investment team staff. Collect, interpret, and organize information relating to all aspects of client portfolios
  • Maintain awareness of current investment themes and client interests
  • BA/BSc or equivalent required
  • Able to learn quickly and adapt to new challenges
  • Experience in Microsoft Office Suite, including Excel, Outlook, and
  • Experience with Adobe PDF
  • Preferred knowledge of basic finance principles
115

Junior Investment Operations Associate Resume Examples & Samples

  • Serve as the principal data contact for C|A relationships with investment managers located in Asia, Europe, and the Middle East
  • Cultivate a deep understanding of investment firms and their reporting practices in order to efficiently and effectively track the required data with the highest level of precision and accuracy
  • Proactively communicate with investment management firms to collect, extract, and enter investment data into our proprietary databases for internal analyses
  • Field data requests from internal staff with the highest degree of customer service and professionalism
  • Develop an understanding of the various C|A departments and facilitate communication between multiple relevant parties
  • Work on initiatives in coordination with colleagues from global offices to meet stakeholder needs and to improve MIG’s core functionalities
  • Serve stakeholder queries as a subject matter expert on fund intricacies and tracking methodologies
  • Consistently re-evaluate internal processes to detect inefficiencies and identify new best practices to help MIG evolve and succeed as a best-in-class organization
  • Perform additional duties and engage in projects as necessary in the evolution of the teams and department
  • Strong organizational and time management skills; ability to work on multiple projects/clients simultaneously while ensuring timeliness and accuracy
  • Strong attention to details and proficiency in reconciling data across multiple sources
  • Excellent communication skills, both verbal and written; ability to interact efficiently with a wide range of managers and colleagues across different cultures, time zones and geographic regions
  • Exceptional analytical and statistical skills
  • Ability to adopt a proactive, customer-service oriented approach at work
  • Ability to work independently and collectively as part of a team
  • Strong IT proficiency, particularly with MS Outlook and Excel
  • Bachelor’s degree (all majors are welcome)
  • 1-2+ years of related work experience (preferred, but not required)
116

Manager, Investment Operations Systems Resume Examples & Samples

  • Provide senior technical leadership including being conversant with the future direction of IT and business trends and how that direction will impact the business
  • Provide accurate and relevant reporting information relating to the IT project portfolio to business stakeholders
  • Achieves budget objectives by scheduling expenditures, analyzing variances, initiating corrective actions on projects
  • Perform capacity planning, resource allocation and facilitate project prioritization across the business stakeholders,
  • Carries out supervisory/management responsibilities effectively in accordance with the organization’s policies and applicable laws
  • Assists IT support staff in their daily functions as required
  • Ensure products are managed through the full life cycle and adherent to compliance and information security guidelines
  • Ensure products meet the business requirements for business continuity and disaster recovery
117

Investment Operations Associate Resume Examples & Samples

  • Set up new assets and prices that enable trading and portfolio valuation
  • Support investment professionals through transaction processing and settlement
  • Review compliance on investment group buy and sell orders
  • Monitor cash movements to determine cash available for investments
  • Maintain the funds’ books and records as well as ensure calculation of the funds’ prices and distributions
  • Analyze portfolios and measure investment results
  • Analyze and improve end-to-end business processes that touch all parts of investment operations
  • Collect and provide information requested to support investment professionals and CG associates with research and market data services
  • Currently a senior standing in 4 year Bachelors program, or Masters of Accounting student
  • Cumulative GPA of 3.0 or above
  • Interest in pursuing a career in financial services
  • Demonstrated Leadership
  • Drive/Initiative
  • Strong Communication
  • Intellectually Curious
  • Adaptable/Agile Learner
118

Investment Operations Specialist Resume Examples & Samples

  • Has sound understanding on corporate structure, particularly around engagement and delivery mechanisms
  • Strong thinker on service approach that will drive positive revenue, productivity and experience outcomes
  • Demonstrated experience in driving service initiatives that improve revenue or reduce cost of poor quality
  • Exhibits strong interpersonal, influencing and negotiating skills used in motivating, influencing and advising senior stakeholders in the organisation
  • Demonstrated experience in working with senior management, and skilled in providing sound advice and recommendations
  • Able to conceive structure around execution and implementation, and apply an array of technical skills to deliver on set objectives
119

Investment Operations Extended Internship Spring Resume Examples & Samples

  • Candidates must be working toward a degree in Finance, Accounting, Economics or equivalent (with an interest in investments)
  • Applicants must have a minimum of 1 semester of schooling remaining post-internship in order to be considered for this role
  • The ideal candidate will be willing to take on new tasks and look for ways to improve processes or reporting effectiveness
120

Senior Investment Operations Associate Resume Examples & Samples

  • Proactively communicating issues to relevant business partners
  • Training new members within the unit
  • Some knowledge of Sarbanes-Oxley / Audit controls, a plus  
  • Degree in Accounting, Economics, Finance or Business preferred
  • Prior experience accounting or custody operations
121

Finance & Investment Operations Intern Resume Examples & Samples

  • Daily Bloomberg or cash reconciliation
  • Security Master File verification
  • Daily Dynamo software upload and formatting
  • Daily unclassified Global and emerging market credit
  • Barclay’s POINT analytical software data verification/reconciliation
  • Cash desk custodian bank report downloads
  • Must have strong analytical skills with great attention to detail
  • Must be an independent thinker with strong communication skills
  • Must be driven to manage workload with limited direction or supervision
  • Microsoft Office Suite and Microsoft Excel functions
  • Familiarity with Bloomberg a plus
  • Finance, Accounting, Operations, Economics, International Business, or Decision Sciences
122

Senior Associate, Investment Operations Resume Examples & Samples

  • Manage operational relationships with clients, service providers, custodians, fund accountants and internal departments; ensure the delivery of high quality service
  • Oversee daily vendor reporting & ensure system applications remain in control of Dimensional business processes
  • Evaluate trade exceptions and complex shareholder issues; work with service provider to implement necessary operational improvements
  • Oversee change management service requests from internal stakeholders and determine appropriate action
  • Manage the development process for mapping, defining and documenting process flows; identify areas of improvement and oversee improvement efforts for both internal and external functions
  • Provide support to senior management and Legal during client contract negotiations and prospectus reviews
  • Support reconciliation of back or middle office invoices
  • May present operations model during onsite client due diligence visits
  • Manage special projects, initiatives and audits for Investment Operations and other groups on an ad hoc basis
  • May serve as lead in supervisor’s absence; responsible for reviewing and approving others’ work in certain cases
  • Bachelor’s degree; Finance, Business or Economics
  • Minimum of 5-7 years of relevant experience in middle office operations
  • Past experience with third party vendor management of back office or middle office functions
  • Project management skills, including systems integration of new technological platforms, re-engineering of business processes, end user systems application testing and integration, and issue tracking and resolution
  • In-depth knowledge of the Financial Services industry and mutual funds, including an in-depth understanding of custody, accounting, shareholder transaction processing and investment operations work flows
  • Proficient in the Microsoft Office suite
123

Investment Operations Resume Examples & Samples

  • Daily issuance of and response to margin calls for TBA, OTC, Repo and Prime Brokerage products, including the successful resolution of disputes
  • Resolve valuation/position differences and escalate internally/externally to resolve margin disputes in a timely manner
  • Confirm all post-settlement lifecycle payments including interest rate, credit and total return swaps with relevant counterparties for the global business
  • Build strong working relationships with internal partners including Portfolio Management, Risk & Quant Analysis, Prime Brokerage & Finance, Technology, Global Fund Services and Fund Administration, Cash Services and the Institutional Client Group
  • Contribute to continuously enhance the global operating model increasing efficiency and control within the team and global processing centers
  • Achieve threshold competence in Derivative Operations core competencies within period agreed with your manager
  • Candidates should have a general understanding of Financial Markets, preferably within the Investment Management or Global Custody environment
  • In addition to a solid background in international Derivative Operations, leadership skills will be an advantage in this role
  • Candidates should be able to demonstrate participation in change management through project work or other process efficiencies
  • Experience in Derivative products, fund administration and securities lending would be an advantage
  • Possess a good understanding of the risks inherent in the corporate actions environment and demonstrate good discipline around control and escalation
124

Investment Operations MBA Intern Resume Examples & Samples

  • Current enrollment in an MBA program is required and a finance or mathematics emphasis is preferred
  • Previous related work or internship experience strongly preferred
  • Chartered Financial Analyst (CFA) or CFA candidate preferred
  • Strong analytical, problem-solving and effective communication skills are required
  • Candidates must be able to balance collaborative and independent work
  • Knowledge of Excel or similar PC software packages is required
125

Senior Associate, Investment Operations Resume Examples & Samples

  • Oversee daily operations with service providers, transfer agents, custodians, fund accountants and internal departments
  • Lead the investor onboarding process for new client accounts; provide product and onboarding support together with Legal, Financial Advisor & Institutional Sales teams
  • Evaluate trade exceptions and complex shareholder issues and track reoccurring trends for management review
  • Review daily back/mid office deliverables and analyze for root cause of exceptions; ensure remediation of root cause
  • Manage escalated issues from internal & external stakeholders; ensure timely development of operating controls
  • Support multi-service lines of business projects that streamline processes and procedures for internal / external back or middle office work flow; work with senior management to implement processes
  • Serve on organization-wide project committees, representing the Investment Operations perspective
  • Ad hoc duties such as provide support during client contract negotiations, facilitate updates of operating memorandums etc
126

Investment Operations Associate Resume Examples & Samples

  • You are a dynamic team member by collaborating daily with your colleagues and feeling comfortable in both support and lead roles
  • You manage a rigorous daily workflow while finding time to meet demanding deadlines on team projects
  • You are challenging the status quo by constantly reassessing current processes in search of improving risk attributes and gaining efficiencies
  • You have an eagerness to participate in the agility of the group through training and supporting the larger team
  • You find an opportunity in high leverage situations to take control and solution efficiently and effectively
127

Investment Operations Extended Internship Resume Examples & Samples

  • Excellent problem solving, analytical, organizational, and communication skills required
  • Candidates must possess strong computer skills including experience with MS Word and Excel. Must be able to work in fast-paced environment and be able to meet deadlines
  • Assertiveness and attention to detail are key to this area of our company
128

Senior Specialist, Investment Operations Resume Examples & Samples

  • Create asset and cash allocations according to instructions provided and the department procedures
  • Complete the building steps for all distributions proficiently, according to department procedure and in accordance with Service Level Agreements
  • Construct appropriate and professional communications to Line of Business, beneficiaries and/or clients as required by the procedures for the distribution. Communications may be oral or written and must reflect positively on Key
  • Process online cash transactions
  • Process cost adjustment requests submitted by the Line of Business
  • Provide excellent service to trust administrators/associates, clients and beneficiaries in completing all processes
  • Meet performance objectives for accuracy and timeliness in completing distributions
  • Research and distribute trailing income on all accounts according to timeliness objectives
  • Research and distribute tax refunds and class action proceeds on closed accounts according to timeliness objectives
  • Actively participate in department projects and efforts to increase efficiency and improve service
  • Contribute ideas for improvement appropriately
  • Participate in training of new employees or employees learning new functions
  • Assist team members as needed
  • Four year degree in Business or Finance OR equivalent work experience
  • Proven experience and success in a team environment
  • Excellent organizational skills. Ability to manage multiple priorities and prioritize
  • Ability to learn detailed processes quickly and function independently with limited supervision
129

Investment Operations Associate Resume Examples & Samples

  • Daily collection, dissemination and processing of corporate action events
  • Security Master File maintenance and Maintenance of STIFs
  • Review and distribute management reports
  • Research/analyze nightly pricing issues
  • Regular communication with various members of the Operations and Investment teams to ensure accurate responses to events
  • Accurate processing of events using our portfolio management system and various bank systems
  • Projects and ad hoc support to Operations team as necessary
  • BA/BS degree, preferably in Finance/Economics/Accounting
  • 1-2 years related experience a plus
  • Knowledge of operations and/or investments a plus
  • Ability to learn multiple systems
  • Basic Bloomberg knowledge
  • Quantitative/ Analytical skills
  • Ability to work both as part of a team and independently
130

Investment Operations Analyst Resume Examples & Samples

  • Private Equity Accounting; Process flows of the Investment Pools $2 Billion Private Equity Portfolio. Notification of activity, cash movements, and valuations to our custodial bank. Tracking activity valuations and returns in third party software, Private i
  • Performance Reporting; Validation of, and reporting on, the monthly and periodic returns for the investment managers, asset classes, pools, groups, and benchmarks related to Partners’ investments
  • Affiliate Reporting; Validation of, and reporting on, the valuation of Partners’ investments, with respect to the ownership of the investments by Partners’ affiliates
  • Net Market Exposure Reporting; Reporting on Partners’ investments with respect to certain exposures, including market capitalization, industry sector, geography, etc. Administration of data warehouse, including: preparation/upload of monthly data files, setup of new portfolios and members, continuous learning to make best use of warehouse, etc
  • Liquidity and Rebalancing; Timely and accurate execution of inter-pool fund transfers. Provide pro forma cash allocation reporting based on expected funding
  • Annual Audit Support; Provide assistance to auditors, both internal and external, during periodic reviews of processes and investment pool balances and/or data
  • Invoice Processing; Provide validation and direct payment of invoices related to the investment pools. Calculate monthly expense accruals for State Street Custodial records
  • Interact with existing providers to refine and enhance use of services
  • Undergraduate degree (minimum)
  • Minimum experience: 3 years financial services, banking, or investments
  • Strong data handling skills, familiarity with database tools (e.g., MS Query, SQL, Access) a plus
  • Financial skills; educational and/or professional experience dealing with financial issues with an investment context, such as valuations, rates of return, and investment vehicles
  • Willingness and aptitude to learn a range of technologies: Advent Tamale, Adobe Acrobat Pro, Pertrac, Private_i, various analytics and risk management tools
  • Prior experience in an investment office a plus
  • Strong quantitative skills
  • Excellent MS Excel skills, understanding of statistics
  • Interpersonal skills to successfully interact with other groups within and outside PHS
  • Ability to handle multiple tasks with accuracy and attention to detail
  • Unquestionable ethical standards
  • Teamwork orientation
131

Senior Investment Operations Associate Resume Examples & Samples

  • Act as the client’s day-to-day Client contact (COLI /Split dollar only clients), fielding questions and requests
  • Client point of contact for complex executive benefit plans
  • Will act as the main lead for the rest of the department in absence of the team leader and or department head
  • Manage administration of corporate owned life insurance (COLI) plans on a proprietary database
  • Extremely proficient in asset reallocation administration, implementation and execution
  • Asset Value Reporting (AVR) proficiency. From carrier extraction, auditing and formatting of reports
  • Administers the overall functions of the premium-crediting program, including preparation of the premium listing, following up as necessary to ensure monies have been received, and credited. Reconciles and updates weekly records of premiums paid
  • Monitors 7-pays and MECs with each premium payment. Performs general analysis to determine if and when 7-pay capacity will run out
  • Able to create and update all versions of the surrender analyses. From COLI data extraction to working with other teams on retrieving the correct values from the liability side
  • Creating asset/liability templates for delivery
  • Provide exceptional customer service to internal and external customers via phone, mail and electronic media
  • Respond proactively to ad hoc requests from clients and management
  • Minimum of one year of experience in financial services
  • Basic financial acumen with. strong math skills. 
  • Undergraduate degree in related field and/or relevant experience. 
  • Knowledge of qualified or non-qualified benefit plan administration, life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred. 
  • Knowledge of Excel spreadsheet database and Microsoft Word. 
  • Ability to manage and prioritize projects and take an active role in problem solving/decision making. 
  • Utilizes reasoning ability to define problems, collect data, establish facts and draw conclusions. 
132

Director Trade Operations & Investment Operations Resume Examples & Samples

  • Ensure counterparty alignment with BlackRock global operations footprint and process
  • Participate in regional and global initiatives
  • Lead counterparty strategic meetings
  • Communicate with global team managers and facilitate the global team structure
  • Ensure robust Business Continuity Plans are in place and kept up to date as part of strategic implementations
  • Ensure Trade Operations operate to the highest standards of risk mitigation
  • Keep pace with industry initiatives and ensure BlackRock developments are in line
  • Maintain threshold competence in Trade Operations core competencies
  • Achieve and maintain understanding of all financial instruments
  • Participate in Blackrock annual review process and draft goals/objectives for your development in conjunction with your Manager
  • Significant experience in managing and leading Investment Operations or middle office teams in a global or cross regional capacity
  • Demonstrable experience developing and leading high performing teams
133

Investment Operations Specialist Resume Examples & Samples

  • Provide reconciliation support for investment teams
  • Collaborate with fellow colleagues to ensure all daily Equity functions are completed concisely each business day
  • Execute trades for sponsors on various trading systems within the SMA program
134

O&t-investment Operations Assistant Resume Examples & Samples

  • Familiar with the system logic & all other processing systems (Eclipse, DE, application software, etc.)
  • Knowledge of the Mutual Fund/Insurance/Securities operations/industry
  • With common sense and sense in operation control
  • Decision Making/Problem Solving to all exceptional matters
  • Able to cope with ever changing product offering and system enhancement
  • Accurate and fast input on figures
  • Clear communication
  • Computer literacy (Word, Excel, PowerPoint, Access, etc.)
135

Retirement & Investment Operations Specialist Resume Examples & Samples

  • Works with various annuity companies to process annuity trades through Fiserv system for customers or representatives
  • Runs all Fiserv reports relating to operations and reviews daily: Money Due Report, Unsecured Debit Balance Report, Insufficient Funds Report Money Line Report, and Wire Activity Report, etc
  • Reviews and processes Mutual Fund 529 plans for accuracy and ensuring paperwork is complete; processes 1035 exchanges and trustee-to-trustee transfers; processes letters to customers for maturing bonds; processes IRA paperwork, including bank transfers
  • Monitors Fiserv trades for possible “churning” violations; completes trade corrections
  • Performs all cashiering functions for BWIS; posts incoming checks and stock certificates to the Fiserv system, and sends stock certificates to Fiserv, etc
  • Receives and deposits all stock certificates; posts to customer accounts and monitors legal requirements until they are clear to sell
  • Assists with the reconciliation of the Fiserv deposit account with the Accounting Department
  • California Insurance License
  • One to two years of experience in financial services and/or broker/dealer
  • Experience in trading investments such as equities, mutual funds, annunities and insurance products
  • Knowledge of Fiserv system preferred
  • Bank product and service knowledge
  • Customer service skills
136

Manager Investment Operations Resume Examples & Samples

  • Manage Custodial Relationship
  • Coordinate with legal counsel related to the review / completion of investment contracts
  • Manage the accounting of invested funds
  • Manage, review and analyze the monthly investment manager report process
  • Manage Annual Audit process
  • Develop and manage transition / re-balancing activities
  • Manage annual investment income budget process
  • Provide operational support on investment issues for the Director of Investments
137

Intern, Investment Operations, Derivatives Resume Examples & Samples

  • Day to day management and oversight of the position and cash reconciliation process
  • Support the Investment Division Derivative portfolio Management Teams in the oversight of Investment processes and data validation. Act as primary contact for day to day activities. This includes analyzing data received from internal systems/clients as well as custodian and data vendors
  • Work with internal developers on database transitions and data sources verification (accuracy/mapping etc.)
  • Reconciliations- Conduct timely reconciliations on daily cash and NAV positions. Reconcile portfolio holdings between custodian banks, internal trading systems and 3 rd party vendors
  • Relationship Management- Regular contact with vendors and other 3 rd party agents to ensure timely reporting of trade information and payments and prompt resolution of any outstanding issues
  • Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units across all of Russell offices (continuous process improvement). Ensure adequate controls and segregation of duties in place
  • Proficient in MS Office (specifically Excel, SQL/VBA)
  • Database skills / MS Access
  • Exposure to custody and investment accounting processes
138

Investment Operations Coordinator Resume Examples & Samples

  • Collaborate and correspond with clients, custodian banks, other operational areas, and internal parties
  • Execute data entry, customer communication, and recordkeeping tasks daily for the Investment Operations group
  • At least 1+ years of experience in the financial services industry
  • Knowledge of financial services operations including conversions, FX, equity and fixed income trading
  • Knowledge of multiple investment products and strategies for both the global and domestic markets
139

Prudential Fixed Income Global Cash Middle Office Investment Operations Associate Resume Examples & Samples

  • Assuming ownership for operational issues that are raised and providing resolution in a manner that considers the impact to other operational areas
  • Anticipating issues that may adversely affect the operational support of the funds and taking action to reduce the risk of occurrences
  • Cultivating both internal and external relationships to ensure proper service levels are achieved
  • Developing a deeper understanding of different products and markets and build relationships with our business partner to service our clients
  • Knowledge of fixed income products, investment strategies and derivatives through coursework and/or internships
  • Proficiency in MS Office applications, (Excel (pivot/macros), and Word) and ability to learn new applications
  • Must be organized, flexible, able to prioritize tasks and work in a deadline oriented environment
140

Senior Investment Operations Associate Resume Examples & Samples

  • New Business Expense Schedule Establishment and System Setup for Defined contribution (DC), Non Qualified (NQ), and Defined Benefit (DB) plans
  • Ongoing Expense Schedule Management and System Maintenance to incorporate
  • Changes submitted through Plan Modifications and/or other methods for DC, NQ, and DB plans
  • Ongoing production of invoices presenting fees to customers in accordance with expense schedules in an accurate and timely manner
  • New plan setups and existing plan changes in Commission or Billing systems. Setup and maintenance of client fees and broker/dealer commission arrangements
  • Support the administration of payment process for commissions, fees and client vendor payments
  • Creation and distribution of Broker/Dealer Commission Agreements, Client Fee/Expense Schedules and Investment Fee Schedules
  • Perform manual commission and fee calculations in Microsoft Excel/Access
  • Management of Billing/Commission inquiries
  • Leads moderately complex (limited number of internal work groups involved and/or degree of regulatory and technical scope) projects as assigned
  • Executes task activity on all projects as assigned
  • Subject matter expert as assigned for procedures and projects
  • Assists with development and maintenance of Standard Operating Procedures within the team
  • Collaborates with various internal value stream colleagues to maximize process performance and mitigate risk
  • Daily, weekly, monthly, semi-annual and annual general accounting function processing and reconciliation related to plan level administrative revenue
  • Monthly and annual financial reconciliation
  • Other responsibilities as needed
  • Bachelor's degree with an math or accounting emphasis or equivalent work experience required
  • Demonstrated proficiency in MS Word
  • Strong MS Excel skills; e.g. pivot tables, If statements, v-look-ups required. Ability to create a macro a plus
  • Intermediate MS Access skills; e.g. import & export data a plus
  • Experience in a detail focused transaction processing environment
  • Experience managing multiple priorities to meet internal and external commitments
  • Experience working collaboratively to accomplish team goals
  • Ability to work successfully in a dynamic work environment
  • Ability to effectively communicate with business partners
  • Ability to work additional/flexible hours as needed
  • Desire to learn and grow
141

Foreign Markets Information Investment Operations Representative Resume Examples & Samples

  • You will leverage your strong communication skills to build positive, constructive working relationships with senior level colleagues at Fidelity in the Treasurer’s Office, Compliance and on the Trading Desks as well as at the custodian banks
  • Your strong organizational skills will allow you to manage your workload and reprioritize as necessary to support the funds’ investment objectives
  • You will enjoy working in a team oriented, collaborative environment where communication and listening skills are an integral part of the team’s success
142

Manager, Data Design, Investment Operations Resume Examples & Samples

  • Manage process to map current and future data workflows from source systems to end users
  • Manage the execution effort to redesign data workflows and processes ensuring they are transparent, simplified, automated and well-controlled to improve efficiency and mitigate risk
  • Manage process to identify Critical Data Elements (CDEs)
  • Manage process to develop business requirements for data assets and associated tools
  • Manage process to develop prototypes and foundational requirements
  • Contribute to a strong partnership with Data Management & Delivery
  • Actively liaise with business partners to determine their requirements are identified and incorporated into tactical and strategic solutions
  • Manage process to create and maintain a central inventory of the Investment Division’s data assets
  • Manage process to deliver tactical responses to data-related business issues; monitor, report and own issue to resolution
  • Contribute to the development and execution of the division’s data strategy that enables the most effective use of the data assets
  • Support the successful implementation of the Global Optimization initiatives
  • Undergraduate degree in business, economics, or a quantitative discipline with asset management or financial services industry experience; CFA preferred
  • Previous experience in the management of data design programs
  • Previous experience in the management of large, firm-wide processes
  • Experience in translating between business and technology
  • Knowledge and experience with asset management systems and platforms such as trading/order management, portfolio accounting, client reporting, performance analytics and master data management
  • Highly analytical with strong consulting and problem solving abilities; tenacity to identify the root cause of problems is essential
143

Investment Operations Analyst, Physicals Resume Examples & Samples

  • Daily communications with internal and external parties to ensure timely settlement of trading activity. Prompt resolution of issues when they are identified
  • Create workflows and procedures for the team to effectively process the trading strategies and activities associated with the implementation and support of new business initiatives
  • ​Bachelor's degree in finance, economics, or business administration
  • Individual contributor and strong team player in a fast-paced environment with the ability to prioritize and complete multiple assignments under short deadlines
144

Director, Data Design, Investment Operations Resume Examples & Samples

  • Develop process to map current and future data workflows from source systems to end users
  • Develop process to redesign data workflows and processes to ensure they are transparent, simplified, automated and well-controlled to improve efficiency and mitigate risk
  • Develop process to identify Critical Data Elements (CDEs)
  • Lead process to develop business requirements for data assets and associated tools
  • Lead process to develop prototypes and foundational requirements
  • Liaise with business partners to ensure their requirements are identified and incorporated into tactical and strategic solutions
  • Create and maintain a central inventory of the Investment Division’s data assets
  • Develop and document Business Glossaries and metrics for relevant data domains in close collaboration with Data Governance and Quality functions
  • Deliver tactical response to data-related business issues; monitor, report and own issue to resolution
  • Ensure data is available, reliable, consistent, accessible, secure, and timely to support the mission and activities of the division
  • Collaborate with all groups within the Chief Data Office to ensure alignment across data functions and on target delivery of the group’s goals
  • Minimum of 7 years of relevant business experience
  • Previous experience with the development and implementation of data design programs
  • Previous experience in the development and implementation of large, firm-wide processes
  • Constructive challenge and influencing skills
  • Champion of change and effectively managing the implementation of new ideas / improvements
  • Confident when dealing with investment professionals, senior management and other stakeholders
  • Proficient in Word, Excel, Visio and PowerPoint
145

Senior Investment Operations Analyst Resume Examples & Samples

  • Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies
  • Trade confirmation and settlement support for International Equity, Fixed Income, and Derivative securities
  • Perform a review of daily cash balances and investigate any discrepancies
  • Liaise between Brokers and Custodian banks to support trade settlements
  • Assist with implementing industry initiatives as well as internal efficiencies and improvements
  • Will have experience with corporate actions, new fund launches, international trading markets, position and cash reconciliations
146

Assistant Financial Director Investment Operations Resume Examples & Samples

  • Works with the Finance Administrator to be the primary resource for all finance-related detailed functions for Finance Division departments
  • Designs process and leads monthly performance analysis activities for shared services divisions
  • Works with associated executive management to investigate variances and track performance to plan
  • Develops and tracks course-correcting action plans
  • Designs and oversees maintenance of financial planning reports, charts and presentations related to shared services areas
  • Identifies need for and provides training to close competency and quality gaps in performance
  • Minimum of six years of experience in business management, strategic initiatives, operational and capital budgeting processes, financial analysis and reporting
  • Healthcare experience preferred, including a minimum of two year of supervisory and/or project management experience preferred
147

Financial Analyst Investment Operations Resume Examples & Samples

  • Support Investment Staff in the establishment and management of public/private investments across multiple asset classes
  • Liaise between internal and external parties (including banks, administrators, and external managers)
  • Process investment activity including account maintenance, cash/asset transfers and instructions to custodian bank/administrator
  • Assist in the vendor management of external service providers
  • Support and maintain internal/external metrics to help monitor operational activities
  • Recommend and lead process improvement projects and identify industry best practices
  • Lead or contribute to projects/initiatives that support the goals of GMAM and GM
  • Learn and maintain 3rd Party applications to produce reports as requested
  • Undergraduate degree preferably in Finance or Accounting (R); MBA, CFA (P)
  • 3-5 years related business experience (R)
  • High level of integrity (R)
  • Customer focus with attention to detail (R)
  • Strong analytical skills (R)
  • Superior written/verbal communication skills (R)
  • Comfortable working and leading in fast-paced, ambiguous situations (R)
  • Strong organizational skills and ability to work independently with minimal guidance/ supervision (R)
  • Demonstrate ability to identify/implement efficiency and process improvements (R)
  • Ability to prioritize responsibilities and manage time effectively (R)
  • Exhibit leadership and teamwork qualities (R)
  • Skilled in Microsoft Office products and using technology (R)
148

Investment Operations Technician Resume Examples & Samples

  • Two or more years of experience in investment operations activities
  • Ability to operate various types of office equipment
  • Good data entry skills
149

Investment Operations Associate Resume Examples & Samples

  • Complete and provide peer reviews of subscription, redemption, and transfer documentation, track share class information, and monitor manager liquidity provisions on behalf of clients
  • Utilize CA specific applications for transactions and liquidity tracking purposes
  • Coordinate asset transfer between clients, custodians, and investment managers
  • Proactively support client team objectives through communication with third-party service providers
  • Maintain account records and correspondence for assigned clients
  • Prepare Liquidity and Audit Support reports
  • Utilise internal CA resources to support investment team activities
  • Collect, interpret, and organise relevant information relating to client portfolios
  • 2-3 years of related work experience (preferred, but not required)
  • Strong analytical and organisational abilities
  • All candidates must be eligible to work in the United Kingdom without sponsorship or restriction
150

Investment Operations Associate Resume Examples & Samples

  • Calculation of fees related to Investment management services and administration
  • Collection of fees via Direct Bill or asset deduction
  • ORACLE accounting entries and ledger revenue reconciliations
  • External and Internal audit review and support
  • Ledger close reconciliations and signoff monthly and quarterly
  • Bachelor’s degree in Economics, Finance, Accounting or Business related preferred
151

Analyst Investment Operations Resume Examples & Samples

  • B Comm/ NQF4
  • At least 5 years business analysis experience
  • Documentation of business requirements and functional specifications
  • Problem solving and analysis skills
  • Ability to challenge the status quo and drive beneficial change
152

Investment Operations Resume Examples & Samples

  • Scope of responsibilities includes oversight of derivative servicing activity; i.e. OTC Collateral Management and Synthetic Payment Middle Office
  • Manage regional staff of approximately 3-5 individuals as well as accountablity for functional collaboration across global teams
  • Participate & help drive the design and implementation of the Bilateral Collateral & CFD/Synthetic Payment model of BlackRock’s Aladdin platform
  • Support and implement platform changes resulting from regulatory rule changes
  • Collaborate with key constituents, internally and externally, to ensure a globally consistent and tightly controlled environment
  • Institute effective monitoring and controls to mitigate risk
  • Support client visits and design processes that maximise service levels
  • Candidates should have experience managing small teams and providing daily oversight and control within operations
  • In addition to a solid background in International Derivative Operations, a strong display of leadership skills will be an advantage in this role
  • Candidates should be able to demonstrate experience effecting and managing change across a large organization
  • Experience in Derivative products, Collateral Management, Periodic Swap Resets, Fund Administration or Securities Lending preferred
153

Investment Operations Associate Resume Examples & Samples

  • Minimum 3.0 GPA 
  • Degree in Finance, Economics or Business is preferred 
  • Ability to organize and prioritize tasks and work in a deadline oriented environment 
  • Ability to learn and adapt to database and client server applications and reporting tools. 
154

Investment Operations Associate Resume Examples & Samples

  • Perform standard office duties, such as mailings, file preparation and organization, and other administrative duties as needed
  • Interact with Loan Officers and Underwriters in connection with loan closings
  • Perform loan database functions in connection to the loan closing process
  • Assist Closers in collection of loan closing materials from borrower team in preparation for loan closing packages
  • Establish due diligence checklists and forms
  • Coordinate calendar for loan closings and arrange travel logistics for Closing team members
  • Upload required documentation into loan database
  • Assist in the assembly, copying and distribution of loan closing material
  • Provide Lender Counsel with requested documentation
  • Ability to work independently in a fast paced environment
  • Ability to multitask on several transactions at once
  • Strong office administrative skills
  • Familiarity with MS Office applications, such as Excel, Word, and Power Point and the ability to learn new applications
  • Ability to work overtime when necessary
  • Relevant work experience in the mortgage business preferred
155

Grp Mgr Investment Operations Resume Examples & Samples

  • Proven leadership skills and presence previously demonstrated in work experiences
  • Bachelors degree in Finance or Business Administration; MBA preferred
  • 10+ years experience in Securities operations; in addition, knowledge of regulatory requirements and framework in the securities industry
  • 5 – 7 years experience in leadership role over multiple areas of Securities operations
  • Series 7 licensed preferred
  • In-depth knowledge of risk management oversight and controls
  • Demonstrated ability to work effectively in matrix reporting/support environment to drive optimum results; this position must effectively partner, influence and negotiate with various line of business partners, technology, compliance and external regulators
  • Demonstrated ability to effective lead, manage and execute multiple business priorities, goals and objectives simultaneously
  • Demonstrated ability to direct an organization through internal strategic changes, revenue optimization initiatives, expense control initiatives and a significant compliance landscape while maintaining or enhancing daily service commitments
  • Demonstrated ability to directly interface with high net worth external clients for retention and opportunity
  • Demonstrated ability to hire, develop and retain a high performing, engaged, client-focused team
  • Proven leadership establishing an operating environment of continuous improvement for optimized service quality and/or cost
  • Active industry participation (SIFMA, ABA, Roundtables)
156

Investment Operations Analyst Resume Examples & Samples

  • High degree of accuracy, strong attention to detail, and efficient execution of tasks
  • Robust organizational abilities, including detailed project management and precise documentation
  • Familiarity with a variety of investment types (public and private) and knowledge of GAAP
  • Proficiency in business applications, such as Microsoft Office suite, especially Excel spreadsheets
  • Strong communication skills, including ability to prepare materials which clearly and effectively communicate information to internal and external audiences and client groups
  • Ability to work independently with minimal supervision and proactively contribute to a multi-functional team
157

Asset Management Gim-investment Operations Oversight Specialised Fund Support Associate Resume Examples & Samples

  • Providing operational support for Exchange Traded Funds, Beta products and Prime Brokerage, across a number of different strategies and account models
  • Support creation/redemption (primary market) activity for ETFs
  • Oversight of the Middle Office operations relationship and day to day interactions
  • Working on a proactive basis to ensure the Portfolio Managers accounts are accurate, seeking to minimize tracking error
  • Resolving queries received from Portfolio Managers, Fund Accountants, Risk, CIB, and other core areas of JPMAM, as well as those from External Stakeholders in a timely manner
  • Management and maintenance of a number of key third party relationships
  • Efficiently manage any new projects (i.e. maintaining quality control of end to end operating model) and/or new mandates – including project timelines, communications to management, identifying risks and issues, project plans and testing
  • We are looking for an Associate team member with a proactive, problem-solving nature, who has a strong desire to learn and relishes a challenge, whilst digging out the detail. The successful candidate will be a self-starter with the ability to take initiative when investigating and resolving issues
  • At least 5 years in an Asset Management Middle Office
  • Strong understanding of ETFs and Index Tracking products
  • Good understanding of Asset Management Operations or similar
  • Corporate Action knowledge desired
  • Previous experience with Prime Brokerage advantageous
  • Ability to understand and solution new ideas
  • The ability to multitask and prioritize workload against daily and weekly deadlines
  • Ability to understand and solution problems
  • Understanding of Fund accounting and Investment accounting beneficial
  • Results focused with a strong emphasis on delivery quality
  • Competent in excel and system implementation
  • Excellent interpersonal skills with the ability to negotiate & influence as well as build and maintain relationships at all levels of the organization
158

GPO Treasury / Investment Operations Resume Examples & Samples

  • Bachelor degree in Finance / Accounting
  • Post graduate studies in Finance/ Management / Capital Markets
  • Minimum 5 - 10 years of practical experience in treasury operations thereof 3+ years in a senior treasury operations role
  • Advanced understanding of market operating processes in the area of Treasury Operations
  • Excellent communication skills both orally and written in English
  • Client-focused
  • Project management experience in the area of Investment Operations
  • Advanced knowledge of traditional and non-traditional financial treasury instruments and markets, including but not limited to Cash/Money Market payments, Foreign Exchange contracts, Derivatives and Fixed Interest Instruments
  • Extensive understanding of electronic derivative confirmation matching & portfolio reconciliations processes
  • Excellent communication, analytical and interpersonal skills
  • Advanced working knowledge on MS-Office products (especially MS Excel). Advanced knowledge and experience with Open Link, Mammut, SAP FSCM, Bloomberg/ Reuters is an advantage
  • Knowledge of treasury and Capital market industry infrastructure including SWIFT, Euroclear, Clearstream
  • Strong leadership and people management skills
  • High level of financial literacy
  • Detailed understanding of financial products
  • Working at all times in accordance with procedures, group/company policy, processes and controls e.g. the Internal Control Framework
159

Investment Operations Analyst Resume Examples & Samples

  • Daily and monthly reconciliation of investment portfolios with custodian banks
  • Solid understanding on methodologies of calculating performance returns
  • Good experience of performance measurement and analysis tasks
  • Client reporting experience within Private Client environment
  • Previous investment operations experience within aBack Office or Middle Office within a Wealth Manager or Asset Management Firm
  • Previous trade support and experience in SSI’s and SWIFT
  • Strong knowledge of a range of asset classes, such as Equity, Fixed Income, Collectives and Derivatives
  • Investment life cycle knowledge
  • Proven ability to meet strict periodic deliverables
  • Proficiency with Microsoft Office suite, with advanced working knowledge of Excel
  • Completed or progressing towards professional level qualifications with CISI, CFA or other relevant body
160

Senior Specialist, Investment Operations Resume Examples & Samples

  • Demonstrate an understanding of basic and complex account coding requirements for fees on the Global Plus system. Interpret account set up instructions to ensure appropriate approval for non-standard fees. Understand possible variations and exceptions to coding based on various account types and non-standard fee schedules
  • Process a variety of fees such as special, miscellaneous, distributions, final and closing fees, as well as reversals and reimbursements
  • Document processes to written procedures and guidelines
  • Meet performance objectives for accuracy and timeliness in account coding, fee processing and auditing
  • Construct appropriate and professional communications to trust officer, client managers and/or clients as required by established procedures. Communications may be oral or written and must reflect positively on Key
  • Contribute ideas for improvement appropriately and participate in department initiatives
  • Demonstrate superior customer service skills
  • Four year degree in Business or Finance or equivalent work experience
  • Knowledge of Global Plus and Global Office systems preferred
161

Investment Operations Analyst Resume Examples & Samples

  • Responsible for correct daily processing, posting and clearing of securities transactions, and income payments
  • Responsible for timely month end closing activities
  • Periodic reconciliation of securities holdings and cash account holdings
  • Provide regular support as a subject matter expert and business analyst to projects, internal initiatives and country-specific customer demands by providing know-how and expertise covering operations processing
  • Help resolving operational day-to-day problems identified by the operations department or referred from other functional areas, ensuring an efficient and high-quality service, including the management of issues according to the Group Incident Management Policy
  • Support the provision of key performance targets and Key Performance Indicators (KPI) in order to optimize business performance in line with set objectives around automation
  • Bachelor’s degree (or equivalent) in Accounting, Business Administration, Finance, or relevant topic, combined with 2 or more years of experience in a related field
  • A Master’s degree in a related topic is preferred, and/ or having obtained a CFA certification is preferred
  • Experience of working internationally across different cultures with cross- functional teams
  • Excellent written and oral English is mandatory
162

Senior Investment Operations Analyst Resume Examples & Samples

  • Act as the primary contact for Investment Operations across various clients in Asia Pacific, including new initiatives, product on boarding, and client interaction
  • Ensure timely settlement of trading activity, and prompt resolution of issues when they are identified
  • Leverage internal resources and explore external solutions to increase Russell’s straight through processing rate, and reduce fail rate
  • Define, document, test and implement adequate and appropriate procedures and controls for all business support processes; includes developing and implementing workflows adaptable across all of the Russell offices
  • Independently improve existing operational processes and procedures to reduce risk and increase efficiency; ensure adequate controls and segregation of duties in place
  • Challenge embedded assumptions and seek a better client deliverable through greater efficiency
  • Bachelor's degree in finance, economics, or business administration. Progress towards a CFA, MBA, or MSF is a plus but not required
  • Minimum two years of experience in the asset management industry
  • Candidates must be able to solve problems independently, and advocate for the implementation of solutions to a larger audience
  • Must be a subject matter expert in middle office operations
  • Willingness and flexibility to work non-standard schedules associated with providing investment operations support across global markets and specifically the Asia Pacific time zone
163

Senior Investment Operations Analyst Resume Examples & Samples

  • Own all monthly and quarterly reporting to the family on investment performance for all asset classes - hedge funds, private credit funds, private equity funds, real estate funds and direct investments
  • Ensures accuracy, completeness and timeliness of investment-related information entered into portfolio management and accounting systems, including capital calls and distributions
  • Responsible for ongoing cash management of investment accounts, including daily cash review, initiation of wires to support investment transactions, account reconciliations and preparation of weekly cash management reports and monthly capital call/distribution reports
  • Model/project investment cash flows and valuations to determine family members' capital allocations
  • Continuously improve our reporting processes through automation and workflow improvement projects
  • Manage incoming communication from investment managers/GPs and log items for further processing
  • Review and process investment fund/investment manager financial statements and valuation information
  • Manage investment manager returns database, including data upload, analysis, and reports
164

Accounting Specialist, Investment Operations Resume Examples & Samples

  • Bachelor degree in Finance or Accounting with a minimum of five (5) years of experience
  • CGA,CMA,CA, CPA designation
  • Strong knowledge of information systems and Microsoft Office suite
  • Bilingual, French and English, written and spoken
  • Ability to work effectively as part of a team and individually
  • Demonstrate initiative and take responsibility
  • Detailed oriented with a high level of accuracy
  • Ability to react quickly, adapt to changes and meet tight deadlines
  • Experience in fund accounting or investment administration, an asset
  • Knowledge of and experience with securities instruments/settlement, foreign exchange, reconciliation, investment accounting and Fund reporting, an asset
165

Investment Operations Specialist Resume Examples & Samples

  • Advanced knowledge of the investment operations within the assigned area
  • Thorough knowledge of the computer applications used in the assigned area
  • Strong customer service and relations skills
166

Investment Operations Associate Resume Examples & Samples

  • Work closely with counterparties, foreign and domestic, and custodians to prevent and resolve failed trades
  • Facilitate the initial trading setup of accounts with brokers and custodians
  • Validate trade details with counterparties
  • Communicate trade allocations to brokers and custodians
  • Learn, build, and maintain trade-specific technology, including internal and 3rd party applications such as TradeSuite, Oasys, and Alert
  • Reconcile trade activity to ensure all trades are accurately allocated and confirmed
  • Seek out opportunities to improve efficiency and accuracy and leverage technology to streamline trading processes
  • Two plus (2+) years' of experience performing settlement functions for fixed income with a buy-side asset manager or custodial bank
  • Functional understanding of MBS securities settlements and related processes including TBA Pair Offs, Net Settlements, Cancel and Rebills, SPO and CTAS adjustments
  • Experience settling FX spot and currency forward transactions
  • Exceptional analytical thinking, attention to detail, and a high level of reliability
  • Strong investigative and quantitative problem solving skills
  • Ability to communicate effectively with all levels of the organization and work efficiently in high-pressure situations while meeting deadlines throughout the trading day/settlement cycle
  • Robust computer skills, including proficiency in Microsoft Excel and Word
  • Familiarity with Bloomberg, TradeSuite, Alert, Oasys, MS Office desirable
  • Bachelor’s degree in Accounting, Finance, Economics or related field preferred
167

Investment Operations Analyst Resume Examples & Samples

  • Assisting Portfolio Managers/Traders with the implementation of Russell fund overlay trading strategies. This includes analyzing data received from internal systems/clients/custodian/data vendors, setting up client portfolios in our internal systems, creating client reports and conducting beta testing
  • Reconciling portfolio holdings between custodian banks, internal trading system(s) and brokers, as well as tracking intra-day cash
  • Preparing and designating equity and fixed income derivative funds for trading in US/Asia/Europe markets
  • Calculating and communicating cash equitization levels to traders and PMs to ensure compliance (all funds)
  • Utilizing a working knowledge of OTC products (futures, swaps, options, initial/variation margin) and the implications they have on funds
  • Completing ad hoc Portfolio Manager and client requests
  • Maintaining documentation and innovating operational processes and procedures to reduce risk and increase efficiency in the daily trading process for Investment Division clients
  • Integrating new best practices/implementing new approaches to processing trades (Bloomberg/other platforms where necessary)
  • Strong knowledge of derivative contracts
  • Advanced knowledge of SQL and VBA code
168

Investment Operations Analyst Resume Examples & Samples

  • Bachelor's degree, or equivalent, in accounting, finance, economics or business required
  • Prefer candidates who are actively pursuing their MBA, CFA, etc
  • Demonstrate understanding of investment asset types such as Fixed Income instruments, Derivative Instruments and Equities
  • Experience with industry tools such as Bloomberg, Aladdin, Charles River, Eagle, Markit EDM/Cadis, FX All, Factset, Vermillion, AcadiaSoft and/or similar tools
  • Strong analytical skills and the ability to apply those to systems (such as SQL, Visual Basic, strong Excel)
  • Sr. Investment Operations Analyst: A minimum of 3-4 years' work experience with a registered investment advisor, institutional asset manager and/or mutual fund operations or related field
  • Investment Operations Lead Analyst: A minimum of 7+ years' work experience with a registered investment advisor, institutional asset manager and/or mutual fund operations or related field
169

Investment Operations Associate Co-op Resume Examples & Samples

  • 2nd or 3rd year co-op preferred
  • High level of personal accountability and attention to detail
  • Ability to successfully manage and complete multiple responsibilities simultaneously
  • Curious and desire to learn, self-starter
  • Knowledge of investments
  • Interest in the capital markets
  • Strong analytical and very strong quantitative skills
  • Ability to work well on a team and to manage workload within a team
  • Experience with Excel and Word
  • Build a network of fellow students on coop/internship assignments
  • Given the opportunity to volunteer and give back to the community
  • Attend events on a monthly basis with guest speakers from various departments within our organization to further develop your skills as a professional
  • Learn about our culture and core values
170

Investment Operations & Platform Control Manager Resume Examples & Samples

  • Manage the Manager Control Assessment (MCA) Testing for the NAM Operations Team
  • Manage system access entitlements to the CPB/CGMI Broker-Dealer and RIA Platform
  • Manage the Vendor Oversight Process for Pershing LLC and related BAU activity interfacing with internal partners to manage issues and related escalations
  • Compile monthly and quarterly results for Senior Management
  • Work closely with partners in the CPB COO Office, Front Office, Business Risk, Compliance, and Legal to ensure alignment to compliance guidelines, business objectives, and internal performance benchmarks
171

Retail Investment Operations Intern Resume Examples & Samples

  • Working with other appropriate departments, participate in the analysis and interpretation of operational data and trends
  • Provide analytical support to interdepartmental initiatives
  • Work with multiple business areas to, create workflows, test and implement operational system enhancements that support the strategic goals
  • Assist in communication, training and field meeting coordination to support implementation and marking of items that support our strategies
  • Completion of Sophomore or Junior year of undergraduate program with a Finance, Investments or similar concentration
  • Experience working with Excel spreadsheets, workflow software (Visio) a plus but not needed, we will train
  • Strong analytical, problem solving and decision making skills with competencies in finance and accounting
  • High degree of personal initiative, demonstrated ability to work independently, excellent follow-through ability and sense of personal accountability
  • Strong written and oral communication skills and the ability to deal effectively and professionally with people at all levels of Northwestern Mutual
  • Demonstrate proficiency and interest in investments and investment analysis
  • Strong Excel, Word and PowerPoint skills
172

Investment Operations Resume Examples & Samples

  • Ensure that key processes are operating as expected, and issues are identified and resolved in a timely manner. Some examples of processes are
  • Data analytics, data mining, and data manipulation knowledge
  • Strong Interpersonal skills working within a team and more broadly within a department
  • Advanced proficiency in Microsoft Office products, specifically Excel
  • Familiarity with relational database structures
  • A working understanding of operational risk a plus
  • Must have knowledge of the investment industry, accounting or related fields with a solid understanding of basic investment security characteristics
  • Experience working in the Middle and/or back office Operations is expected
  • Applicable college degree or college degree with very closely aligned work experience required
  • Experience with portfolio management software such as Charles River IMS, is a plus
  • Experience with Business Intelligence tools, such as Crystal Reports & Tableau, is a plus
  • Experience in writing and understanding SQL queries, is a plus
173

Investment Operations Specialist Resume Examples & Samples

  • Bachelor's degree, or equivalent, in accounting, finance, economics or business required, plus a minimum of 1-2 years' work experience in investment/mutual fund operations or related field preferred
  • Knowledge of financial services and investment related terminology preferred
  • Good analytical, problem solving, interpersonal, time management and communication skills required
174

Senior Investment Operations Controls Analyst Resume Examples & Samples

  • Perform independent monitoring and testing of internal control within the functional operational teams, provide suggestions to improve any weaknesses loopholes to enhance the control framework, recommend changes to processes & procedures and follow-up to ensure all corrective actions are implemented completely
  • Recommend enhanced controls and risk mitigates for the division
  • Lead projects to deliver improved processes and controls as requested by the business
  • Help to improve the controls environment across the business, including Financial and non-Financial activities
  • Engage with independent parties to facilitate support and independent testing of key controls
  • Work closely with Internal Audit, external auditors and other risk professionals
  • Develop strong relationships with key business stakeholders to help develop a thorough understanding of the Business's risk profile and core processes and controls
  • Participate in due diligence and integration activities as requested
  • Coordinate with functional heads to prepare responds to external audit finding with regards to the company operations
  • Prepare the annual deficiency analysis for risk and materiality assessments
  • Carry out ad-hoc control reviews and fraud investigation, if being requested by the CEO
  • Undergraduate degree (Finance, Accounting or Economics preferred) and minimum 8 years’ relevant experience in financial services or equivalent experience with minimum 3 years of people management experience
  • Solid knowledge of securities instruments/settlements, banking process and modern securities reconciliation practices
  • Clear understanding of Control Frameworks and methodologies
  • Proven planning and project management skills
  • An appreciation of the importance of delivering quality service with an emphasis on process improvement
  • Proven experience influencing and working collaboratively with both clients and vendors
  • Ability to work in a fast-paced environment, to meet tight deadlines, allocates time efficiently, and handles multiple demands
  • Strong analytical, problem solving skills with the ability to research issues where the solution is not readily apparent
  • Good team player with the ability to build relationships across multiple levels and investment/corporate business units
  • Ability to influence and drive people
  • Ability to set priorities and provide direction in ambiguous situations
175

Senior Analyst, Investment Operations Resume Examples & Samples

  • Help to ensure a controlled work environment through the understanding, execution and improvement of desktop operating procedures
  • Works effectively both as a team member as well as an independent self-motivated individual
  • Share knowledge with, cross-train and coach entry level employees
  • With limited management assistance, work to implement process flow and operational and control improvements
  • Act as a liaison with client service teams to drive issue resolution
  • Responsible for increasing knowledge and understanding of client?s business and financial markets
  • Understand client Service Level Agreements (SLAs) that are directly related to job function(s)
  • Develop effective working relationships with key partners internal and external to the organization
  • Engage other Partners as appropriate to solve client inquiries and issues
  • Organizational skills necessary to create task lists, prioritize work efforts and multi-task
  • Able to facilitate collaborative discussions while driving consensus and action
  • Works with a sense of urgency
176

Senior Associate, Investment Operations Resume Examples & Samples

  • Ability to explain life policy illustrations to plan participants
  • Develop, coach, mentor and work directly with staff members
  • Participate and lead in company, department, team and individual goals along with special projects and task forces
  • Suggest and promote improvement of department processes, procedures and work product
  • Will need to understand life policy illustrations. As well as run illustrations to accommodate different scenarios/client needs
  • Administers the overall functions of the premium-crediting program, including preparation of the premium listing, following up as necessary to ensure monies have been received, and credited
  • Reconciles and updates weekly records of premiums paid
  • Monitors 7-pays and MECs with each premium payment
  • Performs general analysis to determine if and when 7-pay capacity will run out
  • Ensure compliance with plan rules and regulations
  • Basic financial acumen with. strong math skills 
  • Undergraduate degree in related field and/or relevant experience 
  • Knowledge of qualified or non-qualified benefit plan administration, life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred 
  • Ability to anticipate needs and take effective action 
  • Knowledge of Excel spreadsheet database and Microsoft Word 
  • Ability to manage and prioritize projects and take an active role in problem solving/decision making 
  • Ability to meet deadlines and work both independently and as a team member 
  • Excellent verbal and written communication skills 
177

Investment Operations Specialist Resume Examples & Samples

  • Provide functional support to portfolio managers, traders, and portfolio administrators for Eaton Vance’s portfolio and order management systems
  • Assist with daily activities related to account set-up, maintenance, and portfolio reconciliation
  • Provide required operational support to traders, portfolio managers, and marketing teams
178

Pgim Fixed Income Global Cash Middle Office Investment Operations Associate Resume Examples & Samples

  • Developing an in depth understanding of fixed income products in order to increase service levels
  • Assisting with writing operational policies and procedures
  • Business related degree preferred but all majors considered. (minimum GPA of 3.2)
179

Investment Operations Manager Resume Examples & Samples

  • Responsible for production of designated regular investment reports, including fund performance summaries and risk level analyses
  • Responsible for supporting the development of MI on a regular basis including the cash flows in/out of all funds and AUA on the investment proposition platform
  • Responsible for taking the lead on the operational aspects of revising the funds on the platform
  • Responsible for managing enquiries from internal and external parties on investment funds in a timely and efficient manner
  • Responsible for performing UAT where there is any system enhancement relating to the investment fund platform
  • Responsible for producing regular review and ad-hoc analysis of the existing investment proposition
  • Responsible for maintaining effective ongoing communication with designated fund houses
  • Responsible for production and maintenance of all fund information in marketing materials, ensuring that the information is up to date, accurate and complies with all regulatory requirements
  • Linking with other teams involved in Investment Operations and providing expertise and support on matters relating to the investment platform
  • Provide backup support during absence of team members
  • Assist in ad-hoc projects/tasks as assigned
180

Analyst, Investment Operations Resume Examples & Samples

  • Gathering, analyzing, and reporting investment data; including creating new reports
  • Maintaining accuracy and integrity of various applications, systems, and databases
  • Reconciling information from various sources
  • Modeling of various securities or other information
  • Monitoring portfolio compliance and trade settlement processes
  • Performing month-end closing processes
  • Researching and resolving complex issues related to security transactions or processes
  • Producing ad-hoc reports using information from various sources
  • Independently resolving basic problems and resolving complex problems with guidance from others
  • Developing in-depth knowledge of policies and procedures within assigned area
  • Participating in the development and implementation of investment strategies and tactics
  • Maintaining and fostering effective relationships, both within and outside of the company, with senior leaders, portfolio managers, traders, research analysts, and Wall Street
  • Maintain pipeline database as it relates to deal flow and portfolio
  • Generate tickets to affect deal closing
  • Coordinate all phases of documenting and funding deal transactions
  • Maintain procedure manual
181

Investment Operations Analyst Resume Examples & Samples

  • Conduct trade reviews, trade matching and ensures communication to custodian banks, front office and brokerage community to ensure trade accuracy
  • Execute trade confirmations
  • Ensure integrity of Trading System (reconciliation and trade evaluation)
  • Maintain trade detail reference tools
  • Create operational workflows and create business requirements documents. This will include such tasks as system gap analysis, defining system requirements, identifying issues and recommending solutions
  • Maintain project plans and ensures that delivery meets target deadlines
  • 3 - 5 years’ relevant industry experience preferred
  • Strong data gathering, interviewing, analytical/problem solving skills
  • Experience in drafting process flow diagrams
  • Proficiency in SQL and MS Access
  • Proficiency in VBA coding language to maintain and write macros
182

Investment Operations Manager Resume Examples & Samples

  • Graduate in any finance or business management discipline
  • Investment Management Certificate (IMC) qualification or equivalent
  • Strong technical knowledge of Investment Operations, Trade Implementation or related business functions
  • Previous line management experience essential
  • Numerate individual with strong analytical skills
  • Advanced Excel and PowerPoint user
  • Familiarity with reviewing and tracking budgets and variances
  • Excellent communicator across all functions and levels, both internally and externally
  • Strong planning, prioritisation, problem solving and organisational skills
183

Assistant Financial Director Investment Operations Resume Examples & Samples

  • Designs and manages databases to support the investment office of about $9 billion of assets under management
  • Ensures efficient data flows between various investment management systems including but not limited to custodian systems, Dynamo, eVestment, Tableau and Bloomberg
  • Provides complex data analysis and displays analytical outputs visually through charts and other graphics to convey messages effectively
  • Works as part of the Operations, Risks & Performance team and Investment teams to help oversee portfolio management and implementation
  • Assists in the development, maintenance, and enhancement of proprietary financial models and processes as part of the asset analytics platform used to analyze portfolio
  • Independently utilizes asset modeling software to model and understand the risks embedded in our portfolios
  • Designs and performs cash flow simulations using different scenarios (e.g., private equity cash flow modelling, interest rate changes)
  • Assists in creating the infrastructure to support asset modeling that better reflect the risk characteristics of the portfolios while facilitating portfolio management decision making
184

VP-investment Operations & Accounting Resume Examples & Samples

  • Evaluating, in conjunction with professional advisors, and subsequently executing on the capital structures necessary to ensure tax efficient returns to Investors
  • Provision of assistance to the transaction teams as appropriate, including the coordination of the operational elements of investment activities
  • Forecasting and managing Investor capital calls and finance drawdowns in such a manner as to ensure funding is available for transactions as required
  • Integration of newly acquired portfolio assets into BlackRock
  • Liaison with third party administration, operational and maintenance providers to ensure a proper balance between internal control and operational efficiency at operating project level and to ensure accurate, timely and comprehensive reporting of asset performance by each asset on a monthly basis
  • Review and assessment, in conjunction with the operations team, of monthly operational and financial reports. Identification and resolution of performance issues
  • Effective communication of asset performance to Senior Management, Investors and the broader group
  • Review and implementation of annual budgets for all portfolio assets
  • Ensure full and timely compliance with regulatory, project and client reporting requirements
  • Review and assess contracts pertaining to underlying projects
  • Manage and oversee Valuation process for RPG Assets with Valuation Advisors, Risk and Pricing
  • Liaise with fund accounting team and auditors on accounting, fund valuation and reporting issues
  • Qualified Accountant, (ideally Big 4 background) with at least 5 years post qualification experience
  • Experience in renewable energy (wind and solar), particularly in monitoring and reporting on operational wind or solar assets is desirable
  • Excellent Excel and financial analytical skills
  • Experience in managing staff or external service providers an advantage
185

Associate Director, Investment Operations Resume Examples & Samples

  • Identify and allocate available resources at the divisional departmental level to satisfy operational and project requirements
  • Build and maintain a high performing team of associates as required by changing business requirements
  • Establish and monitor KPIs within the group
  • Facilitate globalization of the trading operations team
  • Coordinate with various regional investment operations support teams to fulfill regulatory requirements (i.e EMIR, MFID1, MFID 2, ASIC)
  • Provide functional area expertise, oversight, problem resolution, training, analysis and reporting as required across a variety of group responsibilities
  • Develop processes, procedures and infrastructure that are required to meet evolving business needs. Ensure best practices (Russell & industry) are implemented
  • Identify integration points and reduce duplicate processes across product lines. Streamline operations across product lines. You will also manage service providers to ensure Russell Investments is receiving the agreed upon services based upon the stablised SLA
  • Eight to ten years of investment related experience
  • Solid understanding of the investment industry, financial markets, trading operations and regulatory requirements
  • Strong technological aptitude to assist in identifying the most appropriate and efficient way to utilize technology to create a scalable operational model
  • Ability to effect change across business units and the broader organization
  • Demonstrated ability to manage and lead projects
  • Strong leadership and relationship building abilities
186

Investment Operations Business Analyst Co-op Resume Examples & Samples

  • Performs analysis of business activities to determine business requirements. Works with business users to understand and define needs. Converts business requirements into functional specifications.requirements pertaining to industry, company, and customer needs
  • Ensures proper data processing through the use of data checks and reports to facilitate error free business processeCollaborates with the QA team in developing high level test plans. Works with automated testing team when needed for performance/load testing as well as automated regression testing
  • Works to ensure a positive end product for business stakeholders. Creates and maintains proper training materials and business documentation
  • Supports cross-departmental projects and fFollows the MFS Software Development Lifecycle (SDLC), ensuring that all steps of the process have been followed prior to releasing any code.accordingly
  • Identify, analyze and interpret trends in large data sets
187

Investment Operations Co-op Resume Examples & Samples

  • Responsible for all trade affirmation
  • Verifies trade information to brokers and custodian banks
  • Monitor various trading and inventory systems for accuracy and exceptions based processing
  • Works closely with custodian banks to resolve any trade affirmation problems
  • Communicate/Notify all brokers, internal clients and custodian banks of same day/cash transactions
  • Research and resolve open trade issues. Escalate trade issues to supervisor/manager where necessary
  • Ability to learn all inventory, accounting, and trading systems
  • Ability to consistently, perform in a time sensitive environment with multiple daily deadlines
  • Strong Communication, organization and prioritization skills needed
  • Attention to detail, multi-tasking and problem solving skills are essential
  • Desire to provide exceptional client service to internal and external contacts
188

Investment Operations Associate Resume Examples & Samples

  • Utilize trade order management software to monitor for investment instructions, trade-flow and transaction status
  • Ensure the accurate completion of subscription, redemption, and transfer documentation relating to investment decisions
  • Track fund vehicle and share class information, utilizing proprietary liquidity-tracking application to monitor portfolio liquidity provisions
  • Adhere to established policies and procedures to support maintenance of controls and risk mitigation
  • Proactively support investment team objectives for portfolio implementation, maintaining an awareness of current investment themes and client interests
  • Collect, organise and interpret information relating to clients, their investing entities and their portfolios
  • Prepare liquidity and audit support reports for client teams and clients
  • Undergraduate degree and/or industry-specific qualification(s) preferred
  • 2-3 years of related work experience at a custodian, fund administrator, investment manager or transfer agent preferred
  • Prior experience in a client-servicing role an advantage
  • Ability to work in a time-sensitive environment and to balance competing priorities
  • Strong attention to detail, analytical and organisational abilities
  • Ability to work both independently and as part of a team; to learn quickly and adapt to new challenges
189

Investment Operations Resume Examples & Samples

  • Act as a single point of contact for Portfolio Managers, Traders, and investing legal entities in respect to Operations activities on the respective assigned portfolios
  • Perform portfolio administration activities for assigned portfolios - cash management support, cash reconciliations, cash instruction, cash projections, credit impaired and month end processes, with the objective of increasing client satisfaction and delivering the service efficiently
  • Respond to Investment Accounting inquiries and help facilitate gathering information for clients as a single point of contact for portfolio administration
  • Support Managers and leadership in partnering with clients, Portfolio managers, GS (information technology/ middle office/ reference data), Compliance, Legal, and ORM Internal & External Audit staff to further develop/ enhance processes, procedures and practices that support product and service requirement
  • Ensure proper segregation of duties in accordance with policies and procedures
  • Contribute to addressing service issues with custodians and counterparties
  • Contribute to drafting and maintaining Portfolio Administration procedures for assigned portfolios
  • Collaborate effectively with risk management to reduce operational risk for Portfolio Administration activities
  • Partner with other areas of Investments, and the business to deliver best-in-class Investment Operations services
190

Investment Operations Specialist Resume Examples & Samples

  • Competitive compensation
  • Generous Employer RRSP contribution
  • Countless opportunities to learn and grow within the Company
  • Fun and engaging environment
191

Investment Operations Analyst Resume Examples & Samples

  • Reconciliations - Conduct timely reconciliations across asset classes for the EMEA time zone and assist other global time zones as required
  • Reconcile individual client portfolios held within our internal accounting system to the client account held at the custodian
  • Support the Investment Division Portfolio teams in the oversight of Investment processes
  • Act as primary contact for day to day activities. This includes analysing data received from internal systems / clients, custodian and data vendors, setting up the client's portfolio in our internal systems, creating client reports and conducting beta testing
  • Relationship Management – regular contact with brokers, asset managers, vendors and other 3rd party agents to ensure timely reporting of trade information and payments and prompt resolution of any outstanding issues
  • Define, document, test and implement adequate and appropriate procedures and controls for all business support processes
  • This includes developing and implementing a workflow methodology adaptable for multiple business units across all of the Russell offices (continuious process improvement)
  • Ensure adequate controls and segregation of duties in place
  • Familiarity with trading and settlement terms within direct or pooled funds
  • Will need to be motivated, show creativity and exceptional problem-solving skills. The potential candidate must be comfortable in a fast-paced, team-based environment with a high degree of individual autonomy
  • Must be able to manage work and prioritize multiple assignments under tight deadlines
  • Ability to gather and analyze requirements and translate them into business deliverables
  • Flexible attitude with regards to tasks and hours (Analyst will be required to work periodic holidays as well as early morning shifts when required
192

Avp-investment Operations Resume Examples & Samples

  • To work closely with management in executing the Operations consolidation strategy and align product operations under one unit for both existing countries and new countries planned to be supported by the unit
  • Requires an individual with matured thinking, excellent leadership, project management and communication skills who can independently interact and work with key stakeholders
  • To ensure pristine control environment as measured by self-assessment results, internal and external audits, COB, Operational losses etc. Partner with country O&T to ensure robust controls on an end to end basis
  • Leading and assisting in the implementation of Gold standard for Quarterly Manager Control Assessment (MCA) and Annual Risk Assessment on MCA for Investment Operations
  • Timely escalations of key risk and control issue to Regional Investment Operations Head/CSIPL Head
  • Ensuring that relevant procedures and deviations are accurate, complete, and up-to-date, and are reviewed and renewed on a timely basis
  • Support productivity improvement through process rationalization of existing processes and implement appropriate process design/changes while maintaining effective risk and control measures and compliance with Citi policies
  • Ensure all daily metrics are captured correctly and presented when required
  • Participate in governance calls and ensure the calls are held in a timely manner
  • Degree holder with minimum 10 years of banking experience with minimum 4-5 years in the Investment operations space
  • Influencing and tactful managing of stakeholders
  • Presentation skills to Senior Management and stakeholders
193

Business Analyst, Investment Operations Resume Examples & Samples

  • Identify gaps in business processes, translate gaps into system requirements and facilitate negotiation of requirements with technical solution providers
  • Participate in functional and user acceptance testing, ensure a smooth implementation of technical solutions including the development of training materials and post implementation support
  • Ensure fund/client accounts are properly constructed based on portfolio convictions and remain in compliance with established guidelines
  • 2+ years’ experience in Investment Operations or IT with some exposure to business analysis or project management
  • Undergraduate degree required; knowledge of investment management industry with some exposure to quantitative portfolio management/construction or working towards CFA certification helpful
  • Experience implementing new technology and business processes within a team preferred, technology aptitude and curiosity required
  • Ability to communicate and interpret complex technical concepts to stakeholders with varying levels of experience
  • Capable of managing multiple priorities and meeting deliverable deadlines
194

Investment Operations Analyst, Derivatives Resume Examples & Samples

  • A working knowledge of derivatives products - futures, swaps, options, and initial/variation margin
  • Support derivatives trade processing, including trade affirmation, delivery, and collateralization
  • Setting up the client's portfolio in our internal systems, and creating client reports
195

Cib-ais-hfs Investment Operations Resume Examples & Samples

  • Ensure all scheduled operational deliverables are processed and reviewed in timely manner
  • Reconciliation of trades, investment positions and cash balances to external third parties (banks, prime brokers, counterparties and custodians)- Completion of these activities as a checker
  • Perform & Review trade break analysis with prime brokers and counterparties performed by maker
  • Perform & Review PB Margin, Collateral Management calculation and signoff to client
  • Perform & Review OTC long form confirmation document
  • Work with internal teams to identify and track issues to continuously improve the process
  • Management reporting for MIS and ad hoc requests
  • Participate in efficiency/risk project and discuss this with the supervisor
196

Cib-ais-hfs Investment Operations Resume Examples & Samples

  • Perform PB Margin, Collateral Management and OTC Settlements functions
  • Process security life cycle events
  • Work with clients to resolve queries and providing first level account service
  • Participate in departmental projects as needed
197

Investment Operations Resume Examples & Samples

  • Contribute to drafting and proactively maintaining Portfolio Administration departmental procedures
  • Promote teamwork and collaboration across the group, providing guidance and mentorship to junior members of the team
  • Provide assistance to manager and audit liaison during departmental SOX/Audit reviews
  • Analyse data and identify areas for improvement and participate in the design and implementation of reconciliation process enhancements
198

Investment Operations Analyst Resume Examples & Samples

  • Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on corporate actions
  • Research and acquire all pertinent information about voluntary corporate action events using various vendors, sub custodian banks, depositories, and prospectuses
  • Provide support to International trading desks located in US, Canada, UK, & Asia
  • Reconciliation of Manulife records to resolve any entitlement calculation problems due to position breaks
  • Ensuring integrity of trading system data and evaluating all investment transactions
199

Investment Operations Analyst Resume Examples & Samples

  • Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on bank debt (term loans)
  • Monitor bank loan notices and payment reports; validate position and payment calculations, update system schedules, instruct banks/custodians, and resolve payment exceptions; handle complex transactions involving PIK and revolvers
  • Calculate complicated cash flows, payments, and fees
  • Prepare administrative details and provide to the agents at the time of funding
  • Provide instruction (including key terms) to the custodian for all closing activity
  • Manage closing document process on Markit ClearPar
  • Coordinate and validate transactions within Wall Street Office platform
  • Reconcile positions and accruals with the trading systems, accounting platforms, agent banks, custodians on daily, weekly and monthly basis
  • Work with custodians to resolve discrepancies involving holdings, transactions and interest calculations
  • Interacts with the custodian, administrative agent, and investment team on trades, payments, and other issues
  • Special projects and research for systems enhancements
  • Respond to complex ad-hoc research requests
200

Investment Operations Specialist Resume Examples & Samples

  • Preferred candidates that have a 5 years of work experience and have experience with
  • Demonstrated experience in post trade processing and compliance process
  • Demonstrated experience interfacing effectively with all levels of management
  • Demonstrated financial services operations experience
  • Solid knowledge and understanding of various asset sectors and their data and settlement requirements (Treasuries, Corporates, Municipals, ABS, CMBS, Equities, Converts, Private Placements, Commercial Real Estate loans, Private Equity)
  • Solid knowledge and understanding of security master and reference data best practices
  • Working knowledge of Bloomberg Terminal, Omgeo Alert & Oasys
201

Investment Operations Associate Resume Examples & Samples

  • Primarily responsible for the daily, monthly and quarterly trust fund reporting to executive management, Board of Directors and SEC financial reporting
  • Analyze and monitor existing portfolio holdings
  • Calculate the distribution of trust income and gains/losses monthly
  • Assist with the preparation of the annual GAAP financials for the trust fund
  • Assist with the day-to-day trading activity of the investment portfolio
  • Assist with management of the preneed trust accounts including interactions with 3rd party bank trustees, auditors, data providers, and brokers
  • Become proficient in using the Bloomberg terminal for daily investment portfolio, checking top news stories, researching company presentations as well as checking trading levels of stock and bonds
  • Prepare ad-hoc financial analysis and complete special projects upon request
  • Dedication to learning and commitment to personal growth; self-starter
  • Willingness to take ownership of assigned tasks from beginning to end
  • Enthusiasm to deliver the best result on every project
  • Unquestioned commitment to integrity and ethical decision-making
202

Senior Associate, Investment Operations Resume Examples & Samples

  • Basic financial acumen with strong math skills. 
  • Knowledge of life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred. 
  • Ability to anticipate needs and take effective action. 
  • Detail oriented, analytical self-starter with a motivation to expand knowledge, skills and responsibility.  
  • Experience in and knowledge of Excel, or other spreadsheet/database applications and Microsoft Word is preferred. 
  • Ability to meet deadlines and work both independently and as a team member. 
  • Excellent verbal and written communication skills. 
203

Investment Operations Specialist Resume Examples & Samples

  • Provide collateral management support in regards to OTC and cleared derivative related products through liaising with various investment teams
  • Responsible for monitoring trade capture, derivative affirmations, confirmations, and settlements
  • Work with brokers and custodian banks to communicate derivative life cycle events
  • Liaise with legal department and counterparties to support Dodd-Frank and EMIR requirements
  • Facilitate the onboarding of derivatives trading in new funds and accounts by assisting with ISDA and other documentation requests
  • Provide internal operational support to other departments within the company
  • Support fellow colleagues with questions in regards to product inquiries
204

Senior Investment Operations Specialist Resume Examples & Samples

  • Act as the client’s day-to-day Client contact for Corporate Owned Life Insurance clients (COLI), fielding questions and requests
  • Act as the internal lead and project manager deliverables; overseeing day-to-day service deliverables and client specific operations to ensure assigned clients receive the highest quality product
  • Manage and lead efforts related to client conversions and implementations, in conjunction with the Client Relationship Manager (CRM) and Department Manager
  • Coordinates and leads communications with clients for services being performed by other internal departments (such as Plan Accounting or Analytical Services)
  • Will take lead in providing options to Client Relationship Managers and Relationship Managers regarding funding issues and asset allocation strategies
  • Ability to develop complex Excel rebalancing spreadsheets
  • Escalates client issues and communicate potential sales opportunities to CRM and Manager
  • Establishes client service expectations with client team members
  • Trains team members on plan features and client specific processes
  • Ensure ongoing client procedures are implemented and kept up to date
  • Assists with conducting regular client team meetings
  • Determine standard services to be provided to a client, in conjunction with the CRM and Manager
  • Oversee Service Calendar maintenance
  • Work with CRMs to ensure service agreement is current and escalate client request to the Manager and CRM for services requested that fall outside of the service agreement’s scope of services
  • Coordinate delivery and production of non-standard and ad-hoc requests, especially those that involve sophisticated, manual or atypical calculations
  • Work with clients and other team members to give clarity to the desired output
  • Develops calculation model & trains team members on procedure
  • Tests output and assumes responsibility for quality control
  • Oversees quality control for all client team projects and services deliverables
  • Provide Managers with input on team members’ performance
  • Facilitates cross communication within the client team
  • Ensuring all team members are kept “in the loop” on all client projects and servicing expectations/developments
  • Oversees insurance consent enrollment activity in conjunction with CRM
  • Reviews and monitors project timelines
  • Leads New Client/Plan Implementations, in conjunction with the CRM
  • Assist CRM with the development and monitoring of the project timeline
  • Assists as necessary with new insurance purchases
  • Oversees client’s COLI implementations, conversions, and day-to-day operations
  • Knowledge of qualified or non-qualified benefit plan administration, life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred
  • Poised, calm under pressure and an effective verbal and written communicator
  • Ability to train and mentor fellow associates
  • Detail oriented, analytical self-starter with a motivation to expand knowledge, skills and responsibility
  • Excellent Knowledge of Microsoft Word, Excel and Macros
  • Ability to manage and prioritize projects and take an active role in problem solving/decision making
  • Ability to meet deadlines and work both independently and as a team member
  • Life, Securities licensing and registration
205

Specialist, Investment Operations Resume Examples & Samples

  • Support the international accounts for the line of business
  • Serving as primary settlement support and building working relationships with third party managers for international securities
  • Resolving trade exceptions by coordination with investment managers and/or brokers
  • Working with investment managers, brokers and internal teams to resolve failed trades on a timely basis
  • Researching and resolving exceptions, including depository position exceptions
  • Process Global Settlement
  • Deliver out sales of securities through the Bank of New York Mellon depository according to industry and department deadlines
  • Settle purchases of securities through the Bank of New York Mellon depository according to industry and department deadlines
  • Resolve settlement problems and issues through analysis and collaboration with both internal and external parties
  • Balance trade settlement activity through Bank of New York Mellon according to department deadlines
  • Actively work to streamline processes to improve efficiency
  • Provide a high level of service to both internal and external parties
  • Be an integral part of the coverage plan for all functions in the department
  • Participate in other continuous improvement projects
  • Prior experience in securities industry. Experience in trade settlement, domestic / international securities and/or FX a plus
  • Ability to identify and articulate possible improvements in process flows
206

Analyst, Investment Operations Resume Examples & Samples

  • Bachelor’s Degree is required from an accredited four-year university, an emphasis in Accounting or Finance is preferred
  • Preferably 1-2 years of experience in the investment field with emphasis on portfolio accounting
  • Experience with financial accounting and reporting
  • Strong analytical skills and detail oriented
  • Strong skill set in the following areas: ability to problem solve, meet deadlines, and be organized
207

Senior Manager, Investment Operations Resume Examples & Samples

  • Proactively identifying areas of opportunity, and evaluating current policies and methodology, will help the organization mitigate risk and increase scale
  • Developing and maintaining a program surrounding corporate actions will help streamline our investment process
  • Developing an expertise within the trading platforms/technology will further our alignment with business partners and help create a more robust & efficient end to end operational model
  • Creating strong and effective relationships, both internal and external, will help drive execution and efficiency
  • Bachelor’s degree required; completion of, or progress towards graduate degree or CFA preferred
  • 8-10 years of financial services experience, preferably in investment operations, trading or managed accounts
  • 3+ years of proven experience leading or managing projects
  • Ability to manage up and represent Investment Operations in both internal and cross company efforts
  • Willingness to take initiative without specific direction; ability to self-motivate
  • Proven ability to manage a project from beginning to end and communicate results to a broad audience
  • Data querying skills (SQL, R)
  • Excel, including VBA
208

Investment Operations Trading Operations Analyst Resume Examples & Samples

  • Confirm, research, and resolve trade exceptions with custodian and broker dealer across all products and sectors
  • Work with Trading and Portfolio Management to resolve exceptions
  • Ensure internal systems are updated to record status of any ongoing investigations
  • Work with counterparties to address issues, research and resolve discrepancies and ensure trades are confirmed within Regulatory guidelines
  • Coordinate with other teams within BlackRock to ensure that trades are set up correctly
  • Ad hoc queries and project work
  • Take an active part in the various platform enhancement activities in whcih the group is involved
  • Actively review business processes to ensure that efficiencies are maximised whilst maintaining a rigorous level of control
  • Produce & distribute departmental MIS
  • Building the existing ‘One Team’ ethos within the firm by working closely with colleagues in other regions
  • Experience of working in a middle office/ settlements function in an Investment Management, Custodian, Investment Bank or similar environment
  • Team player with excellent attention to detail, problem solving/analytical abilities, research skills and willingness to learn
  • An excellent communicator with good organisational/time management skills
  • Experience of working to tight deadline’s in a fast-paced environment
  • Good knowledge of Word and Excel
209

Lead Analyst, Investment Operations Resume Examples & Samples

  • Provide critical project management support for the securities settlement system implementation, including but not limited to: tracking project milestones and budget, preparing project updates for senior management, scheduling and leading meetings, and serving as a liaison between external third party vendors and internal stakeholders
  • Confirm and settle all investment securities and derivatives trades, following up with relevant groups regarding pay downs and factor discrepancies, cancel and correct transactions, SPO adjustments, and researching/finding resolution for settlement issues and payment exceptions
  • Process transfers of collateral, margin calls, pair-offs and substitutions related to forwards, derivatives and wholesale borrowing transactions
  • Monitor the value of pledged and unpledged securities and reconcile internal records vs. the Custodian bank
  • Communicate effectively with internal and external business partners, including but not limited to: Trading Desk, Custodian Bank, Accounting, Treasury and IT
  • Collaborate with our IT team to implement and/or enhance tools and applications for settlements and collateral management processes
  • Act as an escalation point person for issues that require troubleshooting, detailed analysis and management
  • Ensure effective controls are in place across daily tasks and functions to mitigate risk. Identify, document, and implement new risk controls
  • Produce and/or review daily, monthly or quarterly statements/reports for distribution to management and various stakeholders
  • Develop and maintain ad hoc or custom reports
  • Coordinate the review and negotiation of new and existing trading agreements (i.e. ISDA, MSFTA, etc.)
  • Coordinate requirements and participate in Internal Audit/SOX/RCSA reviews
210

Managing Director, Investment Operations Resume Examples & Samples

  • Leading the four teams, which include Equities and Fixed Income; Derivatives; Access and Business Continuity Management; Operational Due Diligence
  • Overseeing, measuring and managing overall risk for the investment operations in an environment with significant daily trading volumes
  • Consistently identifying sources of complexity and implementing technology enabled/process enhancement solutions that are long term and scalable
  • Building strong relationships with PMI to support investment strategies while also ensuring the overall investment operations maintain integrity and controls
  • Building partnerships with IT and Data Management to ensure support and synergies/efficiencies
  • Developing the team’s capabilities
211

Head of Investment Operations Resume Examples & Samples

  • Manage all investment operations functions and resources, with a focus on continuous process improvement, automation and use of global operations support model
  • Responsible for efficient, timely and accurate trade and cash-flow implementation for the investment portfolios including coordination of direct trading in stocks, ETFs, futures, forward etc
  • Responsible for efficient, timely and accurate administrative processes for the managed funds including custody, portfolio valuations, unit pricing, unit registry, distributions, fee accruals, compliance etc
  • Transition planning and execution (for investment transitions and client transitions)
  • Responsible for the strategic development of Investment Operations capabilities with a focus on direct trading capabilities being executed for local and developed market equities by the end of 2018
  • Maintain senior relationships with investment managers, custodian and administrators, managed account platforms and key clients to promote successful servicing arrangements
  • Efficiently implement client cash-flows and other portfolio management decisions as instructed while ensuring business risks are minimised and that there are no financial claims
212

Analyst, Investment Operations Resume Examples & Samples

  • Process daily UIT redemptions for all trust holders
  • Locate long positions to cover UIT short positions held on Nuveen’s books and records
  • Train others on the UIT Trading process
  • Participate in any other UIT related activities required to decommission Nuveen’s UIT business
  • Process block trades including the updating of rotation grids, compliance memos, and investment models. Create a trade to reflect the wishes of the investment manager and execute trades with the appropriate sponsor firms
  • Accurately convey the instructions provided by the PM when executing orders or updating non-discretionary models
  • Adjust discretionary models based on direction from Portfolio Manager, rebalance client accounts and execute trades to accommodate changes
  • Review trade exception reports to find discrepancies from the previous trading day
  • Correct exceptions by reaching out to the sponsor trading desk or back office of the sponsor firm to research and resolve any discrepancies from the previous day
  • Review the trades made in an individual account executed on the previous day to ensure the trades properly reflect the parameters of the investment model
  • Code and un-code appropriate fields in accounting system to ensure the proper management of individual accounts
  • Review and adjust holdings in new accounts, sell off non-profile names and invest up so that they are in line with the appropriate investment model
  • Run and review several exception reports to ensure the each individual account is in-line with the parameters of the associated investment model
  • Process accounts with cash inflows or outflows and rebalance to investment model
  • Run and Review drift reports to find outliers, research any discrepancy and act accordingly
  • Process tax harvesting requests – review current account holdings to determine a scenario that best meets the client request to realize gains or losses
  • Review municipal portfolios and sell off securities that do not match the characteristics of the investment style
  • Bachelor’s degree from an accredited four-year university
  • 1-2 years previous experience in investment management industry with a focus in managed accounts
  • Excellent analytical, troubleshooting, and conceptual skills
  • Self-directed, self-starter, and motivated with the ability to work with minimal supervision
  • Strong organizational skills and ability to prioritize tasks
  • Working toward a Bachelor's degree required; equivalent work-related experience may compensate for certain requirements
  • Intermediate skills in Microsoft Office (Excel, Word, Outlook)
  • Previous experience with FiServ APL, FiServ Gim2, GEO Trader, CG Trade Connect, or Bloomberg a plus
  • Excellent communication ( written and oral), with senior leaders and peers, facilitation, interpersonal and collaborative skills
  • Ability to be flexible and adjust to various Portfolio Managers
213

Consultant, CS Investment Operations Resume Examples & Samples

  • Works effectively both as a team member as well as an independent self-motivated individual
  • Responsible for multiple projects of various complexities
  • Able to identify opportunities for improvement within existing technology applications while acting as a liaison with Partner areas to drive resolution
  • Responsible for understanding client's business needs and deliverables
  • Act as the escalation point of contact for client issues or inquiries
  • Drive the engagement of other partners as appropriate to solve client inquiries/issues
  • A college or university degree and/or 4-6+ years of relevant work experience
  • Previous exposure to business process and/or technology enhancement initiatives
  • Previous Client Service experience in a service oriented environment
  • Able to prioritize and multi-task
  • Knowledge of financial services, asset management and/or investment operations. Attention to detail and works with a sense of urgency
214

Specialist, Investment Operations Resume Examples & Samples

  • Manage operational relationships with clients, service providers, transfer agents, custodians, fund accountants and internal departments; ensure the delivery of high quality service
  • Oversee specialized projects that impact multiple internal departments; serve as key internal and external operational contact keeping management informed of project progress
  • Manage escalated issues from internal and external stakeholders; ensure timely resolution and adherence to contractual policies, procedures and controls through review of Service Level Agreements
  • Oversee daily vendor reporting and ensure system applications remain in control of Dimensional business processes
  • Manage the development process for mapping, defining, and documenting process flows.; identify areas of improvement and oversee improvement efforts for both internal and external functions
  • Develop business requirements and gather data for systems enhancements or new features to be integrated from outsourced back or middle office functions into Dimensional processes
  • Negotiate operational terms during client contract negotiations
  • Minimum of 5-7 years of relevant experience in back office or middle office operations and accounting; Series 7 preferred but not required
  • Past experience with third party vendor management of back office functions
  • Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner
  • Strong relationship building skills and an ability to work well in a team environment, both locally and globally
  • Ability to impact and influence others across the organization
  • Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
  • Proficient in the Microsoft Office suite including Power Point and Visio (preferred)
215

Investment Operations Analyst Resume Examples & Samples

  • Preferred Bachelor’s degree in Business or related field; or experience in finance field
  • Professional demeanor and excellent communication skills
  • Excellent computer skills, including Word, Excel, and PowerPoint. Advent and/or Bloomberg a plus
  • Ability to handle competing demands by communicating with all department members to prioritize work
  • Comfort and proficiency in dealing with quantitative data and time pressure
216

Senior Associate, Investment Operations Resume Examples & Samples

  • Lead the investor onboarding process for new client accounts; provide product and onboarding support together with Legal, Financial Advisor and Institutional Sales teams
  • Provide oversight of daily metrics and reporting deliverables received from service provider; track global issues and trends as they occur across vendors, recommend and implement solutions together with service provider
  • Facilitate periodic updates of operating memorandums; ensure all processes and controls are fully documented
  • May serve as lead in supervisor’s absence; responsible for reviewing and approving others’work in certain cases
  • A bachelor’s degree is strongly preferred
  • Approximately 3-5 years of relevant experience in back office operations and accounting within the mutual fund industry
  • Experience working with third party vendor management of back office functions and an in-depth understanding of custody, accounting and investment operations workflows and best practices
  • Strong relationship building skills and an ability to work well in a global team environment
  • Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment
  • Proficient in the Microsoft Office suite including Power Point and Visio
217

Investment Operations Trading Operations Resume Examples & Samples

  • Route trade details/ portfolio allocations & receive written or electronic trade confirmation from counterparties daily
  • Resolve DK’s, fails and exceptions
  • Coordinate with dealer community on STP efforts to further automate confirmation process
  • Bachelors Degree in Finance or similar concentration required
218

Manager, Investment Operations Resume Examples & Samples

  • Team Management and Leadership
  • Lead the Insurance Service teams, responsible for the administration of non-qualified life insurance plans and administration
  • Ensure excellent team performance and account management through staff development, goal identification, team building, weekly team meetings, guidance and coaching
  • Provide performance feedback. Identify and resolve complex/difficult employee situations and relationships to promote a positive work environment
  • Initiate appropriate audit processes; utilize appropriate checklist tools; delegate, prioritize, and supervise work to maximize administrative productivity and ensure timely and accurate completion of team deliverables
  • As requested, track departmental deliverables
  • Develop, perform analyses on, make recommendations for, and confirm accuracy of a variety of spreadsheets, client specific reports and correspondence produced by the team and department
  • Coordinate with other teams or departments, as required to ensure team compliance with plan rules
  • Develop, oversee, review and revise team and client specific transaction documentation, and procedures that are then applied as best practice models for department usage
  • Oversee management of team’s client specific task and project calendars
  • Lead or oversee team on client implementations and de-conversions and assist other teams as necessary
  • Solicit team performance feedback
  • Act as point of escalation in coordination with Department Head
  • Identify and resolve complex/difficult client issues to ensure optimal customer service
  • Exercise sound judgment and display a thorough understanding of business needs as it relates to weighing company cost against benefits gained from a new business change and/or decision
  • Interpret plan provisions to effectively manage team’s insurance plan and administration
  • Consult with clients/counsel on insurance, plan design, funding and complex administrative issues
  • Act as a subject matter expert and assist department, team and clients with various inquiries
  • Formulate and maintain valued relationships with clients, carriers, peers and associates
  • Department leader who inspires trust and confidence in others by actively contributing to group discussions and company/departmental objectives
  • Leader of department improvement initiatives through offering suggestions and challenging the status quo, while exemplifying a positive/motivating force for change
  • Identify and/or contribute to new sales efforts and service & product offerings through participation in sales presentations and identification of system enhancements
  • 5 to10 years experience of Corporate Owned life insurance products,(COLI)
  • Life Insurance, Split Dollar Plans, finance, accounting, financial modeling or other technically oriented benefits-related field
  • Prior management experience strongly preferred
  • Strong public speaking skills with the ability to clearly identify objectives catered to varying audiences
  • Effectively addresses and resolves conflict
  • Effectively articulates point of view and provides feedback
  • FINRA 6 & 63 registration and state Life Insurance with in 120 days of hire
219

Investment Operations Associate Resume Examples & Samples

  • 1 to 2 years of Retirement Operations / Customer Service experience preferred
  • Prior experience in a financial services company is a plus
  • Experience in IRA technical processing preferred
  • Must be receptive to detailed and frequent performance feedback
  • Proven record of dependability
  • Ability to absorb regulatory, compliance and technical rules in a relatively short period of time
  • Overtime as needed to support business objectives
  • Bachelor's degree preferred or equivalent work experience
  • A FINRA Series 7 & 63 are preferred
220

Senior Manager Investment Opérations Centre Resume Examples & Samples

  • Bachelor's degree in a related field and ten years of relevant experience or Master's degree in a related field and eight years of relevant experience
  • Extensive experience in personnel management
  • Capable of setting up a new unit and working in ambiguity
  • Experience in the wealth management business
  • Strong knowledge of transversal operational processes required to operate an IIROC or MFDA business (e.g. account opening, transfer, account management, mutual fund trade settlement, etc)
  • Strong collaboration with colleagues and stakeholders transversally, across various teams in Operations and the various business lines
  • Demonstrated capability to optimize processes, favour automation and manage change
  • IT savvy, with experience in complex project implementation and operationalization
  • Open to travel (Toronto/Montreal)
  • Bilingualism both spoken and written (English and French)
  • Knowledge of RPM an asset
  • Demonstrates the following values: Collaboration, Empowerment, Agility
221

AVP, Investment Operations Resume Examples & Samples

  • Lead and manage a team of 5-7 professionals in a dynamic, fast paced environment
  • Manage and oversee Investments Cash Management Team as well as actively participate in daily activities pertaining cash management
  • Manage and oversee the trade operations for all securities trading that is executed on the US trading desks
  • Further develop the strategy to build a scalable platform that leverages other areas of MetLife that will improve the operational efficiency of the organization
  • Work closely with business partners and key stakeholders to stay current with the business direction and influence those decisions from an operations perspective
  • Partner with Technology to improve operational effectiveness and enhance productivity
  • Develop, implement, and monitor key performance metrics to ensure quality and efficiency in all business processes
  • Perform all cash management functions end to end in our Treasury Workstation to support MetLife’s cash flows
  • Provide information to the Front Office and Traders to analyze the Treasury Workstation reports and Blackrock’s Aladdin systems to support cash forecasting for the Portfolio Manager
  • Manage all corresponding bank balances and advise on the daily cash position
  • Reconcile all bank accounts and investigate portfolio outages where necessary
  • Work with the centralized reconciliation teams to resolve reconciliation breaks occurring in portfolios managed within the region
  • Trade support functions such as trade confirmations & settlement notifications, corporate action processing and operational cash entries
  • Perform testing and provide analysis of results that lead to the execution of requirements
  • Business Administration or BS in Accounting, Finance, or IT related field
  • Previous management experience (minimum team size of 5-6 individuals)
  • Strong understanding of cash management, investment operations support, reporting, and fixed income and equity securities analytics
  • 10+ years relevant experience in Financial Services industry, Capital Markets and Investment Products (Fixed Income & equity securities)
  • Advanced problem solving abilities and communication skills
  • Ability to maintain high level of visibility inside and outside the firm
  • Experience with Aladdin, Omgeo, TradeWeb, Bloomberg or other Investment platforms is a plus
222

Analyst, CS Investment Operations Resume Examples & Samples

  • Responsible for providing client service through the execution of daily functions and tasks
  • Work effectively as a team member as well as an independent, self-motivated individual
  • Advise management where current processes do not align to documented procedures
  • Escalate client requests that contradict established procedures or best practices
  • Assist in improving process flows and operational and control procedures
  • Understand current Service Level Agreements (SLAs) that are directly related to job function(s)
  • Responsible for increasing knowledge of financial services market operations
  • A college or university degree and/or 0-2+ years of relevant work experience
223

Alternative Investment Operations Associate Resume Examples & Samples

  • Handling the cashiering and money movement duties, including processing wire transfers, check deposits, and cash journals
  • Confirming and reconciling Alternative Investments held in Schwab client accounts
  • Processing client account asset transfers to third party broker dealers, banks and trust companies
  • Coordinating with clients and investment sponsors on execution of voluntary and mandatory corporate actions
224

Investment Operations Analyst Resume Examples & Samples

  • Processing investment instructions, investment calls and cash transfers
  • Managing information and data collation from fund managers for ad hoc projects and requests
  • Running weekly updates of in-house spreadsheets used by the team for portfolio monitoring
  • Assisting the team on manager performance analysis and monitoring
  • Completion of operational forms e.g. account and market opening forms
  • Assisting with regular portfolio reporting to the investment committee
225

Investment Operations Associate Resume Examples & Samples

  • 2 years of related work experience (financial support, operations or financial analysis/reporting)
  • Demonstrated verbal and written communication, organizational, customer service, and interpersonal skills
  • Advanced computer skills including full suite of Microsoft Office and other Windows-based applications
  • Demonstrated interest in investment field
  • Ability and willingness to engage in conversation with internal and external parties, including legal counsel and investment managers
  • Act as primary or secondary contact for LTIP for investment managers, and internal investment team staff. Collect, interpret, and organize information relating to all aspects of client portfolios
  • Proactively support investment objectives through communication with third-party service providers
  • Review documentation and maintain correspondence
  • Coordinate asset transfer between CHOA, custodians, and investment managers and maintain account records
  • Complete ad hoc projects, creates analytical reports, provides supplemental analysis, and gathers information to aid investment decisions
  • Assist in conducting operational due diligence on traditional, hedge fund, and private equity investment managers (initial and ongoing)
  • Prepare presentations, summaries, and other documents as needed for leaders and stakeholders
  • Investigate and answer operationally driven questions
  • Provide administrative support to Investment office
  • Maintain awareness of current investment themes and Investment office
226

Investment Operations Business Process Manager Resume Examples & Samples

  • Partner with department managers to ensure all processes are accurately documented
  • Perform periodic checks to ensure process documents are being maintained
  • Lead efforts of obtaining a Service Organization Controls Report (SOC1) certification for the organization
  • Own the routine evaluation of SOC1 compliance, serving as point person for examiners and engaging organization teams, as required
  • Monitor the investment compliance processes within the portfolio management system. Work with the Compliance Manager on periodic reviews and escalate issues according to established policies
  • Oversee system administration efforts, such as, granting access credentials to systems and generating access audit reports
  • Provide strategic direction of optimal team structure and develop and implement a strategy to attract and retain top tier talent
  • Manage team resources to ensure efficient utilization in support of organization’s goals
  • Benchmark group process with industry peers to ensure platform is consistent with, or exceeds, industry best practices
  • Develop and maintain key performance indicators to track organization’s adherence to control framework
  • BA/BS with concentration in Finance, Accounting, or Economics
  • Prior experience (7+ years) in financial services, insurance, audit or other relevant experience in an investment operations environment
  • Minimum 3+ years’ experience supervising others in investment operations is required
  • Significant experience building workflows in a highly controlled and regulated environment is necessary; and prior experience in supporting SOC1 certification is required
  • Practical experience working with portfolio management systems a plus (Blackrock Aladdin preferred)
  • Demonstrated ability and desire to learn new concepts quickly. Must have ability to adapt to a continually evolving environment
  • Demonstrates knowledge of the creation, organization, and retention of transaction documentation
  • Team oriented individual
  • Exceptional attention to detail skills are critical
  • Excellent communication and organizational skills required
  • Exceptional ability to manage tight timelines
  • Ownership and accountability for deliverables
  • Accomplish goals and objectives
  • Results and detail oriented
  • Ability to multi-task and execute under pressure
  • Internally driven and self-motivated
  • Intellectual curiosity, forward-thinking
227

Senior Associate, Investment Operations Resume Examples & Samples

  • Manage operational relationships with clients, service providers, custodians, fund accountants and internal departments
  • Provide oversight of vendor reporting and performance by monitoring KPIs, metrics and adherence to contractual policies, procedures and controls
  • Oversee specialized projects that impact multiple departments
  • Map, define and document process flows; identify areas of improvement and oversee improvement and change management efforts
  • Support new account onboarding by acting as central contact to custodian and middle office setups
  • Support reconciliation of middle office invoices
  • Bachelor’s degree (Finance, Business or Economics or related field)
  • Minimum of 5-7 years of relevant experience in back/middle office operations, with a preference for in-depth middle office experience (portfolio reconciliation, trade processing, and/or corporate actions
  • Prior experience with third party vendor management of back office or middle office functions
  • Excellent written and oral communication; ability to deliver presentations in an articulate and convincing manner
  • Ability to work independently; capable of prioritizing to meet requirements with minimal supervision
  • Detail-oriented, with strong analytical mindset with an ability to synthesize data
228

Analyst, Investment Operations Resume Examples & Samples

  • Reconcile confirmations between DTC and the portfolio management system for assigned brokers
  • Function as liaison for broker/dealers, custodians, traders and internal clients for trade settlement related issues
  • This group shares a group e-mail and group phone line and all Trade Settlement Specialists are responsible to monitor those throughout the day
  • Escalate issues appropriately and according to escalation policies
  • Responsible for gathering data as requested
  • Create and maintain documentation on policies and procedures
  • Well developed interpersonal and written and verbal communication skills
  • Bachelors Degree in business or equivalent work experience
  • Strong attention to detail, good communication, analytical and problem solving skills
  • Previous international settlements experience a plus
229

Investment Operations Analyst Resume Examples & Samples

  • Synthesize business requirements in the form of functional process flows and user journeys and translate them into workable and strategic solution specifications and prototypes
  • Collaborate with other team leads to identify and develop innovations, technology and system solutions to improve experience and pursue opportunities to adopt new technologies to enhance business outcomes and operational efficiency
  • Drive implementations of change initiatives including coordination of system testing for relevant projects/initiatives to deliver maximum impact
  • Provide support to back office operations business processes and systems and oversee the processing of any of the following products: Unit Trust, Structured Deposits, CPF SRS Investments, Corporate action, Unsecured Facilities and other banking activities to ensure due process, accuracy and accountability are followed
  • Assist Head of Department to create and implement long term business plan to ensure continuity of business operations in the long run
  • Create a strong workforce by developing competent individuals ready for the future digital banking operations
230

Analyst, Client Service Investment Operations Resume Examples & Samples

  • Understand and follow control procedures
  • Responsible for providing timely response to queries
  • Research and resolve problems within established guidelines
  • Cultivate relationships with internal partners and client contacts
  • Responsible for understanding client's business
  • Is available and responsive to address client needs
  • Establish and maintain effective working relationships with key partners internal and external to the organization
231

Investment Operations Associate Resume Examples & Samples

  • Disbursements – executing cash and trade settlements, positioning cash, and supporting the loan origination business
  • Custody – ensuring safekeeping and reconciliation to the bank for all physical assets
  • SVO – filing and reporting for all securities to meet insurance industry regulatory requirements
  • Deal Management – capturing all terms related to the trade into Prudential’s infrastructure system
  • Performance Reporting – calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
  • All Majors Considered - degree in Finance, Economics or Business is preferred
  • Ability to organize and prioritize tasks and work in a deadline oriented environment
  • Ability to learn and adapt to database and client server applications and reporting tools
  • Accuracy and detail oriented a must
  • Working knowledge of Microsoft Office suite
  • Adapt to a fast-paced and dynamic work environment. This includes working independently and on a team
232

Investment Operations Analyst Resume Examples & Samples

  • Bachelor's degree, preferably in Finance or Accounting or equivalent investment operation experience
  • Understanding of investments, with knowledge of assigned asset class
  • Demonstrated time management and analytical skills
233

Consultant, CS Investment Operations Resume Examples & Samples

  • A college or university degree and/or 4-6+ years of relevant work experience Previous Financial Industry Operations, Asset Management and/or Investment Operations experience a plus
  • Previous exposure to business process and/or technology enhancement initiatives Previous Client Service experience in a service oriented environment
  • Knowledge of financial services, asset management and/or investment operations Attention to detail