Middle Office Manager Resume Samples

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JD
J Doyle
Jo
Doyle
10265 Kemmer Vista
Chicago
IL
+1 (555) 571 0842
10265 Kemmer Vista
Chicago
IL
Phone
p +1 (555) 571 0842
Experience Experience
Dallas, TX
Middle Office Manager
Dallas, TX
Aufderhar, O'Kon and Emard
Dallas, TX
Middle Office Manager
  • Liaise with external or local foreign lawyers for obtaining legal opinion and coordinate with internal parties (Business teams, Documentation Team and Legal Department) to speed up the document review process
  • Faceoff to senior managers across business divisions; Front office, COOs, Compliance, legal, Group Operations and Group Technology, as well as external market participants and service providers
  • Oversee the daily production and completeness of reporting to regulators; Produce metrics for senior management summarizing timeliness and accuracy of reporting, highlighting key risks and any potential areas where a breach may exist
  • Develop internal stakeholder relationships with the wider Middle Office team as well as general business support including but not limited to Fund Accounting, Product, Human Resources, Client Development, Compliance
  • Define and manage the workforce plan for the onshore & vendor teams; sourcing and demand management, talent development, retention and succession planning
  • Develop and implement resilient processes and systems to support new/changes to business products including mandatory changes to market/governance and regulations
  • Assist in credit Approval Conditions and Covenants related management reporting and monitoring works
Phoenix, AZ
Trade Middle Office Manager
Phoenix, AZ
Sawayn, Orn and Botsford
Phoenix, AZ
Trade Middle Office Manager
  • To safeguard and grow market share of trade services business in the division
  • To attain financial business targets in an intensively competitive and dynamic environment
  • To achieve high productivity and efficiency by on-going review of procedures and effective management of resources
  • To motivate and manage a team of people with increasing focus on service and sales and collaboration with customer groups
  • To ensure the new technologies, products and services are introduced and integrated into the operation and business
  • To look for new sales opportunities, increase wallet share and generally ensure the performance of the client
  • HSBC was founded to support the growing trade volumes between Asia, Europe and North America. We are now one of the largest trade teams amongst financial institutions worldwide and HSBC GTRF is one of the key core businesses of the Group
present
Detroit, MI
VP Prime Finance Middle Office Manager
Detroit, MI
Bernier Inc
present
Detroit, MI
VP Prime Finance Middle Office Manager
present
  • Regular communication with Clients and trading Desk, with focus on Client Service, covering all general SBL issues
  • Look to actively develop relationships with all Clients setting up regular client facing meetings and be recognised as the escalation main point of contact
  • Dedicated support to the Business/desks for client issues, MIS and process improvements
  • Participate in any new Businesses initiatives such as new processes and products and work alongside the Business to define new trading flows, define key responsibilities and see through to production
  • Manage the delivery of projects raised through the team, from the creation of BRDs and testing to the Project release
  • Liaise with other Departments within Citi such as Product Control, Settlements, Prime Brokerage, Asset Servicing
  • Responsible for accurate monthly accrual of fees to avoid PandL adjustments by the Business
Education Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
Strayer University
Bachelor’s Degree in Accuracy
Skills Skills
  • Reliable team player with strong interpersonal skills
  • Confident communicator able to present information, in detail, summary or response, to all levels of management
  • Good knowledge to end-to-end credit process and various functions for commercial banking in Hong Kong
  • Professional industry Qualifications would be advantageous
  • Excellent oral and written communication skills
  • Ability to establish credibility at all levels
  • Excellent interpersonal skills
  • Ability to multi-task and collaborate with multiple departments
  • Knowledge of BDC system
  • Understand the conceptual content and possess institutional knowledge of customers, bank and products
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15 Middle Office Manager resume templates

1

Senior Trade Middle Office Manager Resume Examples & Samples

  • The Group has defined International Trade as the highest priority to explore business opportunities for the next few years, engaging at all levels of the organization, to position HSBC as the primary provider of Trade Finance solutions for Corporate clients for their international trading needs worldwide
  • Must have a thorough understanding of the GTRF business and takes a long term view of expected changes
  • To look for new sales opportunities, increase wallet share and generally ensure the performance of the client
2

Trade Middle Office Manager Resume Examples & Samples

  • To ensure delivery of excellent customer service and solutions to meet needs of increasingly demanding customers
  • To achieve high productivity and efficiency by on-going review of procedures and effective management of resources
  • GTRF is a key strategic business for the HSBC Group under CMB and its history is mixed with almost 150 years of Group history. HSBC is recognized worldwide as “the trade bank” and its global leadership is unquestionable GTRF is recognized as a leading trade provider both globally and regionally. Through capitalizing on the Group’s international network and on the regional expertise, GTRF [regions name] not only consistently holds an important status internally as a reliable and relevant income generator as well externally receiving formal market recognition
3

O&t-cgm-middle Office Manager Resume Examples & Samples

  • Trade processing of a number of rates and FX products
  • Monitoring and resolving any issues with the lifecycle of the trades and monitoring daily control reports to ensure accuracy of trade capture impacting risk and P&L
  • Liaising with operations, IT and product control to resolve issues relating to trade capture, confirmations, settlements, and fails
  • Monitoring of daily control reports to ensure the desks are meeting regulatory reporting requirements and assisting in projects relating to new regulatory requirements
  • Ad hoc projects for trading desks or MO management, including provision of metrics and the introduction of new products or businesses
  • Rollout of new technology, including provision of business requirements and UAT testing
  • Making decisions regarding the day-to-day management of a diverse middle office team located across the Asia Pacific region
  • Good knowledge of rates products and solid awareness of compliance and regulatory environments
  • 2-3 years in a similar middle office or related operational role
  • Previous experience in managing small and diverse teams is preferred
  • Excellent communication skills; candidate will need to interact with a number of senior front office, middle office and operations managers, and must feel comfortable operating at this level
  • Fluent spoken and written in English is essential
4

Middle Office Manager Resume Examples & Samples

  • Responsible for various daily control reports ensuring trade capture, risk and P and L systems are in line
  • Responsible for setting up and the input of new Money Market and bond future options
  • Responsible for the daily Clearing of eligible trades in markitwire and monitoring of mandatory clearing obligations
  • Assisting with TriOptima unwind Cycles
  • Experience in back office or front facing role
  • Basic derivative product knowledge
  • Basic awareness of accounting, compliance and regulatory environments
  • Good PC skills essential to quickly learn the variety of in-house trading and related systems
  • Ability to demonstrate initiative to apply understanding and anticipate and proactively address areas of concern
  • Enthusiastic self starter, able to work with minimal supervision
5

Middle Office Manager Resume Examples & Samples

  • Extesnsive years ofprevious industry experience. A good theory based understanding of derivatives will be a benefit – particularly Equity derivatives
  • Candidate should have good understanding of risk associated with derivatives
  • A Finance/accounting/ Mathematical background would be preferred along with a good demonstration of organisation, ownership and responsibility in previous activities
  • Candidate should possess excellent communication skills and be able to work in stressful environments. Skills in organisation and prioritisation are essential
  • Knowledge of current Regulations affecting the OTC space, especially CFTC, EMIR regulations also a huge benefit
  • Experience in Client Service, Relationship management, Operations (Confirmations) Front Office Support preferred
6

Securities Lending Middle Office Manager Resume Examples & Samples

  • Performing timely deal amendments for US Domestic market
  • Processing returns and trade exceptions intraday to facilitate settlement
  • Processing payments for daily stock loan activity and mark to markets
  • Updating and maintenance of client profiles
  • Providing support to 3rd Party Vendor for requests such as deal amendments, payment processing, and investigation of contract discrepancies
  • Escalation Awareness ability to assess risk and exposure issues
7

Cib-brazil Equities Middle Office Manager Resume Examples & Samples

  • Strong understanding of equities derivatives (swaps, options, futures, notes), cash equities (core agency, SBL, EFT) and F&O (futures, options and swaps) agency activities
  • Strong knowledge of local regulatory framework
  • Proven people mangement experience and
  • Negotition and leadership skills to drive and coordinate across the teams (local and offshore) on Equities Agenda , controls, projects participation, new business initiatives and regulatory requests
  • Capacity to assess control environment and change / improve as necessary
  • Influence skills
  • Fluent English and Portuguese
8

Middle Office Manager Resume Examples & Samples

  • Processing accruals, dividends and corporate actions
  • Instructing payments and pre-advices to agents
  • Ensuring all cash/holdings activity have been actioned correctly
  • Liaising with counterparties and Prime Brokers on all payment/receipt discrepancies
  • Reconciliation of all cash transactions on a daily basis
  • Processing cash instructions with SSIs (Standard Settlement Instructions) validation
  • Swift messages requesting and validation
9

Middle Office Manager Resume Examples & Samples

  • Faceoff to senior managers across business divisions; Front office, COOs, Compliance, legal, Group Operations and Group Technology, as well as external market participants and service providers
  • Managing the regulatory reporting requirements as outlined by local authorities (MAS, HKMA, ASIC) for the bank
  • Oversee the daily production and completeness of reporting to regulators; Produce metrics for senior management summarizing timeliness and accuracy of reporting, highlighting key risks and any potential areas where a breach may exist
  • Assist with the implementation of automation of reporting where it currently does not exist and explore means to leverage that which is already in place
  • Be the subject expert on regional regulatory reporting requirements, both current and any future changes or additions that may be announced; Ensure changes by the rule makers are incorporated into reports
  • Define and manage the workforce plan for the onshore & vendor teams; sourcing and demand management, talent development, retention and succession planning
10

RF Middle Office Manager Resume Examples & Samples

  • Minimum of five years proven and progressive collateral management experience or equivalent
  • Thorough knowledge of formula-based lending and Company commercial lending systems
  • Proven analytical, problem-solving, organizational, communications and customer service skills
11

Middle Office Manager Resume Examples & Samples

  • Develop internal stakeholder relationships with the wider Middle Office team as well as general business support including but not limited to Fund Accounting, Product, Human Resources, Client Development, Compliance
  • Support Head of Department in managing the relevant cost centre budgets ensuring head count and expenses are in line with budgeted allocation
  • Develop and implement resilient processes and systems to support new/changes to business products including mandatory changes to market/governance and regulations
  • Ensure the risk and control framework is adhered to in order to manage risk effectively & efficiently within the team
  • Ensure compliance with and adherence to the middle office governance structure and department procedures
  • Managing multiple teams in Investment Operations
  • Strong Risk Management awareness
  • Background of driving innovation and delivering change
  • Experience in key change activity such as fund mergers, custody changes
  • Industry knowledge and understanding of Middle office processing function
12

Asset Management, Gwm-middle Office Manager Resume Examples & Samples

  • Staff management with project and problem analysis, effective communication with management onsite and in other locations
  • Represent the team(s) at various senior forums, locally and internationally
  • Supervision of large or multiple teams with accountability for quality assurance, controls and people management
  • Continuous focus on optimizing efficiency and control by understanding, reviewing and implementing processes, systems and procedures in the context of a growing business with increasingly complex product offerings
  • As part of the Operations management team, candidate will be expected to provide coverage and assistance outside of their direct responsibilities
  • People management experience (able to lead teams of more than 10 people) as well as teamwork skills
  • Wealth Management Operations experience or experience in leading Trade Support functions
  • Ability to make decisions with corporate perspective
  • Analytical approach, imaginative flair
  • Control focus
  • Strong commitment and exceptional drive
  • Knowledge of the various financial regulatory requirements a plus
13

Middle Office Manager Resume Examples & Samples

  • Manage the demand schedule of the global change teams
  • Maintaining compliance with Citi Change Delivery project governance structure for all changes executed for Middle Office
  • Participate in the prioritization forums for all Client Change, Strategic and program initiatives related to Middle Office
  • Personally lead selected strategic re-engineering initiatives in partnership with the business and technology
  • Develop and maintain a talent pool within the global team focused on project management and business analyst skillsets
  • In-Depth experience within Middle Office at an operational level (tech and/or ops) including
  • Trade Processing across all listed and OTC asset types and relevant business workflows
  • Portfolio accounting – closed end accounting, pricing, reconciliations (stock and cash), valuation production
  • Complex Data delivery and Support
  • Experience of dealing with Brokers/Custodians in support of the above
  • Relevant industry experience working for asset managers, asset manager outsource provider or third party administrators
  • Middle Office Operations focused
  • Testing and analysis
  • Pragmatism combined with a can-do attitude
  • Ability to establish credibility at all levels
  • Professional industry Qualifications would be advantageous
14

Middle Office Manager Resume Examples & Samples

  • Management of trade exception failures
  • Intraday and end of day query resolution
  • Working closely with other team members to ensure day-to-day tasks associated with customer deliverables are performed in a timely and accurate manner
15

Middle Office Manager Resume Examples & Samples

  • Good knowledge to end-to-end credit process and various functions for commercial banking in Hong Kong
  • Minimum 8 years of experience in credit risk management in local market
  • Capable to handle multi tasks with tight timeline
  • Strong people interpersonal skill
  • Good communication and writing skill. Fluent spoken and written English is essential
16

AM Global Real Assets Middle Office Manager Resume Examples & Samples

  • Oversee the Delaware Asset Management group functioning as a support team for the NY/LA based US Real Estate department covering office/industrial, retail, and multifamily sectors
  • Support the management supervision of sector analysts including training, talent reviews and work load distribution. This individual will also be responsible for improving team efficiency, ensuring policies and procedures are implemented across sectors in a consistent manner and managing platform level requests
  • In addition to the above, the individual will have specific responsibilities that align with asset management’s ongoing initiatives
  • Perform ad hoc duties as necessary (capital commitment schedules, discounted cash flow models, detailed analysis on existing and development assets)
  • Manage platform level reporting such as lease expiration schedules, portfolio exposures and regulatory
  • Support the development process of the sector team leads and analysts and act as a resource they can leverage for questions
  • Provide guidance to sector analysts as they analyze and interpret various types of real estate documents, including operating statements, rent rolls, leases as well as joint venture and loan documents
  • Support senior management by reviewing and monitoring qualitative and quantitative analysis performed by team leads and sector analysts
  • Maintain open communication with the Delaware GRA Group Head and Senior Management in New York and Los Angeles
  • Strong management and people development skills and an active interest in supporting other managers and analysts with training and career development
  • Must be able to manage and meet critical deadlines and ensure the team is doing the same
  • Detail oriented and a self-starter
  • Superior written and verbal communication skills
  • Well-developed quantitative and analytical skills including financial modeling and discounted cash flow analysis
  • Strong organizational and time management skills
  • Strong understanding of real estate valuation concepts
  • Strong skills and knowledge in the areas of valuation modeling, appraisal analysis, and joint venture structures
  • Experience with Argus, Dyna, or similar valuation software
17

Middle Office Manager Resume Examples & Samples

  • Strong organizational skills/communication skills
  • Knowledge of Broadridge/Impact
  • Experienced with FICC / BONY / DTCC / CLEARSTREAM settlement rules and regulations
  • Knowledge of BDC system
  • Ability to multi-task and collaborate with multiple departments
  • Understand the conceptual content and possess institutional knowledge of customers, bank and products
  • Required FINRA license Series 99, 7, 63, 24
  • English language required; Spanish language skill preferred
  • Confident communicator able to present information, in detail, summary or response, to all levels of management
  • Reliable team player with strong interpersonal skills
  • Bachelor’s Degree in Business Administration, Finance, etc
  • Must meet credit history and criminal background requirements associated with the financial industry regulatory authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records
18

VP Prime Finance Middle Office Manager Resume Examples & Samples

  • Regular communication with Clients and trading Desk, with focus on Client Service, covering all general SBL issues
  • Look to actively develop relationships with all Clients setting up regular client facing meetings and be recognised as the escalation main point of contact
  • Dedicated support to the Business/desks for client issues, MIS and process improvements
  • Participate in any new Businesses initiatives such as new processes and products and work alongside the Business to define new trading flows, define key responsibilities and see through to production
  • Manage the delivery of projects raised through the team, from the creation of BRDs and testing to the Project release
  • Liaise with other Departments within Citi such as Product Control, Settlements, Prime Brokerage, Asset Servicing
  • Responsible for accurate monthly accrual of fees to avoid PandL adjustments by the Business
  • Point of escalation for any internal or external issues raised to the team
  • Work together with the Collateral and trade support teams based in London and other Prime Finance overseas locations to streamline processes and share knowledge across entities
  • Identify efficiencies and increase productivity within the day to day tasks and Prime Finance as a whole
  • Perform regular 1:1 with all team members and be responsible for individual appraisals, development planning and maintaining a skills matrix
  • Ensure that daily exposure reports are checked and covered at COB for all Stock Lending Clients
  • Supervise the trade exception management system; XSTREAM, ensuring all are dealt with by the team in a timely manner throughout the day
  • Supervise all the cash / portfolio / collateral reconciliations and ensure that any breaks are cleared in a timely manner by the team and they do not age
  • Ensure all client SSI’s are up to date, adhering to Market Best Practise
  • Supervise daily contract compare with clients via Pirum / Equilend ensuring the team have actioned on a daily basis to prevent exposure and billing issues
  • Actively involved in recruitment and staff retention through on-boarding and goal setting
  • Oversees the implementation of policies and controls within the unit and ensures staffs are aware of their obligations
  • Understanding of Securities Lending trade processing and life-cycle for significant product types (Equity/Fixed Income). Including trade capture, PandL, settlements and reconciliations for the stock borrow loan product area
  • Work experience in the Financial Services Industry is essential, significant exposure to Prime products is a benefit
  • Client Service experience is essential
  • Display well-developed ability to schedule work, managing time effectively and prioritising accordingly
  • Building positive working relationships and working with other Departments and managers to understand the root cause of an issue and deliver solutions in a timely and effective manner
  • Demonstrates sound judgement and professionalism in decision making/problem solving, dealing with a variety of escalations from the team and escalating to own manager if appropriate
  • Degree qualification or equivalent, with Prime Finance / Securities Finance experience
19

Asset & Wealth Management Managed Solutions Middle Office Manager VP Resume Examples & Samples

  • Management of a dedicated team and partnership with global counterparts
  • Strategic planning and setting of priorities with business partners and technology
  • Ensure the integrity of data such as trading positions through accurate trade capture, portfolio management, price reconciliations and query management
  • Provide value-added solutions to enable the business to swiftly realize new opportunities when they arise
  • Deliver an independent, robust and controlled environment that underpins the business activity
  • Support new product development including operating model definition. Develop new processes and procedures and implement the appropriate compensating controls, monitoring and reporting
  • Work closely with key business stakeholders, including portfolio managers, business management, Legal, Compliance, Operations and Technology
  • Candidate should have 7+ years of relevant experience in some combination of managed account product operations, product management, or middle office management in the financial industry
  • Solid understanding of portfolio management and discretionary account management
  • Strong understanding of securities products (mutual funds, equities, fixed income, hedge funds, derivatives, etc.) and managed accounts including separately managed accounts
  • Consultative in approach, understanding and anticipating business partner needs and proactively delivering solutions
  • Experience managing teams that interact with multiple groups of stakeholders
  • Continuous improvement and change management mindset, questioning conventional ways of managing the business and driving change to improve processes
  • Strong sense of accountability and ownership over "Quality" and end to end best practices around the quality assurance process
  • A track record of driving strategic and tactical plans, including automation and process reengineering initiatives, with an ability to anticipate and overcome barriers
  • Series 99 or other relevant securities license required or must be obtained
20

Trade Middle Office Manager Resume Examples & Samples

  • HSBC was founded to support the growing trade volumes between Asia, Europe and North America. We are now one of the largest trade teams amongst financial institutions worldwide and HSBC Global Trade and Receivable Finance (GTRF) is one of the key core businesses of the Group
  • Global Trade and Receivable Finance (GTRF)Canada has reviewed trade proposition ensuring that our customer needs are met and expectations are being exceeded. To better cater to the unique needs of customers, Global Trade and Receivable Finance (GTRF) Canada has instituted a customer segment approach enabling us to lead the market with superior customer experience, supported by dedicated trade specialists for each specific segment of the market
  • Competition, from both banks and non-bank institutions, is intensified on both service and pricing front which put pressure on market share and profitability. Global Trade and Receivable Finance (GTRF) Canada is customer and business focused with strong emphasis on service and sales culture. Dedicated Trade sales force and Client Management Team have been established for the 3 trade segments to provide product expertise to customer groups and proactively explore business opportunities
  • At least 5 years of knowledge and experience in trade products, operations, Trade Cycle and customer service
  • Strong organizing and time management skills