Middle Office Resume Samples

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R Purdy

Rashawn

Purdy

8279 Hauck Forge

San Francisco

+1 (555) 667 7761

8279 Hauck Forge

San Francisco

Phone

p +1 (555) 667 7761

Experience Experience

Houston, TX

Middle Office Intermed Analyst

Houston, TX

Wiegand, Conroy and Sauer

Houston, TX

Middle Office Intermed Analyst

Perform root cause analysis and process improve current trade front to back flow in order to achieve economies of scale
Work with trade support desk to ensure the timely resolution of all client discrepancies and inquiries
Work with compliance and trading desks to ensure the accurate processing and documenting of trading areas
Support access databases for control, performance and regulatory metrics
Work Effectively with other functional areas within FX
Provide support for Institutional Sales Traders/Institutional Clients
Cover unexpected events by demonstrating flexibility to core working hours

New York, NY

Middle Office Senior Analyst

New York, NY

Stark, Dare and McGlynn

New York, NY

Middle Office Senior Analyst

Support manager with running team meetings, providing feedback for 1-2-1s and yearly appraisals
Support manager with running team meetings, providing feedback for 1-2-1s and appraisals
Managing local/global projects (includes working on criteria, UAT & implementation)
Additional business oriented tasks requested by manager Support development of Client KPI’s and Monthly Service Packs; attend relationship calls and communicate data effectively; proactive actions targeting at minimising processing risk; Ensure effective MIS process
Continually improve knowledge by taking active role in the Training & Competence scheme
Pro-actively identify process risks and continuously work towards enhancing/improving assigned processes
Analyze daily Front to back indicative and position reconciliations and manage trade life cycle events

present

San Francisco, CA

Middle Office Senior Specialist

San Francisco, CA

Steuber-Gibson

present

San Francisco, CA

Middle Office Senior Specialist

present

Supporting coworkers in solving problems and assuring continuity of provided service
Additional business oriented tasks requested by manager
Perform root cause analysis of common discrepancies between client and broker’s instructions
Providing business support for all Middle Office functions
Support development of Client KPI’s and Monthly Service Packs
Providing training and introduction for new employees
Working in a fast-paced, dynamic environment supporting timely and accurate trade settlement process and maintaining client service levels

Education Education

Bachelor’s Degree in Computer Science

Pepperdine University

Bachelor’s Degree in Computer Science

Skills Skills

Good working knowledge of MS Excel — Pivot tables, application of financial formulas, macros and PowerPoint
Ability to recognize when involvement from leadership is necessary or advisable
Good consensus builder; able to drive large scale initiatives and communications
Strong OTC/Derivatives knowledge
Strong multi-tasking and ability to prioritize
Ability to influence different groups to produce timely deliverables and get results
Strong ownership – ability to work cross organizations and through obstacles
Strong interpersonal skills with the ability to build effective working relationships throughout the organization
Ability to professionally represent Scottrade to clients
Strong leadership, coaching and associate development skills. Ability to motivate and provide guidance to others

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Cio-middle Office VP NY Resume Examples & Samples

Managing a team of 2 people responsible for daily risk & P&L generation and other middle office key controls
Provide sensitivity based P&L attributions with a focus on minimizing any residual component
Responding to various ad-hoc information requests by other functions, such as Market Risk, Valuation Control Group (VCG), CFO / Business Managers
Ownership of front-to-back operational support for FO
Building and maintaining strong business, operations and technology relationships Qualifications
The candidate has to understand the business as well as continue to develop appropriate controls and business as usual improvements
Numerate, with attention to detail and a methodical approach to problem solving
Knowledge of Agency MBS, CMBS, ABS & CLO products is preferred
Strong interpersonal skills with the ability to confidently argue a case effectively with any audience
6 years of work experience in the finance and/or accounting industry
Strongindustry and operational knowledge
Proven track record of presentation preparation and delivering communication to management

Risk Market Risk Middle Office Market Data Analyst Based Resume Examples & Samples

Analysing Market Data used for Market Risk calculations such as VaR across several asset classes
Verifying the above market data to independent sources such as Bloomberg
Identifying spurious data and correcting these data points; liaising with Market Risk Coverage for remedial action
Partnering with AD to provide requirements for a number of Market Data projects. Perform UAT testing for monthly technology releases
Provide recommendation for future best practice controls
Working with stakeholders such as Technology teams to ensure the operational control of the process and troubleshooting technical issues
Participate in Projects relating to Control issues / enhancements both on Market Data and Stress
Assist in the production of weekly scorecards, BCC slides distributed to several groups and senior management. In addition work on weekly / monthly enhancements to the various metric packs
Attention to detail will be key in this role
Basic understanding of product knowledge across a range of asset classes – Credit, Rates, Equities, Commodities etc
Excellent verbal and written communication skills, with the ability to create and present training materials. Excellent interpersonal skills; ability to develop effective credible relationships with the business and functional partners
University graduate in Finance / Math or related discipline preferred
Prior experience of a Market Data analysis desirable
Ability to analyse a large set of data and analyse trends
Experience of using Bloomberg desirable

Private Bank Credit Middle Office Resume Examples & Samples

Partnering with our business colleagues and the ultimate user community to ensure the proper definition of requirements, testing, training and integration of the various platforms into the BAU business processes
Understand testing process, defects and identify needs for Change Controls
Support deployment efforts. Includes creation of procedures, training materials, workflows and demonstrations
Own Work Plan and manage to all delivery dates
Provide implementation support including testing of new tools / processes to ensure they meet the requirements of legal, compliance, inclusive of process documentation and training materials. Ownership of all testing topics for assigned workstreams
Project planning and analysis – including detailed project plans, documenting scope and business requirements, detailing issues & problems; collecting examples; drafting business and technical work / data flows
College degree, or specialized training or equivalent work experience
Minimum eight years of relevant work experience
Excellent analytical and time management skills
Global application and platform deployment experience
Team player, adaptable to changing environment, good interpersonal skills
SharePoint, MSProject, Excel, Visio and PowerPoint skills are required

CIB Operations Equities Middle Office Resume Examples & Samples

Work closely with the Business (Desk Heads, Global and Regional Business Managers) to understand submission framework and issues and challenges of the project
Work closely with Middle office managers to coordinate trade migrations, control framework review and procedures relating to the businesses involved
Complete the requirement analysis and liaise with technology partners to design the enhancements to the control framework, test and release into production
Document thoroughly any business requirement and action points, and chair working groups designed to drive the completion of the submission
Build and run governance around the different initiatives: communication, escalation, resolution
Be the voice of the business: make priorities transparent, influence to minimise lead-time
As part of the wider Equities project team, the candidate would also have an opportunity to get involved in other projects, especially as the CAD 2 projects nears the end
Initiate projects by defining scope, objectives and timeframes
Build and own project deliverables: business case, plans, issues & risks
Face-off to partners on behalf of the business - technology, operations, legal, compliance, treasury and other support groups
Previous knowledge of Equity Derivative products is essential
Excellent project management skills & a track record in delivering complex projects on behalf of Front Office / Operations
Strong communication skills, both written and verbal, including the ability to develop relationships across the various stakeholders including Senior Business executives
A self motivated individual who is able to deliver with minimal supervision, whilst also working effectively as part of a team

Cib-equities Middle Office Resume Examples & Samples

Engage actively with global/ regional project teams to develop, plan, and implement projects/initiatives on a timely basis
Perform Business analysis and review/ document ofprocesses via BRD documents to map current and future state flows or help reengineer and improve process efficiencies
You will need to coordinate your projects or initiatives in partnership with various stakeholders for delivery of the projects
Host regular PWGs to deliver key project updates and highlight critical risk and issues
Need to know how to communicate effectively in open forums and meetings
Need to present to management and stakeholders the deliveries of projects
Proactively engage various support teams for new enhancements or control related initiatives
Possess strong Project methodology foundation to help drive projects
This is a good opportunity for those who looking for greater challenges and a learning opportunity to be part of the Asia changing business landscape
4-7 years Project management experience in an investment banking environment particularly in the Equities space- Cash and/or Derivatives; a Project certification is desirable (PMP, Prince2, Agile)
Strong communication skills is essential
Good influencing and negotiating skills with the ability to drive initiatives/projects across the various businesses
Commitment, Initiative , Drive and Energy to continually improve and enhance processes
Strong Analytic mindset with a view to provide solutions
Flexibility to adapt to changing environment; multitasking is essential

Cib-equities Middle Office Resume Examples & Samples

Electronic Trading (Execution core components, Exchange Connectivity, Client on-boarding, DMA, Smart Order Routing - SoR, Algorithmic Trading, Data Analytics etc )
Flow Sales and Trading (Front Office Sales and Trading Order Management systems and Reporting)
Risk Management and Structured products
Middle office Trade Booking and Regulatory
Compliance Technology
Shares Services (Architecture group, Shared components and QA)
The development of the strategic trade management platform for middle office and re-engineering/enhancing the current stacks as well
At least 4 years of experience in developing software using Core Java technologies – candidates having experience in C/C are also welcome, but they must have at least 4 years of experience in Core Java technologies
We are looking for candidates who have very good experience in UI technologies as well. Candidates having Java Swing experience along with strong core-Java skills are also welcome
Must have good understanding of the fundamentals of multi-threading and experience in working with multi-threaded servers
BE/B.Tech

Cib-equities Middle Office Resume Examples & Samples

Design, develop, test and deliver software solutions in the Middle Office Application
Be a voice of knowledge and experience in their areas of expertise
1) 4 years of experience in developing software using Core Java technologies
2) We are looking for candidates who have very good experience in server-side as well as UI technologies. Candidates having Java Swing experience along with strong core-Java skills are preferred
3) We are looking for strong individual contributors with any experience level – senior candidates are also welcome, provided they are hands-on, very strong technologists and have a passion to drive the teams for technological excellence
5) Must have good understanding of the fundamentals of multi-threading and experience in working with multi-threaded servers
Experience in working within a structured project methodology
Experience in working with global teams
Experience in explaining technical issues and solutions to business stakeholders

CIB Technology Middle Office Services Transaction Processing Resume Examples & Samples

Good analytical skills for effective problem solving
Ability to collaborate and work well as part of a team
Aptitude and enthusiasm for development of technical solutions to address business problems
Willingness and self motivation to learn different technologies
The ability to work both independently and as a member of the team directly or remotely
A drive to build high-quality robust solutions
Follow best practice for development and code management
Working within a Scrum team to deliver high quality software to the business
Working closely with the Lead Architect/Project Manager to help estimate and prioritise the teams backlog and define stories needed to deliver the solution
Provide technology leadership to the team by setting standards and best practices, keeping up to date with new technologies and providing mentoring and assistance to the team members
The developer will need to build unit test cases using JUnit and assist with the definition and development of automated functional tests following principles of Behavior-Driven Development and using Greenhat and Concordian testing tools
Developers are responsible for source control management using Subversion and ARM for source control and auto deployment
The organization operates a very robust risk management policy and the developer will need to work within guidelines for managing controlled UAT & Production environments

Equity Derivatives Middle Office Risk Ops Specialist Resume Examples & Samples

Daily monitoring and escalation of Counterparty & Credit Risk generated by the Institutional Equity Derivatives Business
Correct application of the Credit Policies to the trading activity
Review of current and prospective client portfolios
Crisis ad-hoc events management
Non Market Risk Analysis and support
Counterparty trade control: correct application of credit approval process and independent amount setting on a trade by trade basis
Monitoring exposure to specific issuers/countries, or exposure based on portfolio composition versus specific risk parameters (long or short volatility or delta)
Ad-hoc Credit analysis and credit exposure calculation & analysis driven by market events
Management of counterparty risk initiatives, such definition and implementation of solutions to enable automation of trade level upfront margin calculation
Methodology development: development of parameter based calculations, competitive analysis
Successful delivery of enhancements to platforms & system flows to streamline credit approvals and counterparty limit monitoring
3 to 5 years of experience within Trade Support or Collateral Management preferred
OTC Derivative product knowledge
Strong analytical mindset & strong control focus
Good communication & relationship building skills
Ability to initiate and partner with broader groups to help drive projects to execution

ED, Post Trade & Middle Office Execution Resume Examples & Samples

Strong OO Design and Programming, Distributed Architecture Design
10 + years Hands-on technical experience delivering solutions on the UNIX /LINUX platform using Core Java and J2EE server technologies (CXF, JAX-WS, XML, JMS)
5+ years strong experience in the design and development of relational database management systems (Sybase, DB2, Teradata or SQL Server)
5+ years of experience with scripting language (Python and/or PERL, shell)
5 + Experience in MS
Experience in Rest and SOAP web services using Java
Experience in HTML/Javascript and developing and deploying web technology like Ext JS/Angular or JQuery
Technical experience using Microsoft technologies (plus)
Development experience working with mixture of new and legacy systems
Development experience in working with large volumes of data
Experience with multithreaded programming and concurrency

CIO Middle Office Long Term Debt Bookrunner VP Resume Examples & Samples

Reviewing, understanding, explaining and reporting the day over day move in risk for CIONA using Data Warehouse
Calculating, agreeing and reconciling traders P/L estimates to the actual results, explaining variances to FO
Performing business analysis - being a catalyst for change and owning delivery of all project's success criteria (pre and post implementation)
Candidate must posses attention to detail and a methodical approach to problem solving
Understanding of Fixed Income markets and products
Strength in collaborating with multiple teams across many functions and regions
Educated to degree level, preferably a BA in finance, or equivalent relevant experience
Business Analyst experience within Product Control, Finance, MO or Market Risk
Relevant product knowledge of CIO's asset classes

Middle Office & Risk Control Specialist Resume Examples & Samples

At least 5 years working experiences
Prior experience with CPA firm or in Compliance and internal auditor role is a plus
Good communication skill both in Mandarin and English
Stress tolerance especially when dealing with urgent needs and contingency
Good sense of numbers and willing to learn new things
Possession of SICE/SITE license is a must

Middle Office Intermediate Analyst Resume Examples & Samples

Ensuring the timely and accurate capture and settlement of cash and derivatives transactions
Continuously work to improve day to day process flows via technology Liaise with and provide updates to clients in a professional manner on outstanding trades
Excellent communication, interpersonal and organizational skills
Ability to demonstrate independently decision making skills as well working in a team setting
Ability to work well under pressure in a fast paced work environment
Ability to learn and understand the complex mechanics of cash and derivatives products Must be able to work extended hours
Must have a strong attention to detail and be able to partner with other teams to provide innovative solutions Bachelor’s degree

Middle Office Implementations Analyst Resume Examples & Samples

Invoke and lead projects (business change requests, system developments and new business on boarding) across Middle Office Operations Poland
Preparation & analysis of proposed system changes, gather consensus between business requirements and technology deliverables to assure smooth projects implementation
Test new system functionalities in User Acceptance Test (UAT) environments
Work with other, operating teams to effectively deliver projects
Build and maintain effective working relationships with Technology, Oversight teams, Relationship Managers and Project Managers

Middle Office Intermed Analyst Resume Examples & Samples

1 - 2 years Risk Management experience
Strong analytical, mathematical, and statistical skills
Excellent problem resolution and communication skills
Experience with derivative trade capture systems, preferably Endur Openlink
Assertive, self-directed work ethic
Good interpersonal and relationship building skills; must be able to partner across the spectrum of Front Office, Middle Office, IT, Product Control, Compliance, Legal and Regulatory in a fast-paced and dynamic environment

Head of Middle Office Resume Examples & Samples

Represent Citi’s interests on external Industry and Regulatory bodies as well as one on one meetings with Government departments on items such as mandated clearing
Define and implement the Middle Office strategy in conjunction with Global and Local requirements
Deliver an independent, timely, accurate and robust control environment to underpin the businesses activity
Implement the required Regulatory reporting framework
Ensure the business complies with the ethical standards contained in the Code of Conduct
Ensure the business adheres to firm policies and procedures, regulatory and legislative requirements
Responsible for monitoring and supervision of the business to ensure compliance with firm policies and procedures, regulatory and legislative requirements
Responsible for ensuring the Middle Office team is appropriately qualified, adequately trained and maintains its competence
LI-W
Knowledge and understanding of the Markets Industry and its motivations and drivers especially in the ever and fast changing regulatory space
Knowledge and understanding of clients expectations and needs
Knowledge and understanding of the products traded by markets and the drivers behind them
Ability in work with senior Markets management across all of markets and to align the Middle Office support function accordingly
Ability to build a team and make difficult decisions when required
Ability to communicate with internal departments, external clients and regulators to understand their expectations and requirements
Minimum of 5 /7 years working in an Operations or Middle Office Financial Markets
Detailed knowledge and understanding of all of the Markets businesses including Fixed Income, Equity, Prime Broking, Clearing and Risk Treasury
Detailed knowledge of the global and Australian Derivative regulatory reporting regimes
Understanding of controls, audit procedures, techniques and operational risk
Create budgets and track expenditure
Ability to participate in strategic business reviews and planning
Ability to build a team that can deliver first class post execution client service
Flexible working hoursrequireddue to attendance on international calls

Municipal Middle Office Intermediate Analyst Resume Examples & Samples

BA, or BS Minimum 2 years of financial markets support (Operations, Product Control, etc) related experience
Desire to work in a fast paced environment and multi-task under tight deadlines. Excellent organizational and communication skills Strong analytical skills
Advanced knowledge of Excel, Access and Power Point
Knowledge of Derivatives preferred

Middle Office Senior Supervisor Resume Examples & Samples

Minimum 3 year experience in institutions linked to capital markets;,
Basic knowledge of accounting,
Computer skills,
Analytical skills,
Good team player able to build strong professional relationships,
SWIFT knowledge
Very good work organization,

Middle Office Senior Analyst Resume Examples & Samples

Qualified candidates will have at least 5 years of commodities settlement experience, ideally settling physical commodities such as natural gas or refined products, with a thorough understanding of the trade life cycle
Candidate will be proficient in all MS Office products, with advanced Excel skills
Candidates with prior experience using Endur OpenLink will be given priority
Excellent written and verbal communication skills are key
Candidate must be able to manage multiple priorities while meeting tight deadlines. Candidate must be self-directed, and able to work without direct oversight or guidance

Middle Office Expert Resume Examples & Samples

Preparation of Net Asset Valuation packs including the verification of security prices, Corporate Action events, cash, stock and derivative reconciliations and fee accrual entries amongst others, ensuring they apply a consistently strong control element to their work,
Reviewing similar work prepared by other members of the team,
Timely delivery of accurate reports to the clients,
Attending to queries raised by clients while interacting with fund managers, trustees and counterparties in a professional and proactive manner,
Undergrad/College, preferably in an Accounting or Finance related discipline,
1-2 years experience with Equities, Fixed Income & Derivative instruments, such as futures and options,
Ability to work under pressure to meet deadlines,
Good analytical and problem solving skills,
Attention to detail is a requirement,
Good communication, interpersonal and client relationship skills; capable of building and maintaining relationships with partners at different levels of the organization and with other Citi locations and units,
Ability to learn quickly and pass that knowledge on to more junior members of the team,
Ability to work on public holidays (if required)

Middle Office Intermediate Analyst Resume Examples & Samples

The successful candidate will have a BA/BS degree
1-2 years of related experience in areas such as Operations or Product Control is a plus
Must have the ability to work with all levels of management in a high-pressure environment and multi-task under tight deadlines
Strong communication, organizational, interpersonal and PC skills (excel, power point) are a must

Middle Office Intermed Analyst Resume Examples & Samples

Must have a strong attention to detail and be able to partner with other teams to provide innovative solutions
Ability to learn and understand the basic mechanics of leasing and non-economic residual (NER)s
The ideal candidate will have broad based knowledge of Leasing, Fixed Income products, such as Loans, Corporate Bonds, Credit Derivatives, and Foreign Currencies. Knowledge of Trade Capture and Risk Reporting systems such as TPS, Loans QT and Storm is a plus
The successful candidate will have a BA/BS plus 1-3 years of related experience in an area such as operations or finance

Middle Office Intermediate Analyst Resume Examples & Samples

Previous Operations experience and knowledge of Credit derivative products Increased familiarity with Fed and Industry Initiatives (both current and future) in regards to electronic and paper matching
Strong analytical skills and understanding of the front office to back office system flows for Credit Derivatives
Microsoft Excel and MS Access proficient Detail oriented Able to handle multiple priorities and complete assigned tasks efficiently

O&t-securities Finance Middle Office Resume Examples & Samples

Client representatives or sub-custodians would be an added advantage
Experience in conducting/managing systems UAT
Strong knowledge of PC-based and mainframe computer systems
Good Excel, Access and PowerPoint skills
Candidate should have 5 years work experience

Middle Office Intermed Analyst Resume Examples & Samples

Produce and distribute daily global OTC derivative outstanding confirmation metrics and control reports
Produce monthly OTC derivative outstanding confirmation metrics and IRD notional reporting that is submitted to regulators
Produce quarterly metrics measuring IRD volumes by products, clearing eligibility, execution method and type of confirmation
Support access databases for control, performance and regulatory metrics
Department lead for internal and external audits
Liaise with Front Office, Middle Office, and Technology to design, develop and produce new, refined and ad hoc reporting and data requests within Access
Evaluate redundancies and inefficiencies in daily tasks to continually increase automation in metrics production
Access and advanced Excel experience required
Prior operations, middle office, project related experience
Understanding of Interest Rate Derivatives products
Excellent organization, communication and interpersonal skills
Mature and able to work independently and under pressure and within tight deadlines
Ability to analyze data and present details to management in a clear and concise manner

Manager Middle Office Risk & Control Team Resume Examples & Samples

Management and supervision of the Risk and Control team
Independent quality assurance and MIS review, including Standard Operating Procedure (SOP) review – independent sampling of all SOPs reviewed by the relevant teams within the Rates Middle Office to ensure consistency of standard and content and Suspicious Activity Report / Settlement Account reporting (SAR) Pack – analysis of SAR data for weekly meeting. Control Inventory (CI) / Business Risk Pack /Right-First-Time (RFT) – review of MIS packs prior to circulation to provide high level interpretation of high risk items or items for escalation
Business Analyst / Project management, i.e. project management of Action Plans (AP) / Audit Points, centrally co-ordinate Business Continuity Management (BCM), centrally co-ordinate team capacity monitoring, build out of strategic end of day (EOD) programme

Middle Office FRC Change Business Analyst Resume Examples & Samples

Analysis of current booking models across the suite of current and proposed T0 internals systems (Geronimo, OBS, MOR, Colt, Indigo, Martini, Murex…)
Development of, and transition to, a new model for managing, reporting and remediating breaks within the T0 process implementing an ongoing process of continuing improvement
Engaging with stakeholder groups to agree change, gather requirements and communicate progress towards the specific aims
Developing models, process flows to transition to the strategic, future state of the T0 internals process
Engage and train users involved with the implementation of the toolkit for market data controls. Gather user feedback and additional requirements to drive out stream enhancements

Middle Office Intermediate Analyst Resume Examples & Samples

Ability to work independently, under pressure and manage time efficiently
Knowledge of Excel is required
Significant qualifications in finance, math, accounting, or other analytical disciplines Related work experience is a plus
Bachelor degree recommended

OTC Middle Office Developer Resume Examples & Samples

Develop solutions to automate and replace existing manual processes being used within Middle Office
Support existing solutions built using Excel/VBA, Access, and SQL Server
Perform complex data mining activities for advanced analysis of data
Work closely with end users to define business requirements
Collaborate with business process owners and management in order to develop solutions arising from new business requirements
Perform Data validation to ensure accuracy and quality of data
Large volume data conversion, data cleansing, report creation
Write ad hoc reports off datasets
2 – 5 years of professional experience within financial services, such as an Administrator, Bank or Hedge Fund. The level of the role will depend on the experience of the successful candidate
A proven record of delivering development solutions within a projects and operational environment
At least 1 year of experience relating to OTC derivatives
Knowledge and experience of downstream accounting systems, such as Advent Geneva and Multifonds would be beneficial
High level of computer literacy
Advanced knowledge of Office Applications (Excel, Access) and VBA
Strong understanding of relational database design, SQL Server and T-SQL programming
Good understanding of OTC Instrument Types
Business analysis experience in a programming or development role is a plus
Very high degree of analytical/numerical ability
Strong verbal and written communication/organisational skills
The individual must be client focused, working with internal clients to ensure their OTC needs are understood and being met
Ability to work to tight deadlines as part of a team
Knowledge of Bloomberg terminal functionality, including pricing screens and API interfaces would be beneficial
Ability to act independently

Global Middle Office Associates Resume Examples & Samples

Technical requirements-
5+ years accounting experience
Experience with Capital Markets products
Must have completed or near completed an accounting designation (will accept either CA/CPA/CMA/CGA)
Experience with accounting policy; investigation and documentation of the accounting entries for every step of every type of Capital Markets transaction
Strong Excel & Access skills
Source system Accounting feeds and sub-ledgers into the entity ledgers
Preparing & Validating manual entries
Monthly/Quarterly B/S variance analysis
Validating data for regulatory reporting
Balance Sheet reconciliations
Liaison between Finance, Operations, Middle Office & Chief Accountants
System Conversion & New Product Approvals

Manager, Middle Office Trade Processing, HFS Resume Examples & Samples

Engage with high profile client to manage current and future requirements and expectations
Focus of role is on setting and execution of strategic direction of business function activities
Derive tactical solutions as required to move business requirements forward
Conducts performance management and career development processes, provides input for staffing and disciplinary actions and provides hands-on training to staff
Develops periodic goals, organizes the work, sets short-term priorities, monitors all activities, and ensures timely and accurate completion of the work
Provides input and support to budget management process
7+ years industry or relevant proven work experience. Related Industry qualification (e.g. ACCA) and Bachelor’s degree are preferred

Global Middle Office Project Resume Examples & Samples

Strong technical skills including experience using MS Office, SQL, Python and Visual Basic; Experience handling large amount of data
Knowledge or experience with trading products in capital markets: Knowledge of: Fixed Income Modeling. Pricing derivative products such as Futures, Options, Indexes, CDS, CDO, FRAs, SWAPs, SWAPTIONs, CAPs/FLOORs. Knowledge of Financial Risk Management: Credit Risk Model, Value at Risk. Knowledge of Interest Rates, Credit spreads, bond pricing, etc
1-5 years of experience working in a risk/Middle Office role

Global Middle Office Project Resume Examples & Samples

College Degree required
Strong Understanding of the Front-to-Back Workflow
Ability to be an active team member and drive change
Demonstrated Project management capability

Global Middle Office Project Resume Examples & Samples

Manage a variety of value-driven initiatives at every phase of the project life-cycle
Use your knowledge of processes and best practices within technology, Middle-Office Operations and project management to assist in the identification, assessment and resolution of complex issues/problems
Assist in setting and executing the enterprise-wide direction for Middle Office Trade Control functions
As a member in the group, you will support front-to-back integration, entity builds and change initiatives and be accountable for driving change and executing a successful implementation
Partner closely with COO teams, Middle Office, Finance, Operations and Technology partners to define/re-define business processes and implement related technology solutions within Global Markets
Responsible for leading/managing a portfolio of projects through full project life-cycle from the envisioning, definition of business requirements and processes, through to systems development, testing and implementation
Will be expected to create business case, conceptual designs (business process and technical) and translate business priorities and requirements into actionable, structured, project plans
Communication skills will be heavily utilized in forming and communicating a change agenda and gaining stakeholder buy-in. In addition to effectively managing upwards to manager based in London
Prepare project status reports and discuss issues, risks and dependencies with key stakeholders
Complete project management of Etrading enhancements
Regional management of regulatory changes and other large projects

Middle Office Product Cntrl Professional Resume Examples & Samples

MBA or graduate degree a plus
Minimum of 5 years in a middle office/product control role demonstrating increased levels of responsibility
P/L attribution experience

Middle Office Product Control Professional Markets Resume Examples & Samples

Advanced Excel/Access skills
Proficiency in analysis of large data sets via functions (pivot tables, lookup, etc.)
Candidate will have 3-7 years experience in financial services
Ability to present complex issues/ideas to all levels of management in a highly professional and understandable manner
Advanced communication skills
Proficiency in Powerpoint/Visio a plus
Finance/accounting undergraduate
Possession or progression towards professional certifications (CPA, CFA) or MBA/master’s degree with a concentration in finance or accounting
Financial Statement Reporting
Financial Analysis
Derivatives Valuation
Profit & Loss Reporting
Decision Support Analysis
Capital Markets Products
Derivatives Collateral

Credit Risk Analyst Middle Office Resume Examples & Samples

Support credit professionals in the monitoring of Morgan Stanley’s credit exposure against the Firm’s pre-defined policy limits
Enhance and implement data quality control processes and reports for risk management and capital calculation purposes
Monitor, identify and mitigate/adjust credit data quality issues and act as a liaison between Credit Department, IT and Business Units in resolving data quality issues
Represent the team in projects that require Credit Middle Office participation
Good understanding of financial products including fixed income, equity, secured financial transactions and other traded securities
Self motivator and team player with strong interpersonal skills
Ability to manage dynamic priorities with attention to details
Ability to meet tight deadlines and deliver high quality work in a fast-paced environment
Experience in risk management or operation involving data analysis and process management is desired
Bachelors degree or equivalent in Finance, Computer Science or Engineering related areas
Strong proficiency with Excel and VBA is desired as is a good working knowledge of databases and SQL

Middle Office Trade Control Professional Markets Resume Examples & Samples

Understand option concepts
Resolve trade breaks escalated by BO support partners
Attention to detail
Ability to work with various support partners (e.g. Settlements, Confirmations, Risk)
Ability to build strong relationships with Trading/Sales partners
Desire to strive for continual process improvement
Previous experience supporting a foreign exchange trading desk desired

Regional Head of Trade Middle Office Resume Examples & Samples

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
Trade is where HSBC began in 1865, when we financed commerce between Europe, North America and Asia
Today, GTRF is the leading international trade bank, with 10 per cent market share in terms of revenue (Source OW Global Transaction Banking Survey 2012)
GTRF global revenue totaled USD3.67bn in 2013 (USD2.93bn CMB / USD741m GBM)

Senior Administrator, Middle Office Resume Examples & Samples

Dealing with day-to-day queries from Front Office & Middle Office London. Escalating issues to relevant internal parties when necessary
Look at and help develop controls and procedures
Manage expectations of the Front Office and operational partners to ensure any problems are addressed and solutions agreed
Promotes innovative methods/system approaches to meet business needs
Work with line manager and key business partners in developing processes and communication to ensure effective controls and operational service efficiencies
Establish effective communication with line manager, business clients and other operational managers to ensure transparency and understanding of relevant information
Ensure day to day activities are completed in an effective manner
Responsible for managing own work efforts and assisting with system reports and client queries as directed by the line manager
Ensure necessary documentary evidence is maintained to satisfy regulatory and audit requirements
Liaise with the business to ensure timely delivery of time critical processes

O&t-middle Office Intermed Analyst Resume Examples & Samples

Ensure warehouses are always flat
Be customer focused and responsive to ensure a high level of client satisfaction
Work Effectively with other functional areas within FX
Cover unexpected events by demonstrating flexibility to core working hours
Prior FX and/or FX Prime Brokerage work experience Knowledge of the Traiana / Harmony / Netlink applications
Mature and ability to work independently and under pressure

Middle Office Trade Control Professional Markets Resume Examples & Samples

Trade exception resolution for Credit derivatives
Ad hoc queries for traders/sales/clients
Manage life cycle events, allocation support, and/or novation management
Support new products and activities for the credit business
Industry initiatives and internal enhancements
Dodd Frank knowledge on Real Time Reporting, SEF trading and Clearing

CIB GEM Middle Office Internship, Based Resume Examples & Samples

Dealing with queries from a variety of different teams from Front to back office across multiple countries and regions
Performing essential daily controls with attention to detail and awareness of the controls" importance
Understanding workflows and structures so that all activity is captured in the proper manner
Executing multistep, multistage processes from beginning to end flawlessly and to set deadlines
A quick learner with an ability to function in a fast paced environment
An undergraduate with a basic understanding of most products in the Fixed Income universe, (Finance / Engineering / Mathematics Background preferred)
A self starter who is not afraid to tackle and solve problems as they arise
Competent in Excel, with an ability solve problems quickly
Team oriented, positive attitude and willing to work hard

Middle Office Trade Control Professional Resume Examples & Samples

The associate must regularly perform their daily tasks throughout fast-paced and volatile market conditions
The ability to perform under pressure is essential
The associate will make significant contributions to team efforts by demonstrating accuracy, accountability, and a firm work ethic
The demonstration of effective time management, prioritization, and precise communication skills are expected
5 years of applicable Trade Control or P&L experience in fixed income products at an investment firm or bank
It is important the candidate understand treasury products, futures, and swaps and their respective trading/hedging strategies and life-cycle events. Have thorough understanding of Trade Capture, P&L, Treasury Auctions, NYFRB Treasury Operations, and risk
Team player. Ability to work with the Front Office and support partners to address and resolve issues. Ability to multi-task. Continuously maintain a control function mindset. Extremely motivated and goal seeking with ability to work in fast pace/pressure environment. Strong problem solving ability with willingness to grow his/her skills dynamically. Takes initiative
Excellent verbal and written communication/presentation skills. Demonstrates effective time management and prioritization skills
Expert PC skills with high proficiency using Excel
Minimum of Bachelor of Science Degree in either of Finance, Mathematics, Accounting or Economics
Experience with Bloomberg, TradeWeb, TAAPS, FedTrade, & Clearing Houses
Expert in Excel
Ability to read VBA and edit macros

Middle Office Product Control Professional Resume Examples & Samples

GL reconciliation
PL preparation
Risk reconciliation and preparation
Daily face to face interaction with front office and ability to support new product types
May provide input to recruiting and hiring
Is the first level of performance and mgt processes for their team
Provides general team supervision
Responsible for training new staff in applicable processes and maintain supervisory functions to delegate for management
BA preferred or substantially equivalent experience
4-6 years of relevant experience
Understand the market and the market drivers of the product they are supporting
Advanced understanding of more complex structured transactions and strong understanding of the operational risks around the end to end product lifecycle

EQD Middle Office Senior Business Associate Resume Examples & Samples

Support the functional head to deliver on business plans and strategies including projects such as offshoring programme in 2014-2015 (moving roles from DMO teams to China and India)
Ad hoc and planned coordination, information gathering and reporting across DMO and APAC IB Ops
Monthly risk reporting and preparation of material for various control meetings including challenging responses and commentary where required
Reviewing, enhancing and challenging monthly consumer and producer cost reporting
Prepare presentation material and internal communication

CIO & Treasury Asia Middle Office Resume Examples & Samples

Close partnership with technology service providers and business users to set system strategy and project direction, identify cost/benefit impact, and agree on project timelines and priorities
Organize governance forums to manage stakeholder expectations
Ensure that all stakeholder communications are managed in a timely manner
Produce bi-monthly business review reporting for CIB, CIO & GT mgt team
Point of contact for NBIAs relating to MO workflow
Coordinate Corporate GTI initiatives
Partner with regional Operations (MO and BO) on operation project initiatives
Participate and represent the MO on firm wide forums for regulatory change
Ability to communicate effectively at many levels of the organization including senior management
Stakeholder expectation management and negotiation skills to achieve agreement across many stakeholders and technology teams

Equities Middle Office Intermediate Analyst Resume Examples & Samples

Provide support for Institutional Sales Traders/Institutional Clients
Product coverage includes US and International Equity Markets. (Cash, Program, Listed Options and Converts)Book/process customer trades within established standards
Monitor/reconcile failing customer trades
Provide customer service for escalated operational issues, and various miscellaneous inquiries (both internal and external)
Investigate methods to improve customer confirmation timeliness and accuracy along with general STP
Work with business analyst team to create requirement documents
Liaise with IT group and Global Business Analyst Team on system enhancements, requirements, and UAT
Bachelor’s Degree, preferably in a Business, Finance, or Economics concentration preferred
Prior Middle Office/Client Service Related experience preferred
2+ year of professional work experieince ideally in an Operational setting within a bank
Candidate must be very detail-oriented and the ability to meet a daily deadline

Rates Middle Office Desk Services Resume Examples & Samples

Intraday reconciling of various Trading Blotter’s to the Risk Management Systems (OBS & FOS). Generation and analysis of T0 PnL estimates
Validation of all new trade bookings and amendments from a risk and p&l perspective for agreed desks. Completing the UAT of Front Office application enhancements
Assisting with the delivery and implementation of the banks electronic trading capabilities. Supporting the expansion of central clearing by product and exchange
Amending trades as required by either their life cycle or to correct errors. Developing and implementing trading mandate reviews and controls
Maximising UBS’s participation in market wide trade compression exercises

Middle Office Senior Specialist Resume Examples & Samples

Accurate and timely match broker’s trade instructions
Deliver relevant information to all stakeholders enabling efficient settlement process
Ensure effective MIS process
Investigate and resolve of trade exceptions and validate errors
Attend occasional relationship calls and communicate data in a concise and effective manner
Proactive actions target at minimising processing risk
Support clients and business with any ad-hoc queries and requirements

Middle Office Trade Control Professional Resume Examples & Samples

Trade Booking and Validation management
Timely and accurate management of trade capture process to ensure all trades are booked according to terms of underlying agreement in both Front-Office and down-stream applications
Provide support to assigned trading desks - Support the Trading desk across all Middle-Office functions in a timely and accurate manner
Ongoing Trade maintenance – Manage trade lifecycle events such as resets, fixings, substitutions, credit default events, expiries and Maturities
Investigate and resolve position breaks – Work closely with Front and Back Office to resolve breaks (e.g. Cash, Positions, Valuations etc)
Production of daily reports – Distribute Daily reports to the Trading desk and Senior Management (requiring a high level of attention to detail). Resolve Risk and P&L issues - Work closely with MO, Risk and P&L to resolve issues in a timely manner
4-7 years of applicable experience
Technical knowledge
Strong understanding of cash flows associated with trading business including impact on ledgers
Physical and financial forwards
OTC and exchange traded products
Solid understanding of Options
Process knowledge
Strong understanding of deal life cycle with good appreciation of operational risks and mitigating control activities
Strong knowledge in Excel, able to follow formulae, macro and be able to built off system valuation for assets

Capital Markets Group Middle Office Service Representative Resume Examples & Samples

Strong computer skills including intermediate knowledge of MS Excel
Outstanding attention to detail and analytical ability
Knowledge of Fixed Income (FI) and Equity products
Knowledge of Depository Trust (DTC) confirms/system
Ability to work independently as well as in a team oriented environment
Industry experience and securities trading knowledge

Middle Office Assistant PCS Resume Examples & Samples

Minimum of two years proven middle office operational experience or equivalent
Bachelor’s degree in business, finance, related field or equivalent experience
FNRA licenses preferred but NOT necessary. Series 7, 63 and New York State Health and Life (all preferred). Additional Licenses preferred
Proven communications, customer service, organizational, time-management and problem-solving skills
Self-motivated and able to work within a fast-paced environment

Fixed Income Middle Office Intermediate Analyst Resume Examples & Samples

Monitor the trade details in the front office system(s) to ensure timely submission of trades for TRACE reporting
Risk Management – oversee day to day variances with explanations, analysis of curves and position changes
Trade settlement – liaison with support departments to resolve queries of security, swap, currency transactions
Investigation and resolution of queries to the trading desk received from Operations, Legal/Compliance and Product Control
Performance analysis, implementation, investigation and support for new trading initiatives including system migrations and process improvements. The aim to raise the business capacity through improved trade process flow, operations management, customer quality service and fewer breaks for downstream processing
Review static and market data for accuracy and completeness, i.e. Security Set Ups
Participate in special projects including, but not limited to performance analysis, implementation and support for new trading initiatives, and providing specifications and testing for new technologie
Structured product knowledge (Credit Linked Notes / Total Return Swaps / etc.) would be beneficial
Familiarity with P&L reporting and explanation of underlying P&L events
Must be creative and open-minded as the Middle Office is looking to find the best possible solution for issues
Is self-motivated and is comfortable working without constant supervision
Able to work in stressful and multi-tasking environment
Prior experience working with Fixed Income products such as cash bonds, preferably in a Middle Office, Operations, or Product Control capacity
High systems aptitude. Experience in system implementation and testing a plus
Strong knowledge of Excel is required, knowledge of macros or VBA a major plus

Middle Office Intermed Analyst Resume Examples & Samples

Bachelors Degree, preferably in a Business, Finance, or Economics concentration
Ability to work in a collaborative team atmosphere
Must be able to function effectively in a high-volume, dynamic environment
Comfortable with computers/applications and proficient in use of Microsoft Excel and Microsoft Word
Willing to work in an environment that requires variable start and end times, including Holidays Location

O&t-middle Office Intermediate Analyst Resume Examples & Samples

Strong knowledge & understanding of Exchange Traded & OTC Commodity products; preferably in a Middle Office capacity
Basic knowledge & understanding of structured or complex Commodity derivatives would be advantageous, but not essential, including the ability to destructure into components for booking / validation purposes and ability to analyse market risk including understanding of the various pricing methods
Awareness of accounting, tax, legal, compliance and regulatory environments
Degree or advanced education in a financial / mathematical aspect preferred, but not essential
Good PC skills including Excel (pivot tables, Vlookup, etc.)

Equities Middle Office Intermediate Analyst Resume Examples & Samples

Project work experience (providing enhancement requests, designing test scripts and UAT testing)
Able to handle multiple priorities and complete assigned tasks efficiently
Team-oriented, ability to work with team members and cross functional groups in multiple locations

Middle Office Intermediate Analyst Resume Examples & Samples

Reconciliation, compliance, control, audit functions, invoice/payment authorization, signoff and project support
Candidate will interact with the front office, middle office, and external counterparties
Candidate should be comfortable in a fast paced, multi-tasked environment, be customer service oriented, and have an ability to identify and implement process improvements
Liaise with other teams globally to ensure global consistency. Responsible to support identification of consistent client solutions and process improvements to eliminate manual functions to improve Global performance. (This would include any potential vendor solutions. Research and validation of new client requests. These could include access requests to Citi systems.)
Also important are strong process and project management skills, analytical abilities and excellent communication skills with all levels of staff and management
Strong aptitude with understanding regulatory environments
Must have strong PC skills including MS Windows, Word, Excel, and Access

Manager, Middle Office Resume Examples & Samples

A good understanding of structure of OTC derivatives, why they are used and a general overview of how they are valued
Post-execution middle office trade lifecycle activities for over the counter derivatives (bilateral and cleared), securities lending, and repos
A good understanding of collateral management is also needed
Some understanding of middle office activities for equities, bonds and loans is needed
Some understanding of GAV and NAV construction is needed
Good experience of Account / Relationship Management in a financial services business
Financial market related service functions
Project management experience and skills
Clear and concise verbal and written communication in English
Strong interpersonal and client service skills

Global Middle Office Change Lead Resume Examples & Samples

Implementation of the BAU Change operating model for Middle Office across EMEA NAM, and APAC/GPC. This includes creating a robust and scalable Business Change model for Middle Office and executing on Investor Services standardisation, automation and centralisation strategic goals
Management of the resource demand scheduler capable of addressing all client BAU change demands globally
Define and implement the appropriate organisational structure to support all Middle Office Client Change requirements working closely with the Investor Services Change Management team
Key participant in the strategic technical infrastructure planning for Client Middle Office changes, Change Management Programmes and Corporate objectives
Manage the global Change Delivery team capable of servicing the Middle Office Client Change demands
Maintaining compliance with the Client Change Delivery project governance structure for all changes executed for Middle Office
Developing a communication strategy that effectively maintains engagement with internal and external stakeholders
Lead the prioritisation forums for all Client Change initiatives related to Middle Office
Personally leading selected strategic re-engineering initiatives in partnership with the business and technology
Working with the other members of the GFS Management Team to ensure an appropriate balance is maintained between speed of change, versus operational stability
Domain experience within Middle Office at an operational level (tech and/or ops) including
Trade Processing across all asset types and relevant business workflows e.g. CTM, Domestic OASYS
Asset Servicing – Mandatory and voluntary corporate actions, Proxy Voting, Class Actions
Extensive people management experience in an operations environment
Significant project / programme / portfolio management experience
Project/Programme Management
Testing
Pragmatism combined with a can-do attitude is a pre-requisite
Educated to degree standard or equivalent calibre
Professional industry Qualifications would be advantageous, but not essential

Prime Finance Middle Office Resume Examples & Samples

Trade handling across equity PB, including trade processing, trade kick-outs, cash bookings, broker mapping and connectivity issue resolution with clients/administrators
Management of client settlement activity, liaising with settlements and clients to resolve any issues
Main point of contact for client/administrator operational queries
Liaise with Citi cash and finance desks for missing bookings
Trade handling across equity finance, including trade processing, fail and short cover, exposures and collateral management, recalls/replacements, borrow returns
Main point of contact for operational/desk SBL queries
Review exposures/margin
Provide SBL MO support for all APAC markets
Prefer University/College graduate or above; would consider depending on level of experience
Experience in margin calculation, Reconciliation & Control process is preferred
Self-motivated individual who is an experienced problem solver
Must work well under tight deadline and high pressure
Solid market knowledge for some or all the Pac Rim markets
Good understanding of Bloomberg
Rounded product knowledge of Prime Finance products, especially equities, swaps, futures, options and derivatives
Good understanding of Corporate Events and Asset Servicing
At least 1 year or above experience in Prime Brokerage, and/or Reconciliation and Control functions
Knowledge on operational support with settlement experience in Global markets is preferred but not essential

Middle Office Senior Analyst Resume Examples & Samples

Foster strong working relationships with internal/external stakeholders, including Oversight teams, by demonstrating committed inclusion in relevant forums, projects, business developments
Challenge the status quo, display initiative and innovation
Participate in business initiatives, client on-board and document new processes
Ensure all Team procedures are updated, completed and maintained across all Clients and processes
Additional business oriented tasks requested by manager Support development of Client KPI’s and Monthly Service Packs; attend relationship calls and communicate data effectively; proactive actions targeting at minimising processing risk; Ensure effective MIS process
Ensure process is compliant with local and global regulations

CIB Ops-regional Head of Acce Collateral Management Middle Office Americas Resume Examples & Samples

ACCE Middle Office Collateral Management leadership for America's region
Strategic management and oversight of designated client relationships, across all impacted ACCE products in order to maintain service quality, referenceability, share client service/relationship information and manage any virtual teams
Ultimate escalation point for all service related issues and key driver in ensuring that resolution items are completed by the agreed date
Strategic overview of service planning activity and actively participate in the management of client visits ensuring regular service reviews
Provide effective service plans in conjunction with key quality service level indicators. The Middle Office emplyeee will need to ensure all action points are updated and met within the target date
Act as knowledge base for clients' current and future product, operational requirements and work with relevant contacts in Product Management to resolve anticipated gaps on a proactive basis
Develop and review monthly management reporting on client satisfaction levels and all defined client projects from the service delivery teams
Financial services industry recognised qualifications

Month FTC Prime Finance Middle Office Risk Control Resume Examples & Samples

Responsible for identifying non-trading risks occurring within Prime Finance
The primary role will be to support the Prime Finance activities in Europe for International Prime Brokerage, Fixed Income Prime Brokerage, as well as Securities lending and Financing. Working with Middle Office management, business and the control oversight teams
The Risk and Control role will incorporate all aspects of Equity, Fixed Income, FX and cash processing for the Prime Finance businesses
GSCE “A” Level standard or equivalent

Credit Middle Office Resume Examples & Samples

Produce and support associated processes about credit documentation
Manage the credit documentation process for Europe, in partnership with other locations
Work with internal & external legal teams and valuation agents as required
Regularly partner with and provide support for colleagues in other locations (Geneva, Honk Kong, Singapore, New York, Paris, Madrid, Milan Frankfurt)
Liaise with Credit Advisors, Credit Executives, Mortgage Advisors and Legal teams on documentation requirements and validation
Prepare required supporting legal and credit documentation in accordance with the standard templates provided by the legal department
Documents include, among others, credit facility Agreements, pledge agreements, ISDA , product agreements, working with standard document templates
Maintaining accurate data on documents from clients in the Documentation Tracking System
Responsible for tracking the status of documents and resolving exceptions
Responsible for the scanning and filing of all documents received
Understand, ensure adherence to and compliance with, JPMorgan policies and regulatory requirements
Understand credit control requirements to ensure that any control requirement is addressed and controls effected
Highlight documentation exceptions through commentary to senior management
University graduate with some basic experience in dealing with client credit documents
Experience within a financial institution
Excellent interpersonal skills with an ability to communicate at all levels
Strong organisational skills and strong attention to detail
Ability to work independently, self motivated with ability to prioritize work and meet tight deadline
Familiarity with credit and lending products (some legal knowledge is a plus)
General market knowledge including mortgages
Knowledge of credit products in European countries is a plus
Foreign language is a plus (French, Italian, Spanish)
Ability to suggest improvements and engineer process changes
Strong Word Excel and Access skills an advantage
Control and Risk mitigation mind-set

Technical Analyst Middle Office Resume Examples & Samples

The responsibilities are mainly around the production, substantiation, reporting (to Front Office) of PnL numbers at the end of the day
BO confirmation or deal review of new trades booked. This is done by comparing the trade booking in the system with a brokers note or trader blotter
When required edit or perform trade amends on operations or FO request
Owning or having oversight of all inputs into the process of generating accurate PnL numbers. These would include (amongst others) - market data - valuation models - trade to model mapping - trade to market data mapping - trade life cycle events (amendments, resets etc)
Substantiate the PnL by understanding the trader’s strategy as well as the risk factors that drive the PnL
Tertiary Education
Quantitative (Fin Maths / Maths / Statistics / Comp Sc etc) or Accounting degree
Postgraduate would be an advantage
CFA/FRM would be an advantage
0 – 3 years relevant experience

Senior Manager Middle Office Resume Examples & Samples

Pnl attribution on T0 explaining the daily PnL into the market moves and greeks and comparing against
Trader flash ensuring no unexplained PnL
Team is responsible for all deal review on T0 checking Front trade booking against best possible source
Performing all trade amends on trades in BO and Bobo status
Trader assistant function helping Pnl and risk investigations
Assist in data mining and analysis out of trading system from a PnL and risk perspective for various groups including Compliance, Front Office and operations
Ensure young talent is identified and groomed for Front Office and other opportunities
5-10 years Direct line Middle Office experience or similar role at investment bank
4 years plus degree and professional qualification

Credit Middle Office Resume Examples & Samples

Help in the creation of the new Credit Documentation team by fostering collaboration and team spirit
Help set up robust procedures and processes
Identify inefficiencies and propose as well as implement solutions
Manage and prioritize the workflow for the day to day activities of the Documentation team to maximize productivity and quality, ensuring standards, volumes, and SLAs are met
Monitor compliance with process and procedures, in addition to performing quality controls and responsible for maintaining high service levels for internal partners
Ensure adherence to and compliance with JPMorgan policies and regulatory requirements
Prepare required supporting credit documentation in accordance with the standard templates provided by the legal department
Maintaining accurate data in the Documentation Tracking System
Regularly monitor incoming volumes to ensure appropriate alignment of headcount and resources
Assess performance and productivity of team members
Ensure appropriate training for the team
Proven experience in people management and experience in working with remote teams
Ability to manage a team through transitions
Ability to Manage Team members in a high paced production environment
Experience in Credit Risk Operations
Knowledge of credit and lending products (some legal knowledge is a plus)

Middle Office Intermediate Analyst Resume Examples & Samples

History of working on and streamlining process flows
Demonstrated strengths in improving system processes
Interpersonal skills and ability to communicate at all levels and across multiple groups is essential
Must be self-motivated, enthusiastic and hard-working with commitment to working until the job is done
Good planning, organizational & prioritization skills needed
Ability to work under pressure and until the day’s work is complete essential
Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success

Middle Office Intermed Analyst Resume Examples & Samples

Product coverage includes US and International Equity Markets. (Cash, Program, Listed Options and Converts)
Book/process customer trades within established standards
Ensure customer confirmations are sent within established SLAs
Heavy interaction with Institutional Customer base
Investigate methods to improve customer confirmation timeliness and accuracy along with general STP. Work with business analyst team to create requirement documents Help produce Daily MIS report and attend weekly review meetings

Interest Rates IB Middle Office Resume Examples & Samples

1+ years OTC Interest Rate Derivative Operations experience
1+ years knowledge of OTC Interest Rate Derivative products and life cycle events
1+ years Microsoft Office and Excel
Understanding of the Clearing processes and work flows
Focused on attention to detail

Structured Rates Middle Office Resume Examples & Samples

Plays central role in managing the front to back trade flow
Manages the full lifecycle of trades
Creates the daily flash P&L and P&L attribution
Resolves booking issues and cash breaks
Is responsible to the desk for all aspects of Operations
Ability to manage own time and responsibilities
Good Exotic Derivative knowledge, preferably Rates, including bookings & documentation

Middle Office Intermed Analyst Resume Examples & Samples

Reduce risk to the firm through timely reconciliation and break resolution
Product coverage includes US Domestic and International Equity Markets
Work closely within a team of licensed representatives as a contact for all trade related discrepancies
Work with trade support desk to ensure the timely resolution of all client discrepancies and inquiries
Answer and resolve any client clearing discrepancies
Work with compliance and trading desks to ensure the accurate processing and documenting of trading areas
Collaborate closely with various technology groups and trading desks to integrate new trading flows and system changes
Work closely with technology and business analyst teams to reduce breaks and risk to the firm
Help to produce Daily and summary MIS reports for senior management
Positions requires 1-2 years’ experience within operations
Detailed knowledge of back-office processing (Trades Processing, Trade Query/Correction, Position and Balance Research, Buy-in, Stock Loan, Reconciliation & Control)
Strong knowledge of electronic trading and order management is preferred
Strong Interpersonal skills
Advanced Excel skills are preferred
Demonstrated ability to work and make decisions independently
Ability to function well under pressure and multi-task in a dynamic environment

Middle Office / OTC Resume Examples & Samples

Ability to actively contribute to Company’s daily workflow and implement changes effectively when required
Strong interpersonal as well as oral and written communication skills are required
Proven professional skills, 3+ years experience in hedge fund accounting operations. Experience in most of the following areas: trade life cycle, margin calculations, daily investment accounting, reconciliation, pricing and corporate actions

Securities Middle Office Listed Options Clearing Resume Examples & Samples

Trade Booking
Metrics Analysis and Metrics Management
Root Cause Analysis
Understanding Front-Back trade flows and how they impact controls along with fixing any processes that are not performing optimally

Operations Private Wealth Management Middle Office & Product Management Associate Singapore Resume Examples & Samples

Fail management - supporting business in monitoring and reconciling trades and offlines
Asset Transfer Validations – communicate directly with clients to authenticate client identity and validate asset transfer/payment requests
Client Service - addressing business and client queries
Position Management - setting up new products on the Firm’s records to reflect client holdings and trade booking validations on Derivatives and Mutual Funds transactions
Client On-Boarding – reviewing account opening documents
Infrastructure re-engineering – working with global project team in enhancing the booking platform for derivatives and structured products
Address business requests related to statement reporting and account transaction activity
Minimum of 1.5 years' experience in a private wealth, preferably with client service experience
Fluency in Cantonese and Mandarin is required as this position will have extensive interaction with colleagues and clients in Hong Kong and China
Strong understanding of risk and control framework in Operations
Good interpersonal skills to establish strong interpersonal relationships with clients, business counterparts, and other internal stakeholders
Highly motivated and results orientated, have a high level of self-initiative to challenge

Superint Adj Middle Office Tesouraria Resume Examples & Samples

Knowledge of products and processes (end-to-end) of the capital markets, including derivatives, commodities, government and corporate bonds
Great knowledge of financial market
Ability to attract, recruit and develop talent
Focus on planning and organization
Proactivity, creativity and initiative
Objectivity / synthesis capacity
Easy communication with different partners
Influence of management
Demonstrate proactive and transparent management approach
Must be self-confident and have self-knowledge, with communication skills and influence well developed, to interact with different organizational agents, representatives from the business areas, compliance, operations, legal, controlling, regulators and technology, locally or globally in regard to business, activities, processes and operational risks
Ability to work with a group of people who may know more about a particular topic and who is not afraid of challenges
The office suite (Word, Excel, Power Point)
Higher level of training, based on preferential Administration, Economics, Accounting or Engineering Sciences
Experience in the capital markets area, preferably in the area of Middle Office Treasury or support activities in multinational financial institutions (6-10 years)
Experience in implementing and maintaining adequate controls and processes to measure and capture the risks associated with different product positions, caused by different trading desks
Experience in team management, demonstrating strong leadership and organizational skills, with a proven track record in managing teams and creating positive impact on organizational environment
Strong experience in design and management processes, with a proven ability to improve, simplify and automate operational processes
Proven ability to assess and capture situations that may enhance the operational risk in the search for troubleshooting effectively and escalation
Proven experience in establishing quality services for complex operational issues and potential risks of solution
Experience and knowledge of risk systems infrastructure, including key processes, concepts and data streams in order to identify and assess potential operational risk situations
Experience in defining and implementing strategic plans, as well as manage productivity initiatives and technological projects

Middle Office Senior Analyst Resume Examples & Samples

Review various financial documents for pertinent deal information (i.e. spread, underwriting liability, legal
Experience with re-engineering and process improvement
Preferably 5+ year’s financial services experience, with a concentration in operations. Demonstrated knowledge of operational functions and general industry practices. Excellent communication and interpersonal skills; exceptional attention to detail; ability to work independently and multi-task; strong technical/problem-solving skills
Ability to adapt to a fast paced environment and perform under pressure with a high motivation/energy level and able to meet stringent deadlines. Ability to plan, prioritize and execute without ongoing supervision

Interest Rates Middle Office Resume Examples & Samples

Trade support, trade processing in regards to flow rates or exotic rates products
Enhance collateral management performance
Business level English and fluent level Japanese required

Global Middle Office Change Lead Resume Examples & Samples

Implement the BAU Change operating model for Middle Office across EMEA NAM, and APAC/GPC. This includes creating a robust and scalable Business Change model for Middle Office and executing on Investor Services standardisation, automation and centralisation strategic goals
Manage the resource demand scheduler capable of addressing all client BAU change demands globally
Developing a communication strategy that effectively maintains engagement with internal & external stakeholders

Middle Office Senior Specialist Resume Examples & Samples

Support colleagues and peers during peak volume periods and other absence
Participate in business initiatives, client on-boarding and documenting new processes
Ensure all Team procedures are updated, completed and maintain across all Clients and processes
Encourage positive and professional working environment

Operations Derivatives & Clearing Middle Office & Product Management Associate Resume Examples & Samples

Build and manage relationships with stakeholders in Operations, Technology and the Front Office and other divisions as needed
Work with Operations business units to assess and streamline processes in order to mitigate risk or control issues and generate efficiencies
Provide support and advice to Operations management, Middle Office and project teams on workflows
At least 4 years of professional experience in Operations, Financial Services industry and / or Management Consulting
Bachelor’s Degree (US or equivalent)
Proficient in standard Microsoft tools including Visio, Excel, Word and PowerPoint to track volumes, workflow, projects including
Experience building strategic workflows to reduce manual dependencies through all stages of client data
Experience identifying risks inherent in daily business process and drive initiative to mitigate risk
Demonstrate excellent teamwork skills and ability to work with a wide user group across multiple functions
Knowledge of Middle Office processes to research and resolve outstanding client fails and transactions clearing in local markets

Equities Middle Office Resume Examples & Samples

At least five successful years at a technology/software company doing similar work and have developed areas of significant technical expertise with a proven ability to support your products. Their time estimates are accurate, cooperate when planning projects that span groups, mentor junior staff and help to generally bring up the level of play for everyone
Keen technical interests and top-notch software design/architecture and implementation skills. Their appreciation for elegance in simplicity is also welcome
Demonstrates above-average project- and time-management skills along with good oral and written communication skills
Efficient programming skills and have learned to celebrate change and streamline your deployments
Provide an excellent level of service for your production environments with a variety of operating environments and programming languages including Unix and Windows, Java, Eclipse, Swing, shells, SQL databases, in-memory databases, multi threading/synchronization and distributed computing
Experience debugging tools and analyzing complex distributed systems
Contributes to all levels of an application from front end to back end, are generally platform agnostic and you prefer the right tool for the right job
Analyze requirements for the solutions they deliver, to ensure that they provide the right solution globally
Work within a global team of committed developers to deliver these solutions
Be a productive, independent, self-motivated contributor
Speak to and advise on the architecture of the Middle Office Application offering
1) 4+ years of experience in developing software using Core Java technologies
4) Candidates must be strong in fundamentals of programming – just using the readily available frameworks for development would not suffice
6) Must have good understanding and experience in using Java Collections
7) Investment banking experience is not mandatory, but good to have – candidates from other domains are also welcome
Ability to effectively manage time and deadlines
Good verbal and written communication skill, and analytical skill
Proactive, self starter, work independent, open minded and mature
Equities Business Knowledge in especially middle office flow

Head of Multi Asset Middle Office Resume Examples & Samples

Coordinate and manage the data flows between Investment Team, Trading, IT, Operations, and Risk; Act as a liaison between the front-office and the back-office
Oversees the support infrastructure for multi-asset portfolios across TAM and AIP divisions and proactively initiates changes to enhance data processes and controls
Maintain the data integrity of reports produced by the Middle office, including regular reconciliation to ‘books and records,’ benchmark reviews and P&L evaluation
Provide governance around the production of performance contribution and attribution reports, including assignment of macro-level investment themes and management and oversight of theme-based map
Provide day-to-day oversight of portfolio analysis assignments, including performance measurement and attribution reports generation to internal managers; Design new reports that influence the executive decision-making process at MSIM
Oversee creation of external reports for SMA Clients, including reports aggregation, commentary edits and data validation
Respond to ad hoc attribution and portfolio characteristic requests
Ability to think strategically and plan system capabilities
Actively interact with non-US teams
Bachelor’s degree in Finance, Business, Economics or a quantitative field is required (Mathematics, Physics, Software Engineering, etc.). Master’s degree is strongly preferred
Demonstrate understanding of both traditional asset management and alternative investments: all instruments used in macro-trading strategy (e.g., derivatives, FX forwards, futures, swaps, alternative mutual funds, fixed income and cash equities)
Sound knowledge and experience with Performance Attribution with a focus on multi asset class portfolios
Hands-on knowledge of data manipulation tools (e.g., SQL, tableau, etc.)
Experience with asset management performance and attribution applications is required
10-15 years of relevant experience required
Advanced knowledge of Excel and PowerPoint including designing, creating and maintaining complex spreadsheets, databases, queries, reports and charts

Middle Office Assistant Resume Examples & Samples

Proven communication and inter-personal skills necessary for dealing with internal partners
Develop thorough RBC product knowledge
PC literacy - RIBS/Outlook/Word/Excel/Siebel/Online Services

Treasury Middle Office Resume Examples & Samples

To process payments for the Treasury Trading Department
Ensure integrity of funding and cash management
General ledger booking
Reporting to regulators, including BOJ
Complete reconciliations
Confirm trades and settlements
Experience working within Middle Office or Operations function
Experience of working with General Ledger Booking
Experience of working within Treasury Operations, including processing FX, Loan, Bonds and Derivatives
Knowledge of CLS, SWIFT
Knowledge of settlement and payment systems

Middle Office Loans Analyst Resume Examples & Samples

Monitoring trading systems for new trades and confirming trades with outside clients
Drafting, reviewing & negotiating transfer documents (including trade confirms & transfer certificates)
Liaising with Legal, Compliance, Credit, Trading Desks, Agency and Servicing teams to ensure necessary approvals are obtained, pricing/cashflows are agreed, reconciled and settled within the system
Producing and monitoring confidentiality agreements
Administering and maintaining the information flow on a portfolio of credits
Monitoring the financial information requirements for each loan, track and chase aged documents by interacting with Agent banks and Borrowers
Coordinating the waiver and amendment process, acting as a conduit between various internal business areas and the Agent banks
Experience within the middle office space of an Investment Bank
A working experience of bank loans closing (primary and/or secondary)

Middle Office Intermed Analyst Resume Examples & Samples

Assist with Trade Capture of Derivative products (IRS, Cross-Currency Swaps, Swaptions)
Assist traders with their daily FX balances
Resolve any post trade and/or settlement issues via communication with salespeople, customers and Citi internal operations
Maintain customer accounts and adhere to firm wide “know your customer” policy
Provide customer service for escalated operational issues and various miscellaneous inquiries
Heavy interaction with FI and FX Sales/Trading and various internal counterparties
P&L and Risk reconciliation
Static Data Maintenance
End of Day Valuation and Pricing
Support/Test system upgrades and enhancements
The candidate must have excellent communication, interpersonal and organizational skills
Client Service Skills
Ability to rationalize and escalate if required
Proficiency in Microsoft Office (Excel, Word, and Power Point)
Must be able to work in a high-pressure environment under tight deadlines
3 to 5 years of Middle Office/Operational background desired
Derivatives Product Knowledge
Fluent in Spanish is a plus

Middle Office Intermed Analyst Resume Examples & Samples

Attention to detail is expected
Knowledge of Excel is required; knowledge of trading applications a plus
Related work is a plus

Middle Office Senior Analyst Resume Examples & Samples

Analyze daily Front to back indicative and position reconciliations and manage trade life cycle events
Work closely with traders to monitor outstanding and/or aged exceptions and ensure timely resolution
Responsible for ensuring trades are captured correctly in operations systems and provide settlement guidance on more complex transactions as required
The candidate is required to be computer literate with very good Excel skills
Candidate should possess excellent communication skills, managing internal and external relationships

VP, Ps Flow Middle Office Resume Examples & Samples

Daily interaction and primary support contact for trader assistants
Production of ad hoc reports for Front office traders
Production of the weekly/monthly metrics schedule to PC, FO, Management
Essential
Reconciliation experience in a high volume environment with evidence of developed investigation skills
High level of accuracy and attention to detail
Desirable
Prolonged experience in a reconciliation environment
Advanced Knowledge of Reuters and Bloomberg

Middle Office Ops Trader Resume Examples & Samples

Operations Trading team oversees entire managed money process, including account openings and service orders
Provides general service guidance to the field
Submit all firm UIT and Structured Product orders
Process all trade corrections
Assist field with fixed income trades
Provide assistance with internal and external trade audits
Provide general back office operations assistance
General knowledge/understanding of financial services and investment products
Series 7, 52/53 license
Proficiency in all Microsoft Office applications: Excel, Word, and Powerpoint
Bachelor's degree or 5+ years related work experience
Experience with Pershing Platform
Experience with Bloomberg portal

Ib-tech & Ops-abs Conduit & TOl Middle Office Resume Examples & Samples

Manage document retention for new/renewing deals and daily conduit transactions by uploading all documents to a central platform (DealWorks)
Manage various reporting responsibilities on a weekly/quarterly basis
Ensure accuracy of daily rate uploads
Escalate any new or known issues to management as required
Maintain database of client contact information and deal specific wire details
Adhoc projects as needed
Develop strong working knowledge of core operational processes to backup team members
Proactive and willing to drive new initiatives and changes
Strong analytical skills, due diligence habits, and attention to detail
Able to multi-task and work in a fast-paced environment

Cib Operations Fx Hybrids Middle Office Bookrunner Associate Resume Examples & Samples

Product knowledge – Understanding of vanilla and complex derivative products
Vanilla Products: FXOptions, IR Swaptions, Swaps, XCCY Swaps, Equity Options
Complex Products: Power Range Dual Currency Swaps/Notes (PRDC) is our main product, digitals, range accruals, binaries, barriers, KOs/KIs, TARNs, Chooser s
Risk - Understanding of the greeks
PnL - Understanding of trading PnL and key drivers
Understanding of risk types – Market, operational, settlement, credit, legal and reputational
Systems skills – Understanding of risk management and reporting systems, straight through processing, Excel/Access
Problem solving – Developing and implementing solutions to often complex issues
Control –Understanding and implementing the control framework to mitigate risk through the transaction lifecycle
Projects - Assisting in the delivery of tactical and strategic solutions
Networking and the bank-wide perspective – Understanding the needs of other groups and the importance of relationship building through extensive interaction

O&t Middle Office Senior Analyst Resume Examples & Samples

Basic knowledge & understanding of structured or complex Commodity derivatives would be advantageous, but not essential, including the ability to de-structure into components for booking / validation purposes and ability to analyse market risk including understanding of the various pricing methods
Ability to quickly gain a full understanding of product and risk management systems, accounting policy and limitations of support groups
Strong communication skills, able to liaise with internal & external customers
Comfortable in liaising with Senior Business owners & managers
Strong organisational skills – ability to constantly reprioritise workload
Self-starter, highly motivated with high attention to detail & a ‘hands on’ approach
Good PC skills including Excel (pivot tables, Vlookups, etc.)

Asset Management GWM Middle Office Control Resume Examples & Samples

5-7 years Management Experience
College Degree Required
Proven ability as a self-starter, detail-oriented, well organized, strong decision-making skills and able to multi-task effectively
Ability to conceptualize and quickly understand new processes
Problem-Solving Skills: research, gather, arrange, compile, summarize and evaluate data in recommending solutions
Previous experience in Business Management, Trade Support, Risk Control Management, or Project Management is a plus
Proficient with Microsoft products including Visio, Excel, Project, Access, and Word

Middle Office Intermed Analyst Resume Examples & Samples

Manage and maintain controls over trade life cycle events including novations, unwinds, and amendments
Produce daily New Activity P&L, P&L explain and Option Exercise reports
Analyze and comment on daily front-to-back reconciliation and exception reports
Review static and market data for accuracy and completeness
Approximately 2 Years experience working with Interest Rate Derivatives or Fixed Income products, preferably in a Middle Office, Operations, or Product Control capacity
Strong Excel skills (VBA a major plus)
Familiarity with P&L reporting and explanation including Fixed Income risk metrics, e.g. analytic Greeks
High systems aptitude with experience in system implementation and testing

CIB Ops-acce Middle Office Client Coverage Resume Examples & Samples

Strategic management and oversight of designated client relationships, across all impacted WSS products in order to maintain service quality, referenceability, share client service/relationship information and manage any virtual teams
Ensure all inquiries, issues and requests are documented and analysed. The results of these should be reviewed weekly, with the aim complete 95% of enquiries within 24 hours, highlight inefficiencies and drive improvements to the service provided
Provide effective service plans in conjunction with key quality service level indicators. The Middle Office Analyst will need to ensure all action points are updated and met within the target date
Look to transform client service to optimal 'service' centre through 100% capacity plan completion to highlight in-efficiency and use action plans to eradicate . The Middle Office Analyst should identify strategic solutions to support client efficiencies and eradicate manual processes
Strategic overview of client related projects and manage client change requests e.g.. new product integration, market entries, client specific process changes
Lead the promotion to engage clients in the participation of Client Surveys, analysis of results with follow up creation and implementation of actions plans
Manage process of NII / EF&L client communication and negotiation including liaison Relationship Management
Provide support to RM & Sales teams on Sales / RFP process e.g. client service RFP responses ; attendance at Due Diligence
Drive own self development and attend over 5 days of training courses

Sec Processing Senior Analyst Prime Finance Middle Office Resume Examples & Samples

Excellent communication, interpersonal skills and professional poise
Effective prioritization and time management
Good problem solving, and ability to think clearly and concisely in challenging situations
Organized, reliable and detailed oriented

100

Equity Middle Office Analysts Resume Examples & Samples

Supporting trade confirmations and follow-up transactions
Analyzing new business proposals and global project requirements
Report regularly to management, including reports to Front Office
Interacting regularly with local and regional clients and maintaining exemplary relations
Working closely with other teams as required
Native level Japanese and English to work with clients
Experience in using an OMS
JSDA or FFAJ qualifications
Knowledge of front to back trade processes with market-specific trading and settlement requirements
Experience working within project management
Experience working with client valuations

101

O&t Securities Finance Middle Office Resume Examples & Samples

Previous experience within the securities lending industry and on dealing with clients
Experience of different local market practices would also be an advantage
Strong knowledge of system and product set
Knowledge of equities, fixed income and other financial instruments (e.g. repos, tri-party repos, letters of credit, loan documentation, etc.) would be beneficial
Experience of dealing with English-speaking clients in a senior service role
Good oral and communication skills
Knowledge of writing macros and use of Access database beneficial
Understanding of SECORE, CCMP, SLS and Bloomberg systems will be an advantage

102

Middle Office Senior Analyst Resume Examples & Samples

Oversee Derivative Regulatory compliance for Global ICG G10 Rates trading:responsibilities will include daily exception management supervision and roll out for expanded and new regulatory compliance
Drive technology body of work to centralize the exception management process and for OTC regulation
Serve as key point of contact and spokesperson for Regulatory Governance, state of Citi readiness and current control environment
Coordinate and supervise back loading process to help ensure Citi is actively managing our IRS population in Markitwire which enables clearing. Function will include improving our matched statistics to help improve our compression rates with clearing houses and bilateral counterparties
Coordinate and improve our Regulatory Governance MIS and Monthly packets provided to the Business for review of Regulatory performance and key risk indicators
Working with Business Unit Management, Compliance, Legal and Regulatory Reform on Regulatory updates and roll out
Approximately 2 years of experience working with Interest Rate Derivatives or Fixed Income products, preferably in a Middle Office, Operations, or Product Control capacity
Familiarity with OTC life cycle management and trade processing
Must be able have strong communication skills and ability to drive agendas
Familiar with Dodd-Frank and various regulatory rules
Proficient in Markitwire and DTCC processes

103

Cib Equity Derivatives Middle Office Resume Examples & Samples

Trade capture and booking
Assist in risk management in ensuring pricing is correctly captured and risk profiles are correct
Assist in inventory management and alert trading desk when inventory may be insufficient
Ensure traders are in compliance with rules and regulations in various local jurisdictions
Continuous project work involving process improvement, system implementation, new product or new market rollouts
Strong proficiency with MS Office and the ability to pick up complex systems architecture easily. Knowledge of VBA / SQL would be an asset
Previous exposure to equity and equity derivative products is essential. Mathematics, Finance or Science background preferred

104

Cib Custody Middle Office Transaction Management Associate Resume Examples & Samples

Working with various internal teams such as trade processing, prematching, settlements, cash processing, account opening and asset servicing to process transactions and resolve any exceptions on a timely manner
Respond to and resolve client inquiries on a timely manner
Partner with client service teams to help change client behavior where required to remove manual processes
Partner with technology strategy team to help identify internal and external facing technology improvement opportunities
Ensure all day to day queries dealt with within required SLAs and escalate issues to the team leader
Monitoring & Adhere to daily work flow queues and ensure no TAT miss
Excellent grasp and understanding of trade lifecycle

105

Flow Credit Otc Middle Office Resume Examples & Samples

Flow Credit OTC knowledge
A good understanding of capital markets, their use, the risk and processes
Broad understanding of Dodd Frank and EMIR regulations

106

Senior Expert Middle Office Resume Examples & Samples

A business apprenticeship and a minimum of three years’ work experience in a comparable environment or a bachelor degree in economics and one year’s work experience in a comparable environment
Deep technical knowledge of how financial instruments work (listed and unlisted)
Deep knowledge of middle office and settlement processes combined within a cross-product operational understanding would be beneficial
Very good computer skills especially in MS Office, particularly MS Excel and MS Word skills
Very high degree of accuracy in combination with a keen awareness of deadlines
Ability to manage the team’s workflow
Excellent verbal and written communication skills in German and English
Strong communication skills, both written and verbal, and the ability to communicate clearly and effectively to all levels
LI-SD2

107

Middle Office Section Manager Resume Examples & Samples

Managing, motivating, developing and supporting teams, team leaders and supervisors performing Business as Usual for the Department: Middle Office products coverage (examples of functions/sections include: Confirmations, Settlements, Static&Reporting, Non-core/manual) of Capital and Money Market transactions - executing on behalf of Clients. The products in scope (but not limited to): Securities, FX, Deposits and Money markets, Derivatives
Active management through goals, KPIs and quality indicators with view of improving overall team productivity, as well as excellent execution of managerial basics like 1-2-1s, development plans and conversations, appraisals and active support of the teams during business as usual (especially in most difficult queries, tasks, changes)
Work with the Implementation team, Product and Clients’ to understand existing processes and business requirements and aid the successful implementation of new clients, products to the Middle Office platform
Maintain working relationship with Oversights and external Clients
Build effective relationships with processing teams globally. Build and maintain strong client relationships that enforce the quality of the Citi service
Continuous monitoring, review of processes to highlight opportunities for application improvement – bugs and enhancements, implement process improvements and models change – to enable capacity and saves delivery, as well as standardize the processes across the relevant function/section – both locally and regionally/globally with other relevant sites providing Middle Office Trade Processing services
Capacity management and dynamic prioritization – connected with proper capacity planning as well as headcount monitoring for any in or out changes
Active cooperation with Product, Technology, Oversight and Clients with view of making products services scalable and efficient
Pro-active risk management and cooperation with necessary stakeholders in order to minimize operational risk and follow all Citi policies as well as introduction of relevant improvements, to enable passing all internal and external audits and reviews
Managing multiple strategic and high priority visible projects: Appropriately leveraging and allocating necessary resources
Ensuring effective retention of key/talented staff and support in their development
Providing support in recruitment and training new members of the team,
Creating and reinforcing positive working relationships with staff, clients and peers
Monitoring, managing and improving the cost base of the section

108

Middle Office Intermed Analyst Resume Examples & Samples

Own regulatory implementation for the Cash Equity, Equity Derivatives, MAG, Hybrid and Delta 1 businesses at asset class level
Interface with regulatory reform, legal, compliance and business SMEs to ensure implementation of new rules across the asset class specific systems
Perform detailed analysis at asset class level to determine asset class specific scope and impacts of new reform
Coordinate across the industry, legal and compliance to ensure regulatory interpretations and guidance are implemented in the asset class specific systems and are in compliance with external and internal policies and guidelines
Own the coordination of system UAT and implementation of regulatory changes at the asset class level
Own the development of solutions with respect to design & implementation considerations across the EQRMS and PFS systems
Work with the line managers to design and implement appropriate controls and coordinate to ensure consistency with cross asset approaches
Investigating and tracking exceptions in the Regulatory space, including External Business Conduct Rules under Dodd-Frank, Confirmation timeliness rules for EMIR and D-F, tightening controls and response time on MCA negotiations under Fed Target mandates, etc
Knowledge of internal Citi systems & processes in the Equity, Delta 1 space. Ideally EQRMS, Ticketblotter, Oasys, CWM and PFS
Knowledge of existing Cash Equity, Dodd Frank and EMIR regulations across reporting, confirmations, pricing and intermediation processes
Strong knowledge of Equity Derivative, Equity Swap, Interest rate and Commodity derivative products
Strong industry network within the Equity Derivative and Delta 1 space
Knowledge of derivative products and flows
Ability to network well
Facilitator to decisions across multiple stakeholders
Ability to partner with user groups to ensure engagement and input into solutions, testing, design
Candidate should have a BA/BS degree
Strong project management and analysis skills
Should be a motivated self-starter
Work well under pressure and be able to handle demanding stakeholders
Able to juggle several tasks at once and understand how to prioritize requests
Able to architect and drive solutions

109

Middle Office Intermed Analyst Resume Examples & Samples

Manage trade exceptions in the matching platform
Awareness of escalation procedures to FXPB business
Process NDF fixes
Monitor client and counterparty trade activity against available credit and product limits
Monitor and resolve all technology failures relating to trade processing (internal and external)
Become an expert in PB transaction process flow
Prior FX and/or FX Prime Brokerage work experience
Understanding of hedge fund operations, credit and margin

110

Asset Management Global Head of Managed Solutions Middle Office Resume Examples & Samples

Management of a global team including V.P. and staff
Support new product development and onboarding including operating model definition
Develop new processes and procedures and implement the appropriate compensating controls, monitoring and reporting
Reengineer existing processes, locate and transfer proper ownership
Working closely with key business stakeholders, COOs, Legal, Compliance, Operations and Technology
Candidate should have at least 10 years of experience in operational or middle office management in the financial industry
Strong understanding of securities products (mutual funds, equities, fixed income, hedge funds, derivatives, etc…) and portfolio management processes
A solid understanding of the wealth management business and clients, preferred
Must have excellent analytical skills, in addition to strong interpersonal and communication skills to bring drive, energy and enthusiasm to lead the team and collaborate across business areas
Ability to successfully influence many different groups and individuals to deliver high quality and timely deliverables
Strong knowledge of quality control techniques/procedures
Proactive control and risk management, addressing gaps in processes and escalating issues to benefit the business and clients in a dynamic environment
Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals
Drives strategic and tactical plans, including automation and process reengineering initiatives, with an ability to anticipate and overcome barriers. Takes the business to the next level
Drives critical thinking and proactively seeks out best practices

111

Rates Middle Office AVP Resume Examples & Samples

Co-operate and support teams across the organization in maintaining high standards of an active Rates business
Responsible for supervision of subordinates in the team
Oversee and maintain controls and adhering to compliance
Able to co-operate successfully with IT in enhancing and preventing bug issues
Be an ambassador of the Rates middle office in all functions internally
JSDA (Class 1 or Internal Control Manager)
Experience working with MO or Operations
Strong communication and attention to detail
Quick learner to concepts, systems, and trade flows
Good team player and initiative
Experience with either interest rate derivatives or US Treasury
Supervisory roles with managing and training experience
Go-getter attitude able to work with diverse backgrounds and nationalities

112

CIB Ops-f&o Middle Office Representative Resume Examples & Samples

Superior management of client accounts
Product expiration management
Account discrepancy management (e.g. trades, commissions, brokerage, margins etc)
Client education of changes / developments to the regulatory framework in the Derivatives Industry
Partnership with Client Services, Sales and other Middle Office teams across the Corporate Investment Bank for providing industry leading client experience
Project work
Extensive F&O industry knowledge (Ideally minimum 5 years experience)
Comprehensive understanding of physical delivery process for key Fixed Income, Currency, Equity & Commodity F&O products
Be a dynamic & proactive team player
Ability to identify process improvements that drive capacity, efficiency and control
Strong PC & Industry application skills (e.g. GMI, Microsoft Office)

113

Cib Ops F&o Middle Office Representative Associate Chicago Resume Examples & Samples

Client liaison, education & advice
Clearing technology support (i.e. J.P. Morgan Markets)
Pro-active / strategic approach to client account management (including MIS analysis /driving change)
Comprehensive KYC knowledge for Operations & Front Office servicing requirements of clients
Leading initiatives for clients including scorecard performance production / communication on deliverables
Client visits, onsite training & service review meetings
Proven skills in delivering a professional face to our clients and taking ownership of issues through to closure
Detailed F&O / Cleared Derivatives exchange / product knowledge for global markets across all asset classes
Excellent interpersonal skills and be able to communicate across multiple aspects of the organization at various levels
Ability to work accurately and effectively under pressure
Strong time management skills required to meet critical deadlines and prioritize

114

AM Pb-credit Middle Office Resume Examples & Samples

Strong Knowledge of credit space
Experience in collateral and operational controls
Knowledge on products regulation, mainly regarding Credit
Control oriented
Experience in KPI’s
Ability to identify operational efficiency opportunities
Focus on process improvement
Control oriented, using industry and company policies knowledge to pursue best practices for Business procedures
Escalate risk issues to management appropriately

115

Middle Office Senior Analyst Resume Examples & Samples

Supervise the processes assigned – ensure all relevant tasks have been completed up to the required standard
Pro-actively identify process risks and continuously work towards enhancing/improving assigned processes
Foster strong working relationships with internal/external stakeholders, including Oversight teams, by demonstrating committed inclusion in relevant forums, projects, business developments and service calls
Check other team member’s work
Cross train and able to cover all processes within the team
Ensure all Team procedures and audit requirements are updated, completed and maintained across all Clients and processes
Additional business oriented tasks requested by manager
Minimum 2 Year experience in institutions linked to capital markets
Good team player able to build strong professional relationships
Be able to work as part of the team;Very good work organization; punctuality and timeliness
Focused on details when performing the tasks and ability to handle risk processes under tight deadlines

116

O&t Middle Office Securities Processing Specialist Resume Examples & Samples

Confirmation of listed securities, cash/FX and exchange trades derivatives
Ensuring trades are matched and instructed within deadlines and settlement failures averted
Follow-up with custodians and brokers to resolve trade mismatches or settlement issues
Servicing of client enquiries, preparation and delivery of reports to clients
Collate and update volume numbers for reporting and billing
Past experience in processing equity, fixed income or FX trades is preferred
Experience in Asset Management companies or Custodian banks or IB/PB Operations will be a merit but not a must
Willing to learn and a quick learner
Capable to take responsibility
Confident and detail-oriented
Self-motivated who takes pride in his/her work
Must be willing to work on Singapore holidays on a rotation basis
Need to be willing to work in shift on rotation basis

117

Credit Risk Middle Office Resume Examples & Samples

1) Supporting credit professionals in the monitoring of Morgan Stanley’s credit exposure against the Firm’s pre-defined policy limits
2) Enhancing and implementing data quality control processes
3) Regulatory Reporting requirements such as BIS and CCAR
3) Monitoring credit data quality on a daily basis
4) Identifying credit data quality issues
5) Maintaining an active dialogue and acting as a liaison between Credit Department, IT and Business Units in resolving identified data quality issues
6) Assisting the team in its day to day Run The Bank tasks
7) Representing the team in projects that require Credit Middle Office participation
1) 8-10 years of experience in risk management or finance involving data analysis and process
2) Familiarity with fixed income, equity, and other traded securities
3) Self motivator and team player with strong interpersonal skills
5) Undergraduate degree in Finance, Computer Science, or Engineering related areas
6) Ability to manage dynamic priorities with attention to details
7) Ability to meet deadlines and deliver quality work in a fast-paced environment
2) Experience in system development and project management
3) Strong proficiency with Excel and VBA is desired as is a good working knowledge of databases and

118

Middle Office Intermed Analyst Resume Examples & Samples

Knowledge of capital markets and products
Experience in Security processing beneficial but not pre-requisite if strong motivation to learn
Skilled in use of Microsoft Office

119

Finance Operations Analyst Credit Risk Middle Office Resume Examples & Samples

Researching on any queries/ requests sent by the Business Partners/Counterparts and replying to the same within minimum response time
Establishing and maintaining excellent relationships with the Business partners/Clients as well as the people in the support groups
Manage the workflow of tasks / activities, queries, issues and requests made to the respective team (using a call-tracking database, etc)
Produce monthly metrics on these requests
Good organizational skills with ability to consolidate and analyze data received from multiple reports
Able to work accurately and effectively under pressure
Excellent Client focus and Customer care working practices
Good market product knowledge

120

Am Jpms Middle Office Project Analyst Resume Examples & Samples

Work on various projects related to middle office, administration and operations for the JPMS Business, including business process analysis and new product and technology initiatives
Coordinate with various areas of Operations, Middle Office, Finance, IT and Senior Management to build business requirements, procedures and processes
Assist with all day to day Client and Broker inquiries directed to the JPMS Middle Office
Assist with Operational issues escalated by all 7 regional branches in the US
Manage month-to-month trade related reporting
Manage reporting and trend analysis projects for Senior Management

121

Am Investments Middle Office Resume Examples & Samples

Communicate to senior management and other key stakeholders
Can build effective relationships across the organization
Direct activities, monitor details, and set priorities
Communicate and facilitate management decisions at the earliest possible time
Project activity and schedule may require weekend work from time-to-time
FINRA Series 7 or 99 licensing required within 4 months of hiring
Understanding of flow of account opening to trading to post trade monitoring a

122

Prime Stock Lending Middle Office Resume Examples & Samples

Understanding of life-cycle of trade processing for Equity and Fixed Income products including trade capture, Pand L, settlement and reconciliations for the Stock Borrow / Loan product area
Experience of building positive working relationships and working with team members to understand the root cause of an issue
Valuing diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organizational success

123

Middle Office Ops Specialist Resume Examples & Samples

Trade exception processing
Over-borrow management
Management of special collateral programs
Market-specific collateral management
Management of interest rates and trade lifecycle events
New trade bookings / amendments / closures
Management of Triparty relationships
Management of Fully Paid process
Analysis on asset optimization
Trade reconciliations
P&L Exception Review
Analyzing processes to increase efficiency and implement changes
Addressing root cause of issues and amends, also serve as escalation point to resolve issues
Special projects and assignments as required
LI-Priority
Excellent communication skills (both written and verbal)
Strong team player and can demonstrate a positive attitude in a fast changing environment
Strong analytical skills to assess risk and drive complex issues to resolution
High level of attention to detail and accuracy in order to manage day to day requests
Strong time management and prioritization skills
Partnership skills to effectively build relationships with desk, internal operations teams, particularly across regions
Core understanding of importance of client service - for internal stakeholders as well as external clients and vendors
Strong technical skills, experience in securities lending and/or collateral management a plus
Excellent Excel skills and knowledge to manage complex workbooks and build macros to drive process improvement
Basic project management skills, in ability to implement new business initiatives and other front office demands, while working closely with Change teams and other operational areas

124

Operations Pwm Middle Office & Product Mgmt Analyst Bengaluru Resume Examples & Samples

Review existing accounts to ensure that the client information received is in accordance with regulatory and firm requirements
Apply sound business judgment to identify unusual or suspicious documentation or activity
Review account opening documents including client provided legal agreements
Resolve issues through coordination with PWM Operations, PWM Sales and the Anti-Money Laundering Group
Minimum 2 years experience in Financial domain
Strong sense of attention to details
Very strong financial risk awareness
Strong analytical and logical skills
Forward thinking, with the ability to assert new ideas and follow them through
Ability to go through large daily volumes and stay focused throughout the day
Self motivated team player, ownership, accountability, organizational/prioritization skills, proactive, ability to multitask, ambitious, independent, positive mindset
Willingness to work in shifts
Good PC skills – MS Office

125

Middle Office FX / Rates Analyst Resume Examples & Samples

Maintaining and updating daily market quotes in bank systems
Providing the Front Office with accurate and consistent daily Risk and FX exposure reflecting positions
Ensuring Risk profile/predict accuracy and consistency with daily trading activity, resets and daily market shifts for all Greeks
Generating daily P&L and explain using Greek predicts and reconcile P&L with product control department
Working closely with traders, technology and quants departments to ensure that all curve and valuation models are tested and correctly implemented
Liaising with Technology to resolve technical issues with overnight and intraday reporting runs
Processing the exchange traded deals and verify OTC trades liaising with all stakes holders
Managing and complete the trading desks ad-hoc P&L and Risk queries

126

Middle Office Team Coordinator Resume Examples & Samples

Oversee performance of assigned Operations Specialists staff members and perform HR and PPA functions. Escalate performance issues to Senior Manager – SAMU Operations
Assess and improve operational effectiveness of the assigned Operations Specialists staff members. Identify potential risk situations within the scope of work. Make recommendations and/or escalate to Senior Manager – SAMU Operations
Establish regular team meetings to encourage communication within team. Provide feedback and recommendations to the team to improve the team effectiveness
Provide coaching and training to team members
Create and implement training schedule for new hires. Provide job aids to assist with specific system usage
Coordinate and align Operations Specialists workload to ensure equitable distribution. Ensure backup coverage is in place to provide timely processing of day to day transactions
Assist Senior Manager – SAMU Operations with special projects and work collaboratively toward timely completion
Provide SAMU Credit Management team with updated SAMU Operations procedures to be captured in the SAMU Operations Manual. Communicate, train and implement team with new procedures
Manage regular reporting for Operations Specialists and Relationship Managers, as appropriate
Act in an advisory capacity, or SME (subject matter expert) to management on the implications of proposed decisions related to areas of expertise. Participate in resolution of problems outside of direct authority
Coordinate with internal business partners to customize current bank procedures to align with SAMU guidelines to maximize efficiency and minimize risk to the bank
Provide QA (quality assurance) verifying and tracking team performance for accuracy and timeliness regarding Takeover process, Overdraft process and Wire Transfer process. Collect and maintain original documentation according to bank retention timeframes and directives
Prioritize work in accordance with policy and severity of service impact to minimize financial and customer impacts
Contact internal business partners, internal and/or external suppliers, service providers or support groups, as required
Access confidential customer and LOB financial information
3 to 5 years of related customer service experience
1-3 years of commercial lending experience
Good understanding of change management dynamics
Solid knowledge of standard desktop applications used by the business unit (MS Office)
Excellent knowledge and understanding of the business unit’s key products, services, processes and controls
Excellent understanding of the business unit’s risk and regulatory requirements
Excellent knowledge of departmental systems and applications
Excellent knowledge of process and/or project management
Excellent knowledge of workflow priorities and deadlines in processing areas that interface with the business unit
Good business and industry knowledge
Strong conflict management/resolution skills
Ability to multi-task in a fast-paced, dynamic environment

127

Principal Tech Strategist Middle Office IT Lead Solutions Architect Resume Examples & Samples

Conducting due diligence sessions internally and with the client
Coordinating appropriate engagement with various internal IT teams such as business analysis, architects, software developers, infrastructure engineering, and testing
Constructing artifacts that demonstrate the client’s transition from their existing platform to OnCore
Identifying functional areas that need to be enhanced to meet client requirements
Identifying opportunities to improve platform efficiency and automation in conjunction with our internal operations teams
Detailed knowledge of middle and back office services needed by investment managers, including: trade capture, broker and custodian communications and reconciliations, maintenance of cash and positions, corporate action processing, and collateral processing among others
Management and leadership of small teams of senior, high performing resources
Strong communication skills and the ability to lead internal and client-facing meetings

128

Middle Office Junior Manager Resume Examples & Samples

Manage, coach and develop team members for their individual advancement and for the benefit of the team. In so doing, foster and maintain strong team spirit and a healthy working atmosphere. To start with - strong recruitment skills should be presented
Complete the annual and interim appraisal process
Foster strong working relationships with internal/external stakeholders, including Oversight teams (EMEA region), by demonstrating committed inclusion in relevant forums, projects, business developments and service calls

129

Cib-prime Brokerage Middle Office Resume Examples & Samples

Strong business knowledge is preferred/Added advantage of Prime Brokerage
Ability to work independently with strong follow through
Team player with a professional, proactive, and positive approach to work
2 + years in a Industry

130

Am Private Bank Credit Middle Office Product Resume Examples & Samples

Support deployment efforts. Includes creation of procedures,training materials, workflows and demonstrations
Provide reporting/metrics as identified
Maintain Program action items, issues and risks in a central repository and update weekly
Review original executed FSD’s, complete gap analysis and related change controls
Provide implementation support including testing of new tools / processes to ensure they meet the requirements of legal, compliance,inclusive of process documentation and training materials. Ownership of all testing topics for assigned workstreams
Project planning and analysis – including detailed project plans, documenting scope and business requirements, detailing issues & problems;collecting examples; drafting business and technical work / data flows
Minimum six years of relevant work experience
Demonstrated strong problem solving and decision making skills. Candidate must identify issues, seek solutions and gain consensus regarding outcome
Highly disciplined, self-motivated, and delivery-focused individual who is able to work independently
Global application and platform deployment experience is preferable
Attention to detail and ability to assimilate fragmented facts into detailed statements
SharePoint, MS Project, Excel, Visio and PowerPoint skills are required

131

Middle Office Senior Analyst Resume Examples & Samples

Good knowledge of Cash and Credit Derivatives
Min 2 years Derivatives experience required from a Middle Office, Operations or Product Control environment
Understanding of audit and control processes and how they relate to the Middle Office control environment
Able and willing to drive positive change
Proficient PC skills including Excel and Microsoft packages
Can work effectively in a pressurised trading floor environment
Ability to solve problems with the minimum of supervision
Flexible in their approach
Self motivated, driven and hard working

132

Finance Ops-credit Risk Middle Office Resume Examples & Samples

Liaise with CRMO onshore groups in EMEA/NA/Asia regions
Achieving the daily/weekly and monthly volume targets
Ensure Quality Control standards that have been set for all processes that are carried out in the team
Participate in UAT (user acceptance testing) on enhancements and changes to CRMO systems; including analyzing the impact of enhancements on CRMO reporting
Maintain essential business, client and corporate data in CRMO systems to facilitate accurate reporting
Minimum of 0-24 months of work experience, preferably in financial services industry
Basic knowledge of investment banking products will be an added advantage
Working experience on MS package (Word, Excel, PowerPoint and outlook)
Advanced Excel skills (i.e. pivots, Vlookups, charts, macros, etc.) and MS PowerPoint preferred
Positive “can do” approach
Good team player with flexible attitude towards working hours due to the demands of the working place
Accurate and self motivated with good problem solving skills and project management skills

133

Asset Management Credit Middle Office Business Analyst Resume Examples & Samples

Partner with our business colleagues and the ultimate user community to ensure the proper definition of requirements, testing, training and integration of the various platforms into the BAU business processes
Prepare for and manage initial code delivery to include creation of test cases, use cases, working with Central Testing Team to create test scripts, tester training
Prepare and update training materials and workflows
Test code, report defects and identify needs for Change Controls
Support deployment efforts. Includes creation of procedures, training materials, demo’s
Maintain all action items, issues and risks in a central repository and updated weekly
Utilize a Work Plan and manage to all delivery dates
Minimum of two years of relevant work experience
Knowledge and experience in credit products

134

Middle Office Retails Deposits Resume Examples & Samples

Professional and Proactive approach to work
Managing all client queries relating to new and existing retail and broker deposit accounts through phone and email correspondence
Managing client deposit credits and payments on a daily basis
Meeting with clients and managing the account opening process
Highly involved in the retail online offering from both a customer and operational perspective
Ensuring that the take on and service of clients is maintained to an excellent standard
Strict adherence to Compliance, AML and KYC policies and team specific procedures
Working closely with all members of the Treasury team
Maintenance of product tables / rates across all systems and documentation. Ensuring that all marketing material is kept up to date
Minimum of 5 years' experience in a customer service role within a financial services environment
QFA Qualification desirable, not essential
Excellent Communications skills both telephone and written

135

Cib-custody Middle Office Transaction Management Resume Examples & Samples

Working as part of a global team providing follow-the-sun coverage for clients ensuring all day to day queries have been addressed within required service level agreements
Establishing and maintaining strong relationships with client’s operations & middle office contacts
Providing high-level, value added client experience and operational subject matter expertise
Meet with clients in person and on conference calls
Working with various internal teams such as trade processing, prematching, settlements, cash processing, account opening and asset servicing to process transactions and resolve exceptions in a timely manner
Performing root cause analysis for clients to increase STP and reduce exceptions and inquiries
Partnering with technology and strategy teams to help identify internal and external facing improvement opportunities
Collaborating with client service teams to help change client behavior where required
Relevant business experience - added advantage of Global Custody and/or Prime Brokerage knowledge
Strong understanding of global markets and trade lifecycle of equity, fixed income & FX products preferred
Excellent verbal and written communication skills and adept at communications with all levels of a business
Exceptional problem solving skills, taking ownership of issues from inception to resolution
Dependable time management skills and the ability to reprioritize

136

Cib-custody Middle Office Resume Examples & Samples

High level of client service focus
Provide operations subject matter expertise and value added services to clients where required
Strong time management skills required to meet the internal and external deadlines/cutoffs
Strong business knowledge is preferred/Added advantage of Global Custody/Prime Brokerage
Excellent verbal and written communication skills, and adept at communicating with all levels of the business and technical parts of the organization

137

Middle Office Administrator Resume Examples & Samples

Ensure compliance with all internal policies, department guidelines, and external regulation
Trade query research and resolution
Assisting with the completion of client requests and generates reports to meet client and internal needs
Ensuring compliance with all internal policies, department guidelines, and external regulation

138

CIB Ops-fixed Income Middle Office Resume Examples & Samples

Trade Support : General trade support function (booking reconciliation, risk & PnL feed, transaction monitoring, etc)
Sales Support : General sales support function (client communication, counterparty allocation, confirmation generation, etc) & Attend client inquiries on pre-confirmation / settlement related issues
Resolve trouble shooting
Work with various counterparts in handling day to day tasks and projects
Participate in projects at analysis and UAT stages as a subject matter expert
Self-motivated to learn new products
Multiple task handling
Promptness and accuracy
Compliance / Regulation / Market knowledge
PC literacy (MS Excel, Word and Powerpoint)

139

CIB Operations Client Lead Middle Office Dublin Resume Examples & Samples

Ensure awareness of clients overall CIB operating model including any upcoming changes that could affect transfer agency
Maintain governance and responsibility for all operational processes
Support client projects, assess impacts, consolidate department feedback and requirements for change management
Co-ordinate and chair all operational service reviews
Act as the primary client facing transfer agency subject matter expert for service delivery issues
Identify core weaknesses in any aspect of service delivery. Plan and deliver solutions in coordination with the operational groups
Pre-empt (where possible) and manage/resolve service issues end to end and ensure timely communication to the client
Identify and work towards opportunities to improve client behavior and effectiveness and efficiency of operational processes
Ensure regulatory requirements requiring changes to operational process are met
Maintain service plan and issue log
Participate in operations fast board meetings and ensure intra day communication with all processing teams to ensure seamless service delivery
Own the transfer agency process and any actions end to end to fully resolve inquiries consistent with client SLA
A strong sense of ownership and responsibility
Excellent client facing skills
Drive results through leadership, people, communication and influence
Comfortable with change, ambiguity, debate, conflict and informed risk taking
Multi-tasker who can manage multiple streams of work concurrently
Willingness to make decisions, while ensuring buy in from stakeholders. Ability to challenge and influence stakeholders to ensure decisions are well thought out and can be executed from an operations perspective
Experience in dealing with highly complex, demanding client organizations
Organization: strong organizational and time management skills
Client Service: ability to interact efficiently with clients and effectively manage client expectations
Business Knowledge: strong product & business knowledge, including significant experience (5+ years) working in transfer agency, able to demonstrate an in depth understanding of end to end operational processes
Controls Focus: excellence in designing optimal operations controls & workflow
Leadership: be personally accountable for the operations roadmap and manage conflicting objectives
Communication skill set: strong written and verbal communication skills with complimentary presentation skills
Documentation: ability to produce clear, concise, relevant and accurate documentation
Results driven: proven track record in client servicing
Team player: comfortable working across all levels of the organisation and bringing teams together to achieve results

140

Secured Funding Middle Office Resume Examples & Samples

Trade Lifecycle Management - Settlement efficiency and oversight of product activity
Risk management: collateral management, reviewing trading structures and systems whilst proposing enhancements to the increase front to back processing efficiency and control
Client management - review activity, liaises on a regular basis encouraging usage of STP platforms and addresses any issues highlighted in a timely manner
Establish and maintain strong relationships with key stakeholders internally and externally within Operations, BU, IT and Finance across all regions, as well as external counterparts and brokers. Develop and manage strong relationships with all key internal and external clients, understanding their individual requirements whilst managing expectations on a day-to-day basis
A good aptitude for working in a demanding, fast paced environment
A flair for learning new functions/systems quickly
Flexibility with regards to hours worked
A good approach to change management on account of the team's continual growth and development
Strong communication skills as you will be expected to develop relationships with internal clients
A strong understanding of escalation and risk management
An ability to handle working in a pressurised environment
A desire to question existing procedures and continually seek to improve processes
Leadership attributes, possessing the skills to drive an organization through large scale

141

Associate, Market Risk Middle Office Resume Examples & Samples

Monitoring processing of new feeds onboarded for Volker, SVBM & SVaR and performing high level verification of new attributes
To implement daily review, investigation for new unvalued records for LOBs and identify required ownership of resolution
Manage Asia Market Risk MO relationship with Line of Business Finance groups, Market Risk Technology, Market Risk Coverage and IB/Firmwide Reporting groups
Complete ad hoc projects and infrastructure process improvement initiatives
Monitor, investigate and resolve unknown legal entities, and reconciliation breaks with respect to Var, Stress, Single Name, Country Risk and PCM (Specific Risk) positions
Develop reconciliations & diagnostic reports
Research and resolve Line of Business Finance, MRM and Audit inquiries with respect to VAR, Stress, Market Data, Country Risk, Single Name risk and PCM processes
Participate in weekly stress testing processing - partnering MRM, LOB Finance groups and MRI technology; run business and legal entity level diagnostics and process stress adjustments (as required)
Perform VARS Front-end training and administration to local staff and business middle office clients, when necessary
Maintain daily procedure manuals, ensuring that all local regulatory requirements are met
Professional, self-motivated, and adaptable person who can work effectively under pressure
Ability to understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, and make value-added and practical recommendations
Ability to work and solve problems independently, and be able to work in a deadline oriented environment working with large amounts of data
Excellent verbal and written communication skills, with the ability to create and present training materials. Excellent interpersonal and negotiating skills; ability to develop effective credible relationships with the business, functional partners and auditors
Very proficient and experienced in Microsoft Excel, using advanced formulas, vlookup, etc.; Pivot tables; data management and linking to external databases, etc.; ability to build macros and VBA desirable
Proficient with using other Microsoft products including PowerPoint, Word, Outlook, etc
Ability to improve current processes and achieve efficiencies

142

Senior Analyst, Global Middle Office Resume Examples & Samples

Work closely with Trade Floor Surveillance, Compliance, Front and Middle Office
Conduct reconciliations as required by regulatory mandates
Generate daily, weekly and monthly risk reports for multiple business lines
Maintain security level static data
Conduct monthly spot checks to ensure integrity of reporting logic
Derivatives financial products knowledge, futures knowledge preferred
Highly developed written and oral communication skills
Works well under tight deadlines independently or in a team-based environment
Good investigation skills and attention to details
Exposure to Wall Street, Murex, Imagine, Calypso, Endur and/or Consensys applications is an asset

143

Middle Office Senior Analyst Resume Examples & Samples

Reconciliations and related tasks to ensure compliance with Regulation: both for regimes across APAC and globally
Close interaction with FO, supporting ad-hoc queries related to their risk/pnl
Daily liaison with Operations/Technology/Product Control to resolve booking/settlement/tech/pnl/regulatory issues
Monitoring control reports
Managing local/global projects (includes working on criteria, UAT & implementation)
Prior Middle Office/Control function experience
5+ years in a similar role, preferably working with Fixed Income
Must be able to function effectively in a high-volume and dynamic environment

144

Flow Credit Otc Middle Office Resume Examples & Samples

T+0 Blotter Checks
T+1 trade management
Internal Trade reconciliation break resolution
Intersytem break resolution
Operational issue co-ordination
Regulatory oversight
Proactively look for ways to improve the workflow and close control gaps
Operational Risk oversight
PnL flash

145

Cib-alternatives & Middle Office Resume Examples & Samples

Lead the team of ~250 to ~500 staff across multiple locations with 5 to 8 Direct Reports
Responsible for managing $ 12 MM budget across India & Philippines
Fostering an environment where excellence in execution, client focus, risk mitigation and continuous improvement are promoted and rewarded
Establish a robust organisational structure for the Operations and develop the senior leadership team with appropriate span of control & succession planning
Drives innovative solutions for efficient operations. Identify & lead initiatives to deliver client experience, efficiencies and operations risk reduction
Establish robust Management Information Systems & Metrics for Performance Management
Ensure robust controls and operating procedures are in place and adhered to meet operating standards, compliance, risk and regulatory requirements
Support the identification of product/ process gaps and develop solutions (tactical/ strategic) to close the potential gaps. Partner with stakeholders across product, operations, technology & controls to enhance operating platform
Chair senior stakeholder meetings to ensure transparent and open communication with review and feedback on performance and strategy
Promote meritocracy and builds a strong learning culture through focus on training and skill enhancement
Exceptional leadership skills with proven experience in managing large scale, complex Traditional & Alternative Fund Accounting operations
Extensive experience of operations supporting institutional clients across global markets
Excellent communicator, negotiator and staff development manager with an ability to foster effective working relationship with senior stakeholders across the Firm
Proven ability to operate effectively in a matrix organization
Experience of large scale change management programs with the ability to anticipate issues and aggressively drive initiatives to achieve results
Ability to think outside of the box coupled with practical execution to solve multi-dimensional, cross location issues and taking the initiative to drive change
Proven ability to establish and review key metrics to measure workflow capacity, system efficiency and effectiveness of controls and serve as an escalation point to all relevant parties
Proven ability to drive and deliver efficiencies through re-engineering and process improvements ensuring optimal productivity of a large operation
Control focus and a thorough understanding of operational risk

146

Cib-custody Middle Office Resume Examples & Samples

Proficient in Microsoft Office Products
4 Year Degree Required
1 year in the Financial Industry

147

AM Specialty Assets Middle Office Resume Examples & Samples

Defining and executing on strategic direction of the team
Lead the implementation and integration of the operating unit’s strategic objectives
Provide support on key processing activities
Ensure procedures and controls are maintained and contribute to ongoing development key processes
Ensure internal and external Service Level Agreements (SLA's) and quality standards are met
Handle exception items and resolve complex issues
Liaise with Technology on projects and issues impacting operations
Resolve client queries promptly and professionally
Mentor, coach and develop your staff
Ad-hoc project work as directed
Bachelor degree with preference in Finance, Accounting, or Economics
Very strong knowledge of industry activities, e.g. endowment & foundations, specialty assets, fiduciary
Strong client orientation and follow-up skills
Familiarity with fund accounting and/or specialty assets

148

Associate, Global Middle Office Resume Examples & Samples

Monitor position limit application on a near real time basis to identify exchange limit breaches
Monitor regulatory dashboards on a real time basis for reporting issues
Identify reporting issues and address their resolution with the appropriate groups in a timely manner
Reconcile trading and product limits for various accounts against regulatory limits on a daily and monthly basis
Assist in researching issuer level information (ie. collect prospectus) as it relates to traded securities
2 to 3 years of business related experience in the financial services industry
Post-secondary education–College Diploma or University Degree preferably in a related discipline but not mandatory
Knowledge of financial markets and regulatory oversight bodies
Dodd Frank derivative reporting experience preferred
Good problem solving skills, analytical thinking and sound judgment when making decisions

149

Integrated Middle Office Service & Product Management Resume Examples & Samples

Planning, designing and managing IMO IT services and products in an end-to-end and fully industrialized manner, i.e
Affirmations, Confirmations
Dividends & Corporate Actions
OTC Documentation
FO Trade Capture
Lifecycle Management
Barrier Monitoring
Cash Settlements, Valuations

150

Financing Operations Middle Office Repo Team Resume Examples & Samples

Risk management: manage and develop the Repo risk framework whilst proposing enhancements to the increase front to back processing efficiency and control
Maintain focus on a robust control environment, mitigate operational and reputation risks faced in the execution of standard flow business and ensure the successful integration of new business opportunities
Establish and maintain strong relationships with key stakeholders internally and externally within Operations, BU, IT and Finance across all regions, as well as external counterparts and brokers
Define clear business plan to support the product in conjunction with peers to meet both strategic product objectives focused on delivering cost efficient and effective processes at a competitive price
Assist with recruitment decisions (as and when)
Point of contact for any performance issues, manage service levels and client satisfaction

151

CBG Middle Office PPA Manager Resume Examples & Samples

Manages teams of experienced commercial account production supervisors and senior system administration supervisors in addition to professional process and project managers
Maintain Effective and Current Operating Procedures for CBG MIddle Office Teams
Facilitate the Onboarding of CBG Customers in Centralized team for product fulfillment and compliance control
Oversee Reporting Development, Analysis, and Maintenance of designated CBG systems
Ensure effective project delivery for critical projects impacting CBG Middle Office
Conduct routine process control testing according to established methodologies
Ensure maintenance of Business Resumption, Vendor Management, and GL Certification
Communicate process and policy changes to CBG users
Administer Audit/Review engagements impacting the CBG Middle Office
10 Years of functional/professional experience
5 Years of supervisory or managerial experience
Alternative: Combination of education and experience (years /description) 10
Familiarity with bank loan documentation
Knowledge of commercial entity formation documents
Understanding of financial accounting practices
Database query and reporting skills
System testing and requirements development

152

Associate Market Risk Middle Office Market Data Coverage Resume Examples & Samples

Review Market Data feeds and check for accuracy against independent sources such as Reuters and Bloomberg
Participate in VaR calculator onboard project which involving new Market Data onboard and new control need to be implemented
Complete ad hoc projects and infrastructure process improvement initiatives on Market Data Control check
Maintain Market Data Control Standard Operating Procedure on Market Data Share point and maintain the Market Data Middle Office Share point site
Perform Market Data Management Utility Front-end training and administration to local staff and business middle office clients, when necessary
Review business unit, legal entity, regional and corporate VAR, Stress P/L exposure for reasonableness as defined by MRM; analyze drivers (e.g. market data, NOP, hierarchy changes etc.) and verify inputs
Daily monitoring, analysis and reporting of dropped records for new LOB integration feeds
Strong team player who can work well with colleagues of various levels and internal clients across regions
University graduate in Finance or related discipline preferred
2-3 Years of relevant experience at Associate Level

153

Middle Office Intermed Analyst Resume Examples & Samples

Acting as Single Point of Contact to D1 Top Tier Priority Clients, where they would be expected to build a good relationship by which they can add real value when dealing with any client issue
Face of to key stake holders such Delta 1 Trading desk, financial control and ettlements by supporting all BAU functions and ad hoc requests
Process Swap Trade allocations in a timely manner as well as accurately
Previous Experience in Client facing role

154

Operations Avp-middle Office Resume Examples & Samples

Deal directly with internal clients and business areas either by telephone, electronically, or face to face
Respond promptly to customer inquiries in a professional manner
Ensure you understand the actual issue or inquiry and what is expected and then look to ensure a timely investigation and prompt resolution
Provide quality solutions and services that meet the needs and address the issue
Liaise between Operations and Relationship Managers as well as other business partners in Risk, Compliance, and Legal
Daily monitoring and support of the department in- boxes such as PB MOST, Complaints, SIS/CIS, and Private Equity
Perform complete review, analysis, and investigation of Client Complaints to ensure they are handled timely and fairly and in accordance with policies
Prepare customized response letters in accordance with standards that address the client’s issues. raised affecting their accounts or services provided
Perform daily review and update of securities tax lots. Must understand what aspects of the tax lots history to review in order to carry forward the correct information
Generate various reports for the Front Office including overdrafts, managed call and dda balances, and upcoming maturities
Perform daily reconciliation of Securities transferred free of payment and follow up on any exceptions
Provide operational support and assistance for the AAM and ADM hedge fund investment products
Monitor and review upcoming extra deposit maturities including validation of deposit payment from London and provide front office notification of payment details within established time frames
Establish procedures and provide ongoing support of newly formed process to electronically mail various approved documents and reports to clients as part of the Client Correspondence service
Serve as central point of contact for project related account maintenance
Assist the business with coordination of data changes and account maintenance request across various systems, platforms and sub products. Manage request until completion
Assist management with identifying process improvements and work flow changes to improve customer experience and process efficiencies
Perform quarterly analysis and reporting to comply with Private Bank active client monitoring policies
Provide customer service and assistance to Relationship Managers on investigations, systems questions, and general support
Ensure that Information Security procedures are followed for any end user or exception reporting that is produced
Ensure policies and procedures are current and consistent with various Bank requirements. Minimum of an annual certification required
Ongoing training and development on securities and banking functions including various investment products, check verification, account setup in various systems, officer code maintenance, etc
Ensure proper controls are in place to mitigate risks or exposure to the firm
Monitor and evaluate the adequacy of existing services provided and related procedures and look to make improvements
Perform workflow analysis to identify gaps and areas for improvements. Make recommendations to management and assist with implementation
Perform a monthly analysis of specialized statements for Relationship Managers
Provide assistance with UAT, system testing, and implementation
Special Projects
Responsible for effective implementation of new procedures, systems, process changes, and initiatives impacting our department
Make a sound, accurate and timely decisions within scope of authority. Ensure proper decision making and good judgment are exercised on issues that need to be escalated to management for resolution
Performs tasks according to prescribed procedures while using good judgment and sound decisions to work through exceptions or complex situations
Must be able to perform various audits and analysis of reports, accounts, and activities in portfolio details and transactions in order to find and correct errors
Must use good judgment in communicating issues to management attention and escalating matter(s) when warranted, including having to contact custodians, agents, and 3rd parties at times to facilitate resolution
The individual should have a minimum of 5 years of experience working in Banking or a Financial Services environment, preferably Securities Operations/Middle Office capacity
Ability to influence others to achieve set deliverables

155

Operations VP-middle Office Resume Examples & Samples

Reports to the Head of Service Delivery
Ability to work and communicate well with various lines of business and management
Must understand the nature of all products, including equities, options, fixed income, mutual funds, hedge funds, currency deposits, and structured products. Should be familiar with front and back office processes and procedures and possess excellent customer service skills and working knowledge of trading and settlement cycles. Additionally, should have a good understanding of Operational Policies and Procedures and be able to create procedures, and ensure proper controls are in place to mitigate risks, protect information security, and minimize errors
The individual must have a minimum of 5 yrs experience working in Banking or a Financial Services environment, preferably Securities Operations/Middle Office capacity
Must have excellent communication skills, both written and verbal, with good listening skills. Must show politeness and professionalism when dealing with clients and willingness to help. Strong attention to detail. They must be highly organized, self starter, dynamic and demonstrate initiative in enhancing processes. They must be able to work comfortably in a team environment or independently, and have tolerance for high pressure situations. They must also demonstrate strong time management skills and be able effectively multi-task to ensure deadlines and expectations are met. Additionally, language skills (preferably Spanish) are helpful but not required
Must take the concept of information security and client confidentiality very seriously
PC skills a must, especially with using MS Excel
Strong understanding of Operational Policy and Procedures effecting our Operations and the various products, functions and services supported
Self starter with the ability to operate with a minimum of day to day oversight
Must be able to Create Procedures and Reports required to successfully monitor all activity to our Managed Products Client’s Accounts to ensure accuracy of Portfolios
Ability to manage time effectively to ensure deadlines and expectations are met
Must possess sufficient Accounting and Control Skills needed to calculate monthly fee accruals and actual quarterly charges in accordance with Fee Schedules associated with each Managed Product. Must be capable of creating monthly accounting entries and reconciling fee receivable and income General Ledger Accounts by Cost Center
Must possess analytical skills needed to sufficiently stress test any IT initiatives with regard to enhancing our Managed Product automated systems. Must be able to surface any deficiencies in new systems programming before going live

156

Middle Office Senior Manager Resume Examples & Samples

Managing the EMEA Delta 1 Middle Office Team of 8 people split across London Belfast
The key remit for the Regional Head is to define the regional Delta 1 MO strategic roadmap, drive the tech agenda in order to deliver a scalable STP business that delivers best in class client service
The role includes balancing the demands of supporting a fast growing client facing business, as well delivering strategic efficiency saves via Technology and near shore location
The teams function is to provide Trade and Client Support, daily controls supervision and client service for the firm’s top tier Platinum Clients
Daily tasks include supporting Sales and Trading, root cause analysis, liaising with clients throughout the day resolving queries related to swap trade reporting, cash or payment breaks
The team is a conduit between many different areas notably Front Office (Sales and Trading), Settlements (Derivatives and Equity), Financial Control and Technology using their expertise of D1 products to problem solve and ensure support is of an exceptional standard
Successfully manage and lead growing team clearly, communicating team/MO strategy and expected standards
Primary escalation point of the business and other key stakeholders -managing expectations, communicate and fight for middle office priorities whilst also servicing the businesses needs
Lobby necessary stakeholders for buy in and the subsequent delivery of Key middle office tech deliverables
Represent Citi and face off to industry peers / external vendors for industry wide directives / product landscape changes
Previous Management Experience in Client facing and Trade Support role
Previous experience of managing a team which supports a demanding trading desk – ideally Equity Swaps
Experience in movement of functions between teams in different locations
Excellent planning and organisational skills

157

Risk Management Middle Office Resume Examples & Samples

As directed, maintain various transaction and entity data recorded in RBC systems, ensuring timely reconciliation and correction of any errors
As directed, prepare recurring reports for internal and external constituents; ensure submission of reporting for appropriate review prior to distribution
Work with internal and external groups to help ensure transaction execution and operations are completed in compliance with internal policies and procedures, legal document requirements and external regulations
Escalate any issues, control deficiencies and risks you identify to your line manager in a timely manner
Assist with maintenance and preservation of legal documents and other books or records for supported products, businesses and entities
Assist with data analysis and preparation of reporting in response to internal and external adhoc data inquiries
Review and comply with Firm Policies applicable to your business activities
Assist with internal and external audits
Assist with documentation and maintenance of Middle Office processes and procedures

158

Investments Middle Office Resume Examples & Samples

Supporting the investment teams and resolving all trading issues that occur
Business analytics function to support investment teams with data analytics
Ability to multi-task, prioritize and escalate accordingly
Good communication skills and ability to manage various stakeholders

159

Equity Derivatives Middle Office RAD Developer Associate Resume Examples & Samples

Sole responsibility for the APAC MO RAD agenda
Work with the APAC Middle Office management to prioritize the work slate
Communication of progress to senior management
Gather business requirements
Liaise with technology and operations globally to understand potential re-use
Develop, Test, Deploy applications
Adherence to key control/regulatory/audit standards
Solid SQL and stored procedures
Datamodelling
Excel/VBA
Development Lifecycle and Controls
Java
Market Data Systems
Web Services
Understanding of Derivatives products and the trade lifecycle. Equity Derivatives experience preferred but experience of other asset classes is OK
Self-starter who is capable of managing the agenda end-to-end

160

Alternative Investments Middle Office Resume Examples & Samples

Provide support to the Investor community for JPMorgan’s alternative investment products
Support the processing of alternative investment transaction bookings
Support the fulfillment of various client mailings including K-1s, Transaction notifications, and generic fund information
Contribute to various projects related to Middle Office, administration and operations
Ease with technology and client account reference data
Advanced Excel and Powerpoint skills
Team player that can succeed in a dynamic “trading desk” environment
3+ years management experience

161

Executive Director Integrated Middle Office Resume Examples & Samples

Manage the Americas Equities Middle Office; Controlling and facing off to all Equity business lines
Accountable for the definition, development, and execution of the Risk Framework, Strategic planning, Financial & Sourcing plans, Business changes, F2B relationships, and all Workforce management
Responsible for all T0 / T1 transactional integrity, Market data controls, Risk / P&L, and all downstream reconciliations and controls through to the general ledger
Responsible for Daily P&L, Risk Based P&L, and Balance Sheet integrity for Equity Cash & Derivatives products
Active engagement, design, and execution of multi-year F2B Technology and Middle Office Process re-engineering program

162

Cib-na Rates & FX Marketing Middle Office Data Management Resume Examples & Samples

Work on team that performs all aspects of operational support for marketed derivative trades including client set up, booking verification, client trade check out, MWIRE affirmation, clearing, confirmation review, sales revenue reconciliation, start/end of day controls
Manage data program by creating, managing and distributing management, control, project and client metrics
Build and maintain infrastructure from which data can be efficiently and accurately extracted, trended, analyzed
Eliminate manual process by automating data management elements of marketer or client support tasks
Act as single point of contact and respond quickly to all requests for data or data management assistance
Lead and contribute to projects that directly improve data management, trade processing efficiencies, control environment and client service
Train basic data management skills to teammates in order to improve the general efficiency of the team
Bachelors degree required and strong GPA
1-2 years related experience in financial services, derivatives, data management or technology
Construction and maintenance of macros using VBA in Excel and Access
Database design and management - knowledge of Access and SQL
Ability to create standardized and ad hoc business or client ready metrics and data presentation
Knowledge of Swaps, Options, Swaptions, Caps and Floors and general knowledge of exotic derivative products
Knowledge of relevant Dodd Frank Act & EMIR regulations
Familiarity with MarkitWire, DTCC, Bloomberg and other industry utilities

163

Prime Brokerage Middle Office Risk Specialist Institutional Securities Group Product Operations Resume Examples & Samples

On-desk analytical support for PB/IED Risk Management
Monitoring of risk exposures
Providing detailed analytics and reporting in relation to existing and prospective clients
Delivery of strategic and tactical technology improvements
Improvement of controls across the Risk/Margin platform
Ensuring that all client positions and valuations are accurate, that correct requirements are being charged in accordance with the clients' strategies, and that all margin calls are both issued and covered same-day
Working extensively with the PB Risk Management, IT & Client Service teams to build & maintain a controlled & commercial business that leverages the strengths of all our people
Managing operational risk. We are relied upon to manage and highlight operational risk in the margin process. We are the last line of defense in a market or client crisis. You will perform a central role in this defense by challenging the status quo and maximizing the value that the team can add to our franchise
Driving forward the significant change agenda in collaboration with peers in the London, Hong Kong and Singapore Margin/MORS teams
All degree disciplines considered. Strong numerical and analytical skills are a prerequisite
Exposure to hedge funds industry / derivatives products / collateral is beneficial
Enthusiasm for learning and a strong desire to advance their personal & career development
Strong interpersonal skills with the confidence to deal with senior internal clients
Demonstration in their past work and/or academic experience of robust analytical skills and high attention to detail
A self-starter with the ability to work on their own initiative as well as be a solid team player
Computer literate with Excel macro / Access skills preferred
Ability to follow market trends and determine the impact on portfolios

164

Supervisor / Avp-middle Office Resume Examples & Samples

Review monthly reporting package and daily reconciliation work
Assist staff with their daily work as need arises and act as liaison between the client
Monitor compliance of various SLA agreements with the client/ other Offices and negotiate SLA with client
Trade processing and reconciliations processes
Assist and support new fund setups, conversions and migrations
Support the conversion of all new clients
Ensure adherence to all internal and external audit standards
Participate in the fiscal year end audit process and provide information to auditors or other offices
Ensure all control checklists are up to date and utilized
Work with other managers to ensure efficient allocation of staff and workflow
Keep Senior Management abreast of all material issues affecting the processing of deliverables
Manage and provide training to junior team members

165

Middle Office Resume Examples & Samples

Manage the day to day activities on all OTC clients including trade capture. trade life cycle and reporting/reconciliation
Manage daily workload of teams offshore and ensure all team members are working to maximum efficiency
Manage offshore team meetings and ensure quality communication to and from all team members
Work with the business support departments to ensure they are kept up to date with the implementation of any new business
Minimum 5 years experience in Finance / Alternative Investments / OTC background
Experience in OTC trade Capture and confirmations
Experience in client delivery and operations required
In-depth knowledge of OTC’s required
Bachelor’s degree in computer sciences/ accounting/finance or equivalent
Exposure to all aspects of operations from trade capture through settlement and reconciliation
Understanding of XML / FpML (desirable)
Strong OTC/Derivatives knowledge
Understanding of a wide range of Equities/Derivatives instruments types (Equities, Fixed Interest, Credit Default Swaps, Interest Rate Swaps, Asset Swaps, etc)
Exceptional communication and presentation skills
Increase profile by contributing to global projects
Enhanced team building skills by becoming part of a team with close interaction with multiple internal departments and external clients

166

Gwim Registered Group Operations Manager Middle Office Management Resume Examples & Samples

Manage a 4-site organization consisting of 450 associates responsible for delivering client facing and back office support to both Merrill Edge Self Directed and Advisory Center clients and financial advisors (1.4 million client base)
Responsible for core brokerage operations specific to client service, account maintenance, beneficiary/ownership transition support, cashiering, and funds collection/disbursement
Ensure service support standards and turnaround expectations are met via effective resource management, capacity planning and forecasting practices
Partner closely with Merrill Edge line of business to define evolving service support model, identify and implement process enhancements and define implementation tactics to support growing product offerings
Work in partnership with legal and compliance and supervision partners to ensure regulatory requirements are met and managed against, procedures are properly documented and policies are defined and delivered with effective supervision and back testing
Proactively identifies risk to the firm and the client and implements plan to mitigate risk; responsible for successfully facilitating and passing ongoing regulatory and internal Branch examinations
Works closely with Merrill Edge Banking Field Based Advisors to improve the Advisor and client experience and driving growth through effective partnerships and business models
Act as a Merrill Edge service liaison with other Wealth Management and Consumer Operations service and support organizations
Required skills: "Must" have these skills to be minimally qualified
Demonstrated leadership experience with cross functional teams
Strong people leadership and program management experience
Exhibit exceptional collaboration and communication skills contributing to strong track record of successful program delivery and goal execution
Process design and optimization to maximize efficiency and remove defects from the client experience
Client focused, proven analytical and problem solving ability
Prior client service and operational experience within the financial industry, preferably Wealth Management
Knowledge of industry regulations governing the Bank and Brokerage Business
Required Series 7, 66, 9 & 10 (If you are not yet registered, your continued employment is conditioned upon your obtaining your Series 7, 66, 9 & 10 registration(s) within 120 days from your Start Date in this position)
Managing virtual teams and relationships
Demonstrated experience leading multiple projects simultaneously
Demonstrated experience influencing partners, peers, and senior leaders
50+ hrs weekly in Strategic and LOB Management

167

Cib-asset Servicing Middle Office Resume Examples & Samples

Ability to discuss risk management of complex corporate action events with high profile prime broker clients
Adaptability to learn new tasks and demonstrate a willingness to understand the detail of a process
Understanding of process flows: Ability to look at the overall process and explain it to others

168

Cib-custody Middle Office Asset Servicing Resume Examples & Samples

To manage the process and reconciliation of daily corporate actions and also ensure their accuracy
The desire to learn about different types of corporate actions and how they work
Ability to create, maintain and adapt metrics for the group

169

Middle Office Product Control Professional Markets Resume Examples & Samples

A basic understanding of financial markets (Equities, Foreign Exchange, Interest Rates, Commodities) and Derivative Products
Self starter, well organized, ability to meet tight deadlines
Superior attention to detail
Capability to analyze credit support agreement language
Ability to identify and raise issues for escalation
Ability to effectively engage with global peers
Strong MS Excel or Access skills
Understanding of a control environment
Background knowledge of or previous experience in Collateral
Experience communicating with clients
Process improvement skills

170

PS Flow Middle Office Resume Examples & Samples

Provide timely & accurate service to both internal and internal clients
Production of the trade management exception report to clients
Investigation and resolution of swap-hedge breaks

171

Cib-cem Middle Office Resume Examples & Samples

Cancel and Amendments of CEM business trades in various Risk Management systems as per Business requirements in accordance with internal policies, legal and regulatory rules
Reconciliations between internal and external platforms to assure data integrity of CEM trading desk transactions
Monitoring of off market trades
Managing of MIS reports as volumes of cancels & amendments, new trades, off premises, off market deals, nostro breaks and unconfirmed deals
Participation on UAT tests
Trade capture of swaps
Government bonds settlement process end to end monitoring
INPV control
Collateral Management control for derivatives
Instrument authority control

172

PS Flow Middle Office Resume Examples & Samples

Position – identify, reconcile all position breaks between Swap and Hedge bookings, inc those relating to Corp actions, stock up/downs, book up/downs and small breaks
Price – identify, reconcile all price breaks between Swap & Hedge bookings. Force match for Market charges
FX – identify, reconcile FX breaks between Swap & Hedge bookings, as well as those caused by dividend bookings
Coupon rec – identify, reconcile and confirm what has been booked in PrimeSwap versus trade booking in settlement system
Working with IT, Asset Serving, Front Office Traders, TA’s PC on ad hoc queries

173

CIB Ops-middle Office Accounting Services VP-boston Resume Examples & Samples

Lead a team of professionals that serves as the primary contacts for Client Queries and Issues across a vast Client Base
Work with Technology, Operations and Stakeholders to determine process improvements and strategic direction, including development of Best Practices and SOP's
Responsible for Issue Management, Escalation and Remediation
Coordinate Client Requested Changes to Operating Model and Reporting
Responsible for Client Behavior changes associated with all JP Morgan’s services and initiatives/programs
Lead and coordinate client service reviews, meetings/client workshops and represent JP Morgan at industry events. Thorough knowledge of new Industry and Regulatory requirements including new security types
Coordinate, Manage and Oversee Client Fund Launches, Migrations and Fund Events including Redemption/Purchase in Kind processing, Fund/Class Mergers and Liquidations, Fund of Fund and New Fund Launches to a sucessful conclusion
Successful delivery of all Client Adhoc Reporting and Extensive Client Communication, and Presentations to Senior Management
10-15 years of experience in Operations
Strong technical skills including accounting principles and theories
Knowledge of '40 Act Accounting-Fund Accounting, Financial Reporting and Tax Operations
Ability to be effective in a global operating environment and a matrix management organizations
Exceptional leadership and staff development skills with prior team management experience
Excellent communication, influencing and negotiation skills with the ability to develop and maintain collaborative relationships both internally and with external clients
Strong client service skills
Analytical skills, problem solving, good critical thinking and decision-making skills
Experience working across multiple business areas and/or functions to deliver results
Excellent verbal and written communication skills; executive presentation skills
Ability to work independently and multitask in a fast paced environment
Working knowledge of one or more CIB/FSO product, service or operations areas preferred
Relationship building skills - develop internal and external partnerships to drive results
Expert use of Microsoft Project, Word, Excel, PowerPoint, Visio and ability to present to senior management

174

CIB Head of Custody Middle Office Resume Examples & Samples

Excellent prior custody operational experience along with managing staff
Ability to work closely with business partners and interact with all staff levels
Ability to manage through a changing business landscape
Subject matter expertise in Equities, Fixed Income & FX

175

Middle Office Section Manager Resume Examples & Samples

Manage, motivate, develop and support teams, team leaders and supervisors performing Business as Usual for the Department: Middle Office products coverage of Capital and Money Market transactions - executing on behalf of Clients. The products in scope (but not limited to): Securities, FX, Deposits and Money markets, Derivatives
Active management through goals, KPIs and quality indicators
Work with the Implementation team, Product, Technology, Oversight and Clients to understand existing processes and business requirements
Build effective relationships with processing teams globally
Continuous monitoring, review of processes to highlight opportunities for application improvement

176

Equity Middle Office Control Specialist Resume Examples & Samples

Review daily KPIs, daily reconciliation summaries, daily outstanding issues, and review of linking (procedural breaks)
Analyze exceptions, determine the best course of action, and quickly and effectively communicate the remedy across various groups
Suggest and implement booking, IT, and/or reconciliation specification changes to improve control and/or increase capacity
Liaise with Trade Support and other teams to quickly and effectively resolve problems
Identify and prioritize high risk items in order to resolve issues with little to no negative downstream impact (settlements, confirmations, credit exposure)
Communicate clearly, effectively, and quickly to various stakeholders on a wide array of business flows
Work on Performance Excellence (PEX) initiatives to improve control and increase capacity
Coordinate mapping table updates and specification changes to facilitate business demands
Provide management and other stakeholders with transparency into the control environments
Produce end of day risk reporting
Uphold the utmost process integrity
Effective and quick management of queries
Partner with Trade Support and IT to highlight and deliver increased STP
Time management skills critical
Ability to multitask several critical processes
4 year degree or international equivalent
3-5 years industry specific experience
Excellent Excel and basic VBA skills
Knowledge of Equity Products
Familiarity with UBS risk and settlement systems
Understanding of post trade workflow

177

Team Lead, Middle Office Resume Examples & Samples

Monitor a small team so as to ensure an efficient and accurate trade operation process
Cove all the aspects of post execution trade flow including trade entry, monitoring, confirmation, reconciliations, reports etc
Register trades at clearing houses in the region to ensure they are cleared and issues are escalated
Work closely with brokers to provide operations support and act as the bridge between them and external clearing houses and exchanges

178

Structured Equity Derivatives Middle Office Resume Examples & Samples

Processing of all derivative lifecycle events: Corporate Actions, Expiries, Novations, product rolls
Flash PNL production
Resolution of all reconciliation queries
Confirming the accuracy of trade bookings
Query management and resolution for other Corporate functions: Product control, IT, Tax etc
Daily and weekly operational metrics review
Participation in cross departmental initiatives
Goal setting, people management and development, cross training and performance appraisals for a small team
Effective resolution of stakeholder queries and issues
Reviewing and analysing all key operational metrics impacting the Equity Derivative products and presenting these to the head of Structured Products MO
Reviewing new process flows and signing off on any new business initiatives that impact Structured Equity Derivatives Operations EMEA
Contributing to the wider Structured Products GMBS group to align and improve process and controls across all products
Keeping abreast of regulatory developments and work with the business to ensure the firm remains compliant
Proven ability to manage and develop individuals within a middle Office environment
Flawless execution of Structured Derivative process flow and lifecycle events
Ability to multitask and prioritise your workload accordingly so operational risk is minimised
Ability to understand an ever changing regulatory landscape and articulate to senior GMBS managers and the business
Ability to deliver multiple tactical and strategic projects for multiple stakeholders
Ability to build sustainable working relationships with the front office and other Operational stakeholders
Excellent Equity Derivatives operational processing knowledge
Thorough theoretical understanding of various Equity Derivative products
Excellent knowledge of the various listed derivative exchanges and the products traded on them
Excellent knowledge of the Equity Derivatives market infrastructure i.e. Exchanges, Markitwire, Brokerage, ISDA documentation
Thorough understanding of the regulatory environment for Equity Products
Proven ability to identify and deliver process enhancements within a Middle Office team
An understanding of broader structured products outside of Equity Derivatives is desirable

179

Manager Middle Office Resume Examples & Samples

The Middle Office team has responsibility for all processes and functions relating PIM and Institutional middle office services, as well as oversight of the fund accounting and valuation of all HSBC Mutual and Pooled Funds
3-5 years of experience in the mutual fund or asset management industry. Background and experience in fund accounting and valuation is desired
Post-secondary degree in Finance or Accounting, or accounting designation
Excellent organization and supervisory skills. Ability to prioritize and multi-task and delegate responsibilities effectively
Able to work and adapt in a fast changing environment
Attention to details and ability to work under pressure and deliver on tight timelines

180

Jpms Middle Office Project Analyst Resume Examples & Samples

Manage various projects related to middle office, administration, and operations for the JPMS Business, including business process analysis and new product and technology initiatives
Coordinate with various areas of Operations, Middle Office, Finance, IT, and Senior Management to build business requirements, procedures, and processes
Assist with all day-to-day Client and Financial Advisor inquiries directed to the JPMS Middle Office
Assist with Operational issues relating to pricing, trade breaks, client data, etc
Support issue resolution for all Operational issues escalated by all 7 regional branches in the US
Manage monthly trade-related reporting, as well as trend analysis projects for Senior Management

181

Middle Office Snr Administrator Resume Examples & Samples

Assists with the maintenance of documentation of process flows, administrative summaries, and standard operating procedures
Coordinates small internal and external client project work
Performs quality reviews of work processed by other team members and may provide training and support to junior staff. Provides operational support to various cross-functional teams
Must be able to manage the trade flow from the client to the underlying target fund to close out each trade completely

182

Middle Office Product Manager Resume Examples & Samples

Extensive and proven end to end working knowledge of Middle Office (Trade Processing, OTC, IBOR and VCA) services gained within a top-tier Asset Management company or Service Provider. Ideally, a minimum of 5 years experience
Knowledge of Listed and OTC Instruments and regulatory reform experience essential
Experience with Order Management systems (OMS) used by Buy side clients and a good understanding of the OMS market place and competition
A thorough understanding of upstream and downstream processes to the middle office services in scope so that the full impact of changes to the service offering are understood and managed
Proven leadership skills, including motivation and team building
Experience with re-engineering operational processes to gain efficiency and reduce operational risk
Ability to understand financial modelling and able to articulate business cases to senior management using Microsoft suite
A driven and proactive approach to work
Ability to work under pressure, prioritise workload and to meet tight deadlines
Tenacious with proven common delivery
Excellent communication skills, both orally and written, and the ability to communicate at all levels
Communicate with clients functional experts and management
Ability to work unsupervised by using initiative
Business, Engineering or Mathematical degree educated
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience

183

Corporatetreasury Middle Office Resume Examples & Samples

Deploying the firm’s excess liquidity
Managing the firm’s funding and liabilities
Aggregating and managing the structural interest rate and foreign exchange risk of JPMC’s four main businesses
Managing the firm’s liquidity risk and its regulatory compliance
Partnering with Corporate Treasury, JPMC core lines of business (LOBs) and Risk Oversight to produce key reports and metrics for regulators and senior leadership to measure and validate JPMC’s liquidity and structural interest rate risk
Overseeing the operating model supporting the sourcing and flow of data from LOB systems of record to ensure data integrity through variance and trend analysis and reconciliations to the Firm’s general ledger
Management of change to the operating model, system architecture, and interest rate risk models where the team’s functions are dependent
Sourcing and enriching data inputs used in the calculation of key SIRR metrics including Basis Point Value (BPV) and Earnings at Risk (EaR)
Reconciling source data to the firm’s balance sheet and other golden sources to maintain the integrity of data used in the risk calculation process
Coordinating BPV and EaR modeling runs that drive formal risk reporting with external regulators and internal Treasury and Risk Management teams
Partnering with contacts in the firm’s lines of business, control and oversight and interest rate risk strategy team to investigate and explain threshold breaches with source data and explain and resolve variances identified in reconciliations
Continuing to improve the end to end data model by participating in initiatives to streamline the data sourcing model and improve the quality of data sourced
Participating in process improvement initiatives across the team as needed
Improve their understanding of asset and liability management principals for a balance sheet in excess of 2.5 trillion
Develop a good understanding of the key risk metrics and scenarios used by a financial institution to manage its interest rate exposure
Learn how the middle office team sources, transforms and reconciles inputs to the SIRR reporting process and how data is loaded and modeled in one of the leading vendor risk systems
Improve their technical skills specifically around data management and ad hoc data analysis using Excel and VBA
Develop relationships with contacts in each of the Firm’s main lines of business and a high level understanding of each of their balance sheets
1-3 years experience in financial control or operations background with an understanding of asset and liability or balance sheet management principals
Expert technical skills (particularly in MS Excel and Access). Knowledge of VBA, SQL or other financial modeling and statistics platforms a plus
Basic understanding of interest rate risk principals and metrics such as BPV, DV01, EaR, EVE, DOE
Strong analytical and quantitative skills, critical thinking, investigative problem-solving and decision making talents
Ability to work under pressure, prioritize multiple tasks, and bring tasks to complete closure
Organized and able to execute responsibilities with minimal supervision
Strong written and verbal communication skills with ability to prepare executive level presentations
Bachelor’s degree in Finance, Economics, Statistics, Math or other quantitative field
Familiarity with the following systems is a nice to have: QRM, CDGL, SAP, FDW, LRI

184

CIB Operations Collateral Ops Middle Office Bournemouth Resume Examples & Samples

Own the resolution of Collateral Disputes relating to Negative Interest
Provide Support to the Collateral Client Service teams and Settlement teams. i.e. Drive the STP Agenda, Cover Settlement processing
Control focus. Ensure the teams QA, SOX and Control Agenda is completed to deadlines
Ad-hoc Data manipulation/analysis
Impact assessment & driving process/control & technology changes to comply with Regulatory Changes
Help define the strategic operating model to support initiatives brought on by mandatory OTC Clearing and proposed rules on Non-Cleared derivatives
Coordinate with clients and technology to drive change that will meet client needs while ensuring the operational process remains controlled
Identify system enhancements to improve the user/client experience and work with technology to implement
Oversight of User System Testing/Training as required
Partnering with the managers of the client on boarding, client service operations and core processing/settlements teams to implement and enhance operating models
Identifying opportunities to improve the quality of service delivered to clients. Client education (as required)
Continuously improvement and focus and providing feedback to other groups in relation to where processes/controls could be enhanced
Change Management & Project support; includes providing key SME input, development prioritization and business requirement reviews
Partner with Technology in the build out of the strategic collateral platform
Further development of KPI’s/Metrics and generation of tracking/scorecards
Timely and appropriate escalation and ownership/resolution of issues
Management of a portfolio of clients, providing consultation and expert advice
Facing internal and external clients, to involve resolving relationship issues and significant client matters on behalf of the business
Issuance, receipt and monitoring of margin calls in accordance with the terms of the collateral agreements for OTC Derivatives and Repos
Resolution, control and escalation of collateral disputes and fails to senior management and credit risk teams
Recording, reconciliation and control of cash or securities received/posted as collateral
Key objectives of this team are to provide clients with the option of receiving single consolidated reporting/statements, a single funding point for settlement activity and a single point of contact for supporting daily activity across Derivatives Collateral Management, Derivatives Settlements, F&O and Repo. The Bournemouth based Client Service Representative team primarily deals with buy-side clients (Hedge Funds, Investment Advisors/Asset Managers), Banks and partners internally with various Marketers/Salespeople, individuals in Prime Brokerage, Credit Executives, Middle Offices, and Line of Business Operations Teams
Strong Project Leadership/Management skills
Experience of managing/working in Client-facing Operations teams
Client focused with the ability to balance client demands with the need to limit manual processing in a controlled environment
Proven track record of driving change, improving processes and controls, and automating manual processes
Working knowledge of OTC Derivative products, Futures & Options, Repo or similar background (e.g. Securities processing)
Problem solver with the ability to assist in the development of solutions for clients and business partners in a challenging and changing environment
Proven experience of effective relationship building with a wide variety of stakeholders, including business/front office partners
Must possess heightened communication skills, as the role involves detailed interactions across multiple lines of business and core processing areas
High level of accuracy and attention to detail is required
Strong Risk and Control Awareness & Mindset – with the ability to push back on stakeholders when risk/controls could be compromised
Working knowledge of Collateral Management and supporting Legal documentation (Eg. ISDA, GMRA)
A deep knowledge of OTC Derivatives, F&O and/or Fixed Income products
Business Objects reporting – experience of building/modifying reports for management information/analysis an advantage

185

Middle Office Product Control Analyst Markets Resume Examples & Samples

Maintain a strong focus on controls
Provide Daily PnL Explain Reporting for various trading desk within the Municipal Markets Division covering highly structure products (various Muni Bonds, Credit and IR Derivs)
Reconciling Daily, Monthly and Year to Date PnL to the General Ledger
Work Closely with Finance, Trade Support, Front Office, Compliance, Technology and Market Risk
Ensure that the Control Framework is in place for processes, identify control gaps and implement enhancements
Embrace and proactively drive change. Need to be able to identify flaws in the current processes, originate new ideas of how we can better support our Businesses and implement them
Liaise with many different groups across the organization and globe
Ad hoc projects and other various Middle Office initiatives to streamline daily processing and increase controls
Previous exposure to Product Control and Derivative products would be preferred
Strong problem solving and project management skills
Ability to work under pressure and strong organizational and multi-tasking skills
Team Player: must demonstrate a “can-do” attitude necessary to create good relationships with traders, management, other business partners and the Bank’s customers
Strong understanding of fixed income products or structured products
Must be able to fully understand the impact of current and future IT developments on existing P&L processes and play a role in their implementation
Is able to see the big picture, to identify non-optimal processes, to propose solutions and to implement them within timelines and cost constraints

186

Cib-prime Brokerage Middle Office Asset Servicing Resume Examples & Samples

To understand the security movements and cash flows associated with each corporate action and to respond to client inquiries
To be able to work within a team and lend assistance as needed as workflows increase for other team members
Ability to manage events form end to end, ensuring all controls are followed
Bachelors degree, required
Control focused
Technical skills : The daily tasks will involve using several applications as well as the standard desktop . Thorough Microsoft Excel and Powerpoint knowledge a must

187

Loans Middle Office Resume Examples & Samples

Work closely with a loan origination and structured lending business as well as internal and external legal teams and agent banks
Coordinate the closing process of new primary transactions, from both the perspective of agency roles, possible syndication activity and as part of a syndicate
Detailed review of loan documentation from an operations perspective, to ensure all potential risks are captured
Manage and develop the Operations process to increase efficiency, monitor accuracy and timeliness, and strengthen controls
Review and assess operational risks on structured transactions and implement strategies to manage them
Work closely with the Mumbai servicing team to ensure the accuracy and smooth running of settlements and the servicing of the loan portfolio
Understand the business and the risk framework, working intensively with the business to assist its growth and ensure compliance
Multiple years experience in loan operations, essentially covering primary settlement but also servicing experience is beneficial
Secondary closing experience is not required but beneficial
Familiarity with and comfort in reviewing loan documentation
Self motivator with the ability to multi task and self prioritize
LoanIQ experience is beneficial

188

Associate, Global Middle Office Resume Examples & Samples

P&L Reporting
Balance Sheet and Income Statement line item management
Analysis and process improvement
Prepare and distribute timely and accurate daily P&L for the Equity Products trading desk and oversight of the entity’s clearing activities, with cross training on Listed Equity Options, US Convertibles, Equity Linked Notes, Total Return Swaps and other Structured Transactions
Review for large fluctuations daily and bring to the attention of management
Perform Front-Office to Back-Office reconciliations
Gain a working knowledge of the trade flow process from inception to G/L
Develop an thorough understanding of the G/L’s and settlement systems (Imagine, ADP, CMART, Coda/Hyperion, MRP, Progress)
Ensure correct bookings in the general ledger
Ensure that new products are set up correctly in the P&L tracking process
This job has cross functional dependencies to the rest of Global Middle Office, CM Finance, as well as Risk, Tax, etc. departments that support the businesses
Strong knowledge of the brokerage industry
Excellent computer skills. Ability to learn systems quickly
Ability to manage multiple tasks and meet deadlines, without compromising data integrity
Strong communication and relationship building skills
Strong customer service and client focus

189

CIB Bacc-cem Middle Office Resume Examples & Samples

Run BAU activities for different Desks
EOD pricing and market data reconciliations
Sales Support
Sales & Traders client values reconciliations and reporting to Front Office
Broker fees reporting
Trade Management process, breaks resolution, follow up and escalation of unresolved breaks
Metric production and analysis
Establishing and maintaining excellent relationships with the Business as well as the people in the Client support/Ops groups
Proactively identifying problems and proposing solutions
Taking active participation in process improvements and automation
Ensuring that the defined KPI's for the team are consistently met and providing root-cause analysis with robust action plans in case of errors
Students of Finance, Accounting, Economics or Engineering
Graduation in 12/2016 or later
Fluent in English; Portuguese is a +

190

Securities Analyst Middle Office Trade Processing Confirmations Resume Examples & Samples

Ensure trades are processed on daily basis and clear trade capture related exceptions
Perform Security Master Setup for non-listed securities in accordance with procedural guidelines
Ensure all internal and external SLA for trade capture, security master, confirmations, and settlements are met timely and accurately
Assist in root cause analysis of common discrepancies between client and broker’s instructions
Ensure all team procedures are updated, completed, and maintained across all clients and processes
Foster strong working relationships with internal / external stakeholders, including Oversight teams, by demonstrating committed inclusion in relevant forums, projects, business developments
Work directly with clients, brokers, and custodians to ensure all trades settle
University degree in Finance / Economics or related discipline
High degree of analytical agility
First-rate communication / presentation skills
High level of computer literacy and familiarity with standard financial products such as equities, options, futures, bonds, and asset backed
Strong business acumen and the ability to build partnerships with operational associates
Ability to act and resolve problems independently
Experience with Bloomberg, Reuters and other data vendors will be a plus
Focused on details when performing the tasks and ability to handle risk

191

CIB Ops-ib Risk Middle Office Business Analyst Resume Examples & Samples

Perform detailed business analysis for large scale initiatives as part of the CPG Project Team
Manage and implement small to medium sized projects to deliver both a Middle Office and Front Office focused agenda
Assess and analyze market and operational risks with every change, controlling impacts and providing results to Front and Middle Office management
Produce implementation plans and timelines covering all aspects of a project cycle
Provide regular updates to senior management in Technology, Middle Office & other key business sponsors
Gather business requirements, perform detailed analysis, and produce associated functional specifications where required
Partner with Operations, Technology and Front Office groups globally within JPM to define and implement new requirement
Contribute to strategic decision making process and work with the business to define and prioritize the project agenda
Join PWGs and provide regular status updates to key stakeholders
Ensure effective communication of all change, ensuring that the relevant Front Office, Operations and Technology stakeholders are engaged and all issues and risks are identified and escalated
Substantial Investment Banking experience
Business analysis skills and associated experience
Thorough knowledge of the project lifecycle
Ability to demonstrate both traditional and agile based business analysis skills
Experience in working with technology development teams throughout the project lifecycle
Strong background of understanding end to end lifecycle of Rates Derivatives including product knowledge, trade capture, PnL/Risk
Good understanding of pricing and impact of using different discount curves to price derivative transactions
Excellent analytical, and problem-solving skills as well as understanding complex flows
Excellent written, verbal and presentation communication skills including extensive experience of interaction with senior management
Ability to work in a fast paced dynamic environment
Works well with others and is a good team player
Able to build relationships and influence others including technology, LOBs and other business partners

192

CIB Ops-ib Risk Middle Office CSA Discounting & Optimisation Resume Examples & Samples

Management of the CSA to trade curve assignment process and controls across JPM to make sure all businesses are using the correct discount curve as dictated by DD Trading business
Assessing PnL and Risk analysis for the firm and support of CSA data remediation exercises
Continuous focus on further improving levels of sophistication of process workflows, analysis, risk reporting and new business/product onboarding
Previous derivatives middle office or product control experience with a solid knowledge of IR Derivatives and Financing P&L and risk concepts
Strong organizational and time management skills to multi task and prioritize items
Proactive, self-motivated and flexible with a positive attitude

193

Cio-middle Office Resume Examples & Samples

Responsible for daily risk & P&L generation and other middle office key controls
Work closely with technology to streamline operational workflow
Devise test plans for technology release rollouts
Troubleshoot complex spreadsheets in real-time
Driving synchronization of P&L & technology engagement in the delivery of change and enhancements
Expert in MS Excel, preferably with some macro or Visual Basic knowledge
Experience with MS Access/PowerPoint
Ability to quickly understand a complex matrix of operating systems and their inter-relationships and dependencies
Knowledge of Agency MBS, RMBS, CMBS, ABS & CLO products is preferred
6+ years of work experience in the finance and/or accounting industry

194

Banking Middle Office Client Manager Resume Examples & Samples

Providing the single point of contact for onboarding, renewal and off-boarding activities across the Banking Middle Office location (at a Country, Sector or Sub-sector level depending on the scale of the operation within the operating location)
Working closely with Global Banking Relationship Managers and Products Sales to pro-actively drive onboarding for the client to ensure all requests (new business, renewals and exits) are captured, prioritized and resolved within agreed timeframes. For new business, supporting the GBM Relationship Managers with client selection and suitability activities
The Banking Middle Office Client Managers will need to demonstrate a strong ability to build effective relationships with both internal and external clients / stakeholders to expedite resolution of onboarding issues
The Banking Middle Office Client Manager plays a central role in managing client onboarding for GBM – operating in a dynamic, pressurized, time-sensitive environment, the Client Manager interacts with a wide range of internal and external stakeholders which includes the client, Relationship Managers, Credit due-diligence, Client Documentation Group, KYC & Client Due-Diligence, Entity & Account Maintenance and product partners to ensure all requirements are understood to support key BMO services
Proficiency in using MS Office software is essential, particularly MS excel, PowerPoint and Word
Good abilities in use of internet search engines
Strong business knowledge and a working knowledge of onboarding and the products that are utilized but with the ability to gather SME’s when required to fill the skill gaps; Strong knowledge of the regulatory requirements

195

CIB Ops-ib Risk Middle Office CSA Discounting & Optimisation Resume Examples & Samples

Management of the CSA to trade curve assignment process and controls across JPM
Support of DD optimization activities including
Providing adhoc scenario risk analysis the desk
Supporting of risk and optimization feeds received from across JPM, chasing technology and LOB for resolution
Assist with the production and distribution of daily, weekly, monthly and ad hoc senior management regulatory controls metrics reporting
Previous derivatives middle office or product control experience with a solid knowledge of IR/Credit Derivatives and Financing P&L and risk concepts

196

Cib-prime Brokerage Middle Office Asset Servicing Resume Examples & Samples

End to end ownership of the Asset Servicing and support process which includes coordinating all aspects of delivering best-in-class Operational Service to clients
Partnering with clients to understand business and service needs. Validating client requirements vs. services offered and implementing support processes
Operations calling program to include service reviews with client, help track client service metrics and onboard new 'BAU' services and capabilities for existing relationships / accounts to meet client evolving needs
Works as a part of the global team performing handoffs of multi-regional clients where necessary
Strong Corporate Actions knowledge
Experience of process reengineering
Strong knowledge of Equity and Fixed Income products
Custody, Prime Brokerage or Middle Office background desirable
Possess initiative and problem-solving ability

197

AM Private Bank Credit Middle Office Resume Examples & Samples

Partnering with our business colleagues and the ultimate user community to ensure the proper definition of requirements, testing,training and integration of the various platforms into the BAU business processes
Prepare for and manage initial code delivery to include creation of test cases, use cases, working with Central Testing Team to create test scripts, tester training. Also includes a Pre SIT/SIT review of code and coordination of UAT signoff among appropriate groups
Own Business relationship, reporting, communication and signoff
Experience in the testing lifecycle management, inclusive oftest plan definition, execution and preparation of information to senior management to enable signoff on a deliverable
Series 99 or equivalent within 120 days of start

198

Middle Office Senior Analyst Resume Examples & Samples

Experience in a Middle Office or related Operations role is desirable
Computer literate and ability to grasp several in-house systems quickly
Strong numerical skills

199

Middle Office Funds Specialist Resume Examples & Samples

Asset Servicing of Alternative products, ensuring correct processing and communications around Corporate Actions, Transfer and Retrocession monitoring processes
Daily and Month end Cash and Security reconciliations, including identification and resolution of issues
Coordinate with front office in the receipt of client documents and organize such documents for review
Providing data analysis and metrics to senior management
Support of the project agenda (both ad hoc and strategic) to meet the changing requirements in the industry as well as driving efficiency gains and risk reduction
BS/BA Degree – Legal, Accounting, Finance or Business preferred
Chartered Alternative Investment Analyst (CAIA) a plus
Strong risk and controls awareness
Team player with a strong sense of ownership
High level of integrity
Ability to take a corporate perspective
Excellent written & oral communication skills in English
Microsoft Word, Excel, PowerPoint proficiency is required, Access a plus
Experience with Olympic Banking System a plus

200

Cib-ce Sales Middle Office Resume Examples & Samples

Performing essential daily controls with attention to detail and awareness of the controls” importance
Being the project / Initiative lead for various projects / initiatives across the middle office facing off to technology / finance / front office and various other groups
Control focused with an ability to identify and close control gaps in an effective manner
Driven to complete projects / initiatives on a timely basis with the ability to extract deliverables from partner groups
Fluent in English, Written and Spoken
Excel advanced user, with an ability to analyze and solve problems quickly utilizing advanced excel data manipulation techniques
Graduation in 2017 in Administration, Accounting, Economics or Engineering

201

Operations Middle Office Internship Resume Examples & Samples

Perform all aspects of operational support for derivative trades executed by marketers including inception/execution, client set up, booking verification, client trade check out, MWIRE affirmation, confirmation review, sales revenue reconciliation,
Comply with all trade processing controls and regulatory requirements
Escalate problematic trades to Sales, Middle Office and Operational Management as required
Onboard clients to preferred electronic matching utility (MarkitWire)
Related experience in business, sales, finance or derivatives
Motivated, high energy individual who works well under pressure and is resilient
Interest in financial markets and knowledge of derivative products including Swaps, Options, Swaptions, Caps and Floors
Interest in Dodd Frank Act & EMIR regulations
Knowledge of industry utilities, e.g. MarkitWire, DTCC, Bloomberg and other industry utilities

202

Integrated Middle Office Structured Products Onshore Manager Resume Examples & Samples

To ensure T0 trade data integrity (completeness, accuracy and timeliness). This mandate includes independent trade booking verification, validation of the end-of-day pricing environment (eg, curve marking timeliness/consistency)
To facilitate the production and sign-off of an accurate T0 PnL, and T+1 reconciliation with the actual PnL in partnership with Finance and to ensure completeness, accuracy and timeliness of post T0 trading processing and data flow
To perform Front-to-back reconciliations and manage Life cycle management related processes
To Monitor and improve where needed transaction flow into all consumer functions (Operations, Finance, Credit and market risk)
To fill a critical role in ensuring that trade booking practices adhere to pre-defined trade booking models, effectively acting as gateway into the Bank’s front-2-back infrastructure and maintain Static data maintenance – set up curves and bonds, maintain correct system mappings

203

Middle Office Product Control Senior Professional Markets Resume Examples & Samples

Understand current process / system flows across the equities infrastructure
Complete analysis and documentation of detailed business requirements. Make sure these are captured correctly on the product backlog, with detailed acceptance criteria
Co-ordinate global testing related to projects being worked on
Deliver on Equities strategic initiatives for the Middle Office
Partner closely with Front Office, Middle Office, Finance, Operations and COO teams (including Sr. Management) and Technology Partners to define/re-define business processes and implement related technology solutions
Manage medium/large sized change projects within Equity Support areas
6+ years performing business analysis/definition and Program Management to support large projects and business change
Proven track record in delivering process efficiencies and system change projects
Strong Understanding of financial processes
Experience in Middle Office/Finance/Operations re-engineering initiatives
Demonstrate the ability to work closely with business partners and execute on their specified goals and direction
Ability to organize, prioritize, multitask and perform in a time pressured environment
Strong verbal and written communications skills to engage with various levels of stakeholders
Strong analytical skills to evaluate the information gathered from multiple sources and present complex data in a coherent manner
Be a team player and must take initiative and ownership of tasks
Strong product knowledge in Equities products
Experience in project management role
Exposure to various project methodologies and tools
Proficiency in writing/reading SQL
Experience/knowledge in programming languages preferred (.Net, Java, Python)

204

OTC Middle Office Technology Lead Resume Examples & Samples

Lead the integration of Calypso with the other applications that provide OTC Derivative Middle Office Services for Citi's Investor Services Clients
Act as hands-on Business Supplier Relationship Manager for the Calypso vendor based in San Francisco
Manage the book of work Calypso Application Development Team. This is a global team with staff based in New York, Dublin, and India
As Application Manager, be accountable for application stability, system uptime, escalation point for Production incidents
Create clear and transparent technology solutions that are scalable, communicating the need to avoid customised logic in favour of generic functions
Ensure Citi’s design and control standards are adhered to and managing any open design issues to resolution
Extensive experience in Calypso modelling and implementing OTC products from a fund administration/middle office servicing perspective
Will be based out of Dublin
Will manage a global staff based out of Pune, Dublin and Jersey City
Will manage the vendor relationship
An in-depth knowledge and professional experience of Calypso Technologies Inc. derivatives valuation and trade processing software
First rate understanding and professional experience of cross asset class derivative valuation models covering interest rate, FX, equity and credit derivative products
Working knowledge and experience of downstream accounting systems such as Advent Geneva or Multifonds is highly desirable
Professional experience in derivatives valuation using independent OTC valuation providers such as Markit and SuperDerivatives
Sound Middle and Back Office derivatives processing experience, to include client Order Management Systems, Middle Office Monitoring systems, Settlements, Custodian Funding, and Collateral Management
Sound business analysis skills
Extensive years of professional experience in the valuation of derivatives using Calypso 11 or higher
Should have understanding for APIs required to extend or add data to the Calypso system, and to build interfaces between Calypso and external systems (data uploader framework)
Expertise in developing technology in support of pricing models and market data feeds which require on-going evaluation based on market fluctuations
Experience designing / building front-to-back trade capture and work flow processing systems will be especially valuable

205

Middle Office Senior Specialist Resume Examples & Samples

Investigation and resolution of any inconsistencies between brokers’ and clients’ trade instructions
Investigation and resolution of trade exceptions and validation errors
Providing business support for all Middle Office functions
Close co-operation with various stakeholders
Working in a fast-paced, dynamic environment supporting timely and accurate trade settlement process and maintaining client service levels
Co-operating closely with business stakeholders (both internal and external) that form the Global Middle Office structure whilst ensuring compliance to local and global regulations

206

Middle Office Team Manager Resume Examples & Samples

Develop effective talent retention programme
Delivering relevant information to all stakeholders enabling efficient settlement process
Ensuring effective MIS process
Supporting colleagues and peers during peak volume periods and other absence
Display appropriate involvement in Department strategic planning and execution of priorities/goals

207

Mortgage SVP Middle Office Secondary Marketing Resume Examples & Samples

Oversees the process and procedure of performing approvals of sellers of bulk servicing
Ensure MB Financial compliance and documentation requirements are met
Leads client approvals and client relationships as well contract execution with Private and Agency investors
Ensures audit requirements are met
Ensures that Trade Desk interaction as it relates to bond notifications, confirmations and pooling and delivery are carried out with best practices
Supports, enhances, and helps lead within our MB financial culture and role models within cultural pillars

208

Infrastructure Middle Office Risk & Control Resume Examples & Samples

3+ years of experience in the investment banking industry
3+ years Microsoft Office experience
Intermediate MS Excel skills w/ understanding of databases
1+ years prior experience within an area focused on improving the controls framework
Intermediate MS PowerPoint skills with strong written and oral communication skills
Demonstrated problem solving skills and research abilities
Ability to function proactively with minimal supervision
Knowledge of transaction lifecycle
Solid understanding of financial concepts

209

Middle Office Senior Analyst Resume Examples & Samples

Foster strong working relationship with internal and external stakeholders, by demonstrating committed inclusion in relevant forums, projects, business developments and service calls
Provide effective training for new colleagues
Support manager with running team meetings, providing feedback for 1-2-1s and yearly appraisals
Ensure all Team procedures and audit requirements are updated, completed and maintained across all clients and processes
Ensure effective MIS process within own team, effectively attend relationship calls
Ensure all internal and external audit requirements are met with no delays
Take ownership of clients' ad-hoc queries and requirements across the team
Ensure all mandatory training is completed with no delays

210

Risk Middle Office Credit / Market Resume Examples & Samples

Ownership and regular oversight of data quality relating to Credit and /or Market Risk processes
Designing and setting up new business processes in relation to Credit Risk calculations
Process management to support Risk Stress Testing
Development of Infrastructure to support Risk Stress Testing
Tracking timeliness, accuracy, and completeness of risk data through KPI’s
Representation of the Risk Department on firm-wide Data Governance councils
Management and development of ad hoc regulatory processes in relation to Risk capital
Knowledge of financial products is preferable, including an understanding of CVA, Credit Risk metrics Market Risk Metrics and corresponding capital calculations
Suitable candidates will have a strong academic background
The candidate should be highly organized, with close attention to detail

211

ICG O&t-middle Office Intermediate Analyst Resume Examples & Samples

Degree is preferred
Good grasp of Fixed Income/OTC/FX products and exposure to Clearing and settlement are pluses
Experience in Markitwire
Attention to detail and excellent time management
Able to liaise with internal and external customers at all levels

212

AML Middle Office Process & Procedures Manager Resume Examples & Samples

3+ years of experience in creation, delivery and maintenance of process and procedures
3+ years of experience with banking and financial institutions with a focus on Financial Crimes Risk Management and/or Anti-Money Laundering (AML)
5+ years of experience in coordinating multiple training events in a corporate setting
Minimum of 3 years in the training or organizational development function
Two or more years solid experience in creating and delivering training
Experience with Visio and process mapping
Exceptional one-on-one and group presentation, facilitation and communication skills
Extensive knowledge of instructional design theory and implementation
Adequate knowledge of learning management systems and web delivery tools
Proven ability to complete partner with Training and Development Team to generate full training cycle (assess needs, plan, develop, coordinate, monitor and evaluate)
Strong Microsoft Office Suite knowledge (Word, Excel, Access, Publisher, Outlook and PowerPoint)
Advanced organizational skills with the ability to handle multiple assignments
Strong time management skills and ability to multi-task
Problem solving and decision making skills to determine the best approaches to inform employees and meet the needs of the organization
Familiarity with traditional and modern training methods and techniques

213

Equity Derivatives Group Middle Office Resume Examples & Samples

Practical experience working with financial derivatives in any asset class (Equities, Rates, Credit, FX, etc...)
Strong quantitative analytical skills
Ability to collaborate with a wide range of departments and competing interests
Understanding of the Trading Business/Product and genuine interest in understanding how its reflected/processed in the relevant software application
Ability to recognize operational risk and communicate/escalate appropriately
Strong Excel Skills (vlookup, Pivots, sumif, etc...), knowledge of VBA a plus

214

Rates Middle Office Resume Examples & Samples

Provide comprehensive Trade Support for the Rates Trading business
Complete Trade Validation to ensure that the firm's books remain accurate
Complete reconciliations and resolve any breaks
Monitor the lifecycle of the products and in particular option events
Work closely with external clients as well as business partners
Generate daily P&L
Good IT skills and knowledge of Microsoft Applications
Strong analytical skills that will allow you to understand complex products and lifecycles
2 years experience in Derivative Middle Office or an Operations Department
Understanding of Greeks and P&L

215

CIO / Treasury Middle Office Resume Examples & Samples

Graduate from any stream
Good product knowledge in IB. Relevant knowledge on Fixed Income, Money Market, FX & IRS preferred
Understanding on trade life cycle
Smart thinking & quick learner
Controlled mindset to manage critical daily BAU processes & adopt required controls
Average Excel skills
Ability to provide suggestions / implement process improvements
Previous related /MO working experience will be preferred

216

Structured Rates Middle Office Resume Examples & Samples

Partner with the Front Office, Risk, Finance, IT and Operations teams to ensure our policies and controls are implemented and managed across the structured products businesses
Build and maintain a deep understanding of the range of Bespoke and Structured Products Traded and their specific control and support requirements
Understand, maintain and enhance processes utilising your knowledge of the product and transaction lifecycle. Partner with Front Office and other control functions to build and develop control and governance frameworks for bespoke and developing business lines
Build and own key relationships with FO and other stakeholders to support and control business innovation and growth by participating and contributing in stakeholder governance forums
Manage demand and prioritise efficiently to deliver on the commitments and responsibilities across the CTB and RTB agenda
Build, strengthen and influence relationships across functions and internal GMBS teams both onshore and offshore to create consensus and improve collaboration
You will have a strong knowledge of derivatives in a particular asset class, preferably rates or credit and the ability to understand complex financial products and structures
Experience in a middle office environment, or equivalent control function
Have a deep understanding of investment bank products and processes with a track record of process improvement and development
Have the ability to balance demand, thinking holistically around process change
Be a strong communicator, be able to build relationships and challenge stakeholders appropriately
Demonstrate agility and a willingness to adapt to and respond positively to changing trends and agendas
Demonstrate an ability to lead and inspire across your peers and directs

217

Prime Brokerage Middle Office Resume Examples & Samples

Basic knowledge of investment bank products and markets
Advanced knowledge of Excel needed. PowerPoint and Word would be helpful
Highly motivated team player able to demonstrate an ability to prioritise daily work effectively
Excellent written and oral communication skills, ability to present complex subjects in a accessible manner
Ability to build relationships and work with others through influence (rather than authority)

218

Registered Middle Office Unit Manager Merrill Edge Resume Examples & Samples

Manages day-to-day operation of the team and make FTE adjustment onto the different projects as needed
Partners with multiple lines of business to streamline the process and increase efficiencies
Identifies and makes recommendations to leadership to maximize efficiencies and resolve the root cause
Develop consistent reporting that will keep all partners appraised of the various efforts
Maintains strong communication with leadership team to support and improve the associate and client experience
Actively identify gaps in the client experience and service delivery and develop tactics to close gaps
Possession of 7 63 & 9, 10 Licenses
(63/65 (66) Preferred)
Ability to resolve issues promptly in a dynamic environment
Ability to exercise sound judgment and independent decision making skills Positive and professional attitude
Series 7, 63 , Licenses; expected attainment of the Series 9 and 10 within 120 days of taking the role
9, 10 attained within 150 days
BS / BA Degree or equivalent combination of education, training and experience with an emphasis on Finance, Business and/or Economics
Minimum of 2 year experience within the industry
Demonstrates excellence and “above and beyond” customer service attitude consistently in each customer service contact
Computer literacy including: familiarity with online services, PC skills; familiarity with Microsoft Windows environment such as PowerPoint, Word and Excel
Authority to Act, Strategic Decision Making and Principle Challenges
Ability to interact with and influence senior members of other areas of the organization
Ability to motivate and gain the cooperation of others and confidently lead in areas of responsibility
Ability to work on multiple projects simultaneously with little or no supervision/ direction

219

Delta Middle Office SME Resume Examples & Samples

The teams primary responsibility is to act as Single Point of Contact to D1 Top Tier Priority Clients, where they would be expected to build a good relationship by which they can add real value when dealing with any client issue
Face off with key stakeholders such Delta 1 Trading desk, financial control and Settlements by supporting all BAU functions and ad hoc requests
Process Swap Trade allocations accurately in a timely manner

220

Integrated Middle Office Resume Examples & Samples

Notify, maintain and execute expirations and trade events (including Corporate Actions) for various flow & exotic equity derivative products (ETFs, Vanilla OTC & Listed options, Futures)
Maintain reconciliation and checking of P&L reports to ensure proper control of risk management is in place
Review and solve complex trade process and flow problems and act as an interface to the Business, Operations and Finance to ensure all client needs are met in an efficient manner
The candidate will need to understand how the trade is being risk managed and to review the booking within the context of UBS booking policies
Answering booking related queries from various groups within the bank. This involves developing relationships with a variety of internal stakeholders, including discussing booking issues with the desk, querying Trading, Sales and Quantitative Team on discrepancies identified
Produce MIS to inform management of status of outstanding deal reviews
Support on-going process and control improvement projects

221

AM Global Wealth Management MSS Middle Office Resume Examples & Samples

Work with Business partners to document current state, propose alternate approaches and execute recommendations
Partner with large scale Technology programs to drive process re-engineering and end to end thinking
Convey complex technology processes to non-technical team members
7+ years of experience in working on various components of projects spanning technology or business process reengineering or operations
Highly developed financial and other qualitative/analytical skills
Comfortable with presenting to senior level audience
Logical, structured approach to planning, problem solving and decision-making
Excellent at creating visually stimulating Powerpoint & Visio documentation
Deals comfortably with ambiguity and uncertainty; effective at working with multiple functions across regions and time differences
Intellectually curious person who wants to know the answer behind the answer
BS/BA required

222

FX Middle Office Avp-VP Resume Examples & Samples

Check and verify all FX and FX Option trades
Work closely with clients, improving relationships and increasing efficiency in process flow
Confirm trades and settlement details
Perform trade affirmation, ensuring cash flows are prepared and there is sufficient control within the products life-cycle
Ensure that the books are kept accurate, completing flash P&L and reconciliation of trades
Ensure data for FX transactions is correctly represented within regulatory reports
Build strong working relationships with FX desk
Contribute data to regulatory reports for authorities in FX transactions
3 year's experience within Operation or Middle Office
Good understanding of OTC Derivative products
Good grasp of IT systems and in particular Microsoft Office applications
Knowledge of financial accounting and SWIFT
Knowledge of FX Middle Office

223

Cib-custody Middle Office Transaction Management Resume Examples & Samples

Manage and oversee a team in day-to-day efforts as it relates to transaction processing
Ability to streamline operational processes across the entire trade lifecycle, to reduce operating costs and/or increase processing capacity/efficiency across all Global Custody products
Identify areas of opportunity for global consistency within team
Work with Core Operational partners to ensure the Middle Office has a right holistic view of a clients relationships across the bank
Resolve escalated client exceptions pertaining to trades executed away from the firm and with internal execution desks
Create targets for providing enhancing and improving the customer experience
Monitor and establish reporting for trade activity, timeliness of matching, reconciliation of unmatched trades, cancel & rebill trades, cash projects, overdrafts and asset servicing
Ability to represent team in key senior forums including Client/Stakeholder Satisfaction Meetings, Weekly Metrics Reviews, and Project Delivery Meetings
Perform root cause analysis to understand the reasons behind breaks/manual processing and work with respective account managers and/or clients to change behavior
Excellent prior custody and/or prime brokerage operational experience along with managing a staff
Strong financial markets product knowledge and understanding of the transaction lifecycle in Custody and/or Prime Brokerage products
Subject matter expertise in Equities, Fixed Income and FX

224

Interest Rates Middle Office Resume Examples & Samples

Validate trades to ensure that books are accurate
Perform trade and position reconciliation from front to back, resolving any breaks
Continually monitor the lifecycle of the products and any events, in particular any option triggers
Trade Verification
Ensure large book transfers are complete and look for opportunities for compressions on trade novation
Generate flash P&L and work closely with valuations and collateral for Mark to market
Work on large global BAUs to improve and update existing infrastructure and processes
Business level Japanese and English
Understanding of system flows for OTC Products
Good grasp of Information Technology
2 years' experience in Derivative Middle Office or an Operations Department
Basic understanding of Greeks

225

Middle Office Resume Examples & Samples

Management of the CSA to trade curve assignment process and controls
Management of global curve remapping exercises and providing analysis of expected Risk and PnL delivery to the desk
Support of differential discounting optimization activities including
Partnering with Collateral Ops and Settlements teams to meet daily collateral margin and substitutions
PnL and Risk analysis and execution of Global Interest Rate Clearing and Bi-lateral compression exercises
Providing adhoc scenario risk analysis for the desk
Support the trade booking and controls associate with the multiple IR/CR Derivatives and Financing (Repo) transaction traded to hedge underlying risk delivery and meet margin requirements
Supporting of risk and optimization feeds received from across the business, chasing technology and LOB for resolution
Previous derivatives middle office or product control experience with a solid knowledge of Fixed Income and Financing P&L and risk concepts
Ability to resolve issues through conducting research and persistent follow up
Independent thinker, good attention to detail and investigative skills

226

Account Manager Middle Office Resume Examples & Samples

Investigate potential opportunities for account growth and new business
Develop ideas to increase revenue from existing and new clients
Respond to and follow up on request for proposal
Provide presentations on the SS&C GlobeOp portal to prospective clients as a web based portal expert
Provide support to clients on portal training
Encourage and progress portal updates
Assist in devising successful implementation plans for new clients and support the implementation leaders to ensure any implementations take place on time, are executed to a high standard and progress is reported to key stakeholders including providing and managing the project documentation and management information on the progress of the projects
Experience of post trade middle office activities for over the counter derivatives (bilateral and cleared), securities lending and repos. A good understanding of collateral management is also needed and some understanding of middle office activities for equities, bonds and loans
Account / relationship management in a financial services business
Demonstrated track record of strong client service
Word, Excel, PowerPoint, Outlook and Microsoft project
Intelligent, professional, confident and presentable
Ability to work independently and in a team under tight deadlines
Keen to learn and develop
Pro active, helpful, effective, positive, flexible, excellent under pressure, confident and knowledgeable middle office activities
University degree preferable

227

OTC Middle Office Resume Examples & Samples

Ensure trades are booked accurately and are monitored for consistency
Ensure errors are identified and resolved, acting as a first line of defense for operational and market risks
Work closely with the trading desks for all OTC Derivative products
Complete daily reconciliations
Partner sales and Client on-boarding teams to complete account openings
Communicate with global Treasury for FX Trades
Lead global projects to improve systems and control, as well as implementing new regulatory requirements
Experience of working with Middle Office or Operations
Business English and Japanese
Deep understanding of OTC system flows
Experience of working on BAUs

228

Senior.middle Office Annuity Specialist Resume Examples & Samples

Perform daily settlement functions with insurance carriers. Balance and reconcile firm accounts, submit reports to KIS’s clearing firm, and wire funds to carriers
Ensure that all annuity policies are issued correctly at the insurance carriers. Research and resolve issues with insurance carriers related to KIS customer policies and pending business
Handle any funds returned from insurance carriers, adjust customer accounts, and request commission adjustments
Liaison between KIS and its annuity processing vendor (AnnuityNet)
Provide assistance to the KIS sales force with regards to annuity processing
Review annuity business submitted by KIS Financial Advisors and KeyBank Licensed Relationship Managers
Understand annuity position linking and serve as a liaison between the insurance carriers and KIS’s clearing firm
Perform follow up on pending annuity transfers
Project involvement, as needed
Participate and lead training sessions related to annuity processing for KIS home office, KIS FAs and/or KIS LRMs, as needed
Overall knowledge of securities industry and brokerage operations
Strong skills in problem solving, decision making, time management, delegation, ability to meet deadlines and maintaining composure in a fast-paced environment
Ability to build relationships across Key as well as throughout KIS’s vendor relationships
Ability to lead and participate in projects impacting or involving the KIS Middle Office
Prior experience in insurance/annuity products
Life & Health Insurance license

229

CBG Loan Middle Office Resume Examples & Samples

Manage a team handling commercial loan due diligence, documentation and compliance activities for all loan types within the assigned Division. Make decisions on escalated matters
Supervise loan administration and documentation cycle times to ensure that customer and field office expectations are met
Implement and refine "deal team" staffing model to ensure familiarity and trust between administrative and field office staff
Manage routing / triage model for incoming loans with complex diligence or documentation needs based on administration staff expertise and capacity
Manage hiring, training, promotion and career path opportunities to optimize staff expertise and recruit / retain high-performing staff administrators
Report directly to Head of CBG Loan Operations (with dotted-line reporting to Heads of their respective Business Lines to ensure that field offices are appropriately serviced)
Bachelor’s Degree required
Master’s/Advanced Degree preferred
10 or more years of directly related experience
5 or more years of supervisory / managerial experience
Extensive knowledge of commercial real estate loan documentation and legal terms
Extensive knowledge of commercial real estate loan collateral and due diligence processes
Familiarity with commercial real estate loan compliance requirements
10+ Years experience in a commercial real estate lending operations
Management of commercial real estate loan administration and / or documentation functions

230

AM Global Wealth Management MSS Middle Office Resume Examples & Samples

3+ years of experience in working on various components of projects spanning technology/business process re-engineering/operations or recent completion of an entry level operations training program
Excellent quantitative and analytical skills
Positive, results oriented team player, willing to work hard with and for a global team
BS/BA required: Industrial Engineering, Management, Business, Finance, Accounting, Economics, Operations, Mathematics and/or Management Information Systems preferred – others majors may be considered

231

CIB Ops-fixed Income Middle Office Resume Examples & Samples

Working knowledge of Fixed Income Cash products (specific to the MBS / Securitized Product suite)
Excellent interpersonal skills in communicating with diverse groups internally and with clients
Ability to work well under pressure is essential
Partnership skills are essential as candidate will be working with other members of the Team, Technology and Management, to ensure goals are achieved and issues are addressed in a timely manner
A flexible, proactive attitude towards work is required as individual must be responsive to clients (internal and external), with the ability to multi-task and prioritize workload
Flexibility on working hours: Client / Market coverage frequently necessitates early morning or evening work
Aptitude in Microsoft Office applications: Excel, Word, Access and PowerPoint
Good understanding of internal controls and proven history of being a change agent

232

FX Middle Office Resume Examples & Samples

Build a strong relationship with the FX desk and sales team and ensure a high level of service for clients
Review Term sheets for Structured FX option, completing affirmation of trades
Work closely with Operations/ IT/ Finance to ensure a efficient process and the mitigation of risk
Complete trade confirmation and ensure the accuracy of settlement details with counterparties
Complete daily P/L management and continually check positions, reconciling trades between firms books and internal systems
Provide data for regulatory reporting for FX trades
Lead global projects aimed at developing FX business and improving service to clients
Good knowledge of Investment Banking
Understanding of Middle Office and Operations
Business level in both English and Japanese
Understanding of FX and FX derivatives

233

Middle Office Cashier Resume Examples & Samples

Review all check’s received to verify accuracy of payee information
Review and enter all physical securities received. Work with Clearing Firm to ensure all pending items are cleared and all required documentation has been received
Ensure all check’s received are deposited same day. Maintain Non-Deposit log for all checks/securities that cannot be deposited. Provide to management for sign off
Work with Clearing Firm to balance firm accounts
Clear all returned items and resolve any debit balances that may occur as a result
Ensure tax reporting for any checks received on Qualified Accounts is entered correctly. Resolve any issues with check’s deposited incorrectly by the field
Maintain distance tracking log and provide system password, deposit tickets, and deposit stamps to sales force. Provide assistance and training on the check deposit system
Demostrate excellent organizational skills and strong attention to detail
Research and resolve escalated inquiries and problems, as needed
Project involvement and/or assignments from management

234

Fixed Income Middle Office Resume Examples & Samples

Ensure new trades, amendments, allocations, and post trade workflow is accurately captured in a timely manner
Perform Start- and End-of-day Front Office Risk checkout process for and validate pricing (marks)
Assist with coordination and execution of scheduled and ad hoc compression cycles and events
Monitor trade workflow between external vendor trading systems and internal PTSes; investigate and resolve issue
Responsibly manage operational risk across the asset classes
Support Senior Operations and Middle Office Management in achieving business objectives
Maintain the HSBC Group FIM standards and ensure satisfactory or above audit ratings are achieved
Ensure accurate and timely resolution of queries
Provide ongoing interaction with other operation groups, trading, sales, compliance, credit, and technology teams to resolve issues arising from trade execution and maintenance
Participate in process improvement initiatives and system development; including managing existing project efforts
Participate in testing and implementation of related systems/product functionality
Assist management to close outstanding audit issues
Represent Derivatives team in organizational working groups and product discussion
Complete other related duties as assigned
Use judgment to act in team’s and organization’s best interest in all responsibilities and situations
Escalate any issues that will cause financial loss to the bank or that could affect client relationships to senior management (e.g. FO, product control, compliance and/or Operations) and provide awareness of potential issues
Perform according to prescribed procedures
Knowledge of CFTC regulation and its impact on the OTC Derivatives market
Strong organizational skills, detailed-oriented, highly motivated and adaptable
Clear communication skills
Ability to quickly grasp new industry practices
Ability to effectively prioritize
Understanding of Front-to-Back trade flow
Ability to pick up new processes quickly

235

Am-fixed Income Middle Office Resume Examples & Samples

Funds’ Management support
Guidelines Monitoring
Work closely with onshore and offshore support areas
IM Client, regulatory and corporate reporting
Data controls/Oversight
Students of business, engineering or economics
Graduation in [dec/2017] or later
Knowledge of MS Office package and VBA

236

Middle Office FX Associate Resume Examples & Samples

Bachelor’s degree in Finance, Business, or Economics
3-6 years of related experience
FX/FX Option subject matter expert
Vendor experience with Traiana or MYSIS
Strong desire to learn additional roles and continue to grow within the firm, assisting team members and extending responsibilities
Trader’s assistant experience
Knowledge of exchange traded derivatives as well as OTC equity options and look-a-like futures

237

Fixed Income Middle Office Resume Examples & Samples

New middle office dedicated only for structured products
Monitoring knock-in, knock-out and call of structured bonds, making notice to sales/bond holders
Checking final terms, pricing supplements of structured bonds made by legal team
Working closely with the operation team and front office
Experienced but junior person is preferable
Middle Office experience within a Fixed Income or Equities (Cash or Derivatives) is preferred
A solid understand of trade processing and its intricacies
An ability to respond and resolve external clients issues
Ddeveloping strong with MO, front office, clients, operations, and others stakeholders
Numeric minded and details oriented

238

Credit Risk Analyst Middle Office Resume Examples & Samples

Assist with the development of the credit risk stress testing framework and process
Experience in risk management/stress testing or operation involving data analysis and process management is desired
Bachelor’s degree or equivalent

239

Commodities Middle Office Product Control Manager Resume Examples & Samples

Understand the business supported including the strategy, products, and inherent risks
Understand the risk and reporting systems and contribute to enhancing the control environment
Daily reconciliation of the risk system generated P&L to the reporting system
Daily analysis and substantiation of new trading activity to report for discussion with the business unit
Substantiation and distribution of reportable TD 1 P&L with analytics and commentary
Ensure physical and financial exposures in trading systems are aligned
Reporting and resolution of manual adjustments and breaks
College degree or related experience
Must have 3 years experience with physical crude or refined products in either a middle office or back office support role
Strong academic background
Highly motivated with the commitment required to consistently meet goals
Strong analytical skills
Basic understanding & interest in financial products
Specialization in finance stream
Excellent organizational, communication, and relationship management skills
Previous experience working with OpenLink Endur, Solarc RightAngle or Business Objects a plus

240

O&t-securities Finance Middle Office Resume Examples & Samples

Knowledge of equities, fixed income and other financial instruments (e.g., repos, tri-party repos, letters of credit, loan documentation, etc.) would be beneficial
Experience of dealing with English speaking clients in a senior service role
Knowledge of writing macros and use of Access database is beneficial
Minimum of 2 years experience

241

Integrated Middle Office Trial Balance Services Equity Derivatives Resume Examples & Samples

Able to work with minimum supervision exercising self-discipline and be aware when issues need to be escalated
Confident and able to interact with management
Understanding of the various business lines, their products and valuations. This include Equities Derivatives, Corporate Derivatives, Equities Financing, and Equities Cash and Capital Market business
Experience at a financial institution within a derivatives product control environment
Appreciation of risk management / control and internal audit
Understanding of front-to-back Finance process
Bring fresh perspectives to a team that has grown organically over recent years by challenging the existing procedures and policies, and introducing best practices where appropriate

242

Middle Office Product Control Professional Markets Resume Examples & Samples

Oversee daily valuations for complex/non-standard collateral calculators & prepare explains related to agreement calculations
Analyze variances to ascertain root cause drivers of calculation changes to perform attribution reporting
Own current and contingent liability reporting and manage internal relationships with key business partners (OTC Regulatory Reporting, Agreements & Documentation, and line of business stakeholders)
Understand and monitor impact of collateral calculations for key liquidity reporting initiatives (e.g. Basel LCR, future rating agency actions)
Test calculations for new agreements or changes to existing collateral requirements & participate in the strategic migration of existing spreadsheet-based calculator to the target enterprise platform
Execute control procedures to ensure the risk is managed as per existing standards
Advanced Excel/Access skills and competency in Microsoft (all products) & high level of proficiency in analysis of large data sets via functions (pivot tables, lookup, etc.)
Candidate will have 2-5 years experience in financial services
Understanding of traded products (FX, interest rate swaps/options, credit-default swaps, equities and commodities)
Advanced communication skills: present complex issues to all levels of management in a highly professional and understandable manner
Basic understanding of concepts of key documentation in the OTC collateral space (ISDA/Credit Support Annex, etc.)
Create thorough documentation as needed
Undergraduate/graduate (preferably in finance, accounting or similar disciplines)
Candidate has experience in several of the following: Derivatives Valuation/Collateral / Profit & Loss Reporting / Financial Analysis
Key behaviors: Solution-oriented / assertive but diplomatic / self-motivated, Analytical approach to problem solving, Client focused
Proficiency in Powerpoint/Visio
Previous experience in OTC Collateral Operations, OTC/derivatives Product Control experience, Credit Risk Management
Exposure to Middle Office and Operations core processes including the full trade lifecycle, to accounting and reporting

243

Market Risk Middle Office Resume Examples & Samples

Build effective partnerships with the Coverage, Technology, Market Risk Operate, RCMO, MRQR and Market Risk Reporting teams; consensus builder
Development/refinement of key controls and ongoing monitoring and evaluation of the environment to mitigate control gaps/deficiencies across the Market Risk Middle Office
3+ years’ experience, primarily in financial services, with focused experience in either risk, product control, operations and/or finance, with solid technical experience
Ability to effectively work with virtual teams

244

Market Risk Middle Office Resume Examples & Samples

Supervise the delivery of all processes and ensure that all processes are run in the most effective, efficient and timely manner to meet all SLAs
Build relationship with management across Market Risk Middle Office and Market Risk Reporting teams
8+ years’ experience, primarily in financial services, with focused experience in either risk, product control, operations and/or finance, with solid technical experience

245

CIO & Treasury Asia Middle Office Resume Examples & Samples

Attention to detail and numerate with a methodical approach to problem solving
Strong personality with good communication skills and the ability to influence other lines of business
Strong organization, time management and multi-tasking skills as reasonable flexibility is required for the role
Business Analyst experience within Product Control, MO, Finance or Operations
Previous Cash Management experience and relevant product knowledge
Possess a high degree of drive with a proven track record of achieving results
Excellent approach to governance and reporting, including tracking and MIS
Project experience in a dynamic, fast-paced environment
Provide thoughtful analysis of key data to identify areas of focus and recommend impactful solutions

246

CIO & Treasury Asia Middle Office Resume Examples & Samples

Evaluate business objectives and analyse high level business requirements that require new systems or existing system enhancements
Establish project governance framework, including project planning, organising governance forums to manage stakeholder expectations
Provide regular project updates to CIO & GT mgt team
3-6 years’ experience in Fixed Income and/or Money Market products working with traders and operations in managing business requirements and coordinating technology solutions with at least 2 years of PMO experience managing multiple projects, resourcing and finances

247

Senior Middle Office Loan Spec Resume Examples & Samples

Work with in-house counsel or outside counsel depending on the complexity of the loan
Coordinate the preparation of new, renewal or modification loan documentation following CBT standards and loan approval guidelines
Works directly with loan operations to ensure loan documents are prepared in accordance with credit approval, loan documentation standards and regulatory requirements
Manage the overall closing process including: calculation and preparation of settlement statements, perfection of collateral and participation notices; preparation of loan boarding forms; order/review title and insurance information; order flood determinations and reviewing, commenting and negotiating loan documents with the Relationship Manager and borrower
Daily interaction with outside contacts including borrowers, escrow/title companies and insurance agents
Interraction with varied internal departments such as appraisal, environmental and Bank's servicing department
Assist commercial relationship team with collection of due diligence documents
Ensures appropriate fees and expenses are processed accurately
Notifies lending team of missing/incorrect items requiring action
Reviews executed loan packages for accuracy and to ensure compliance with regulatory and policy requirements
Submits the final loan package to loan operations for funding and boarding
Monitor and update monthly reports for the assigned loan portfolio including general ledger report
Requires a High School degree or Equivalent and 6+ year of loan documentation, closing or other directly related experience; preferably in Commercial Loan documentation
A combination of education and experience may meet requirements
Expert knowledge of general loan documentation, loan closing processes and procedures, lending policies, compliance and lending regulations
Ability to review, read and interpret moderately complex loan documentation
Advance knowledge of due diligence and risk management requirements
Ability to multi-task and meet deadlines
Excellent problem solving and communication skills, both verbal and written
Proficient knowledge of pc's and various word processing, spreadsheet or related software

248

Director Fixed Income Currencies & Commodities Middle Office Resume Examples & Samples

LEADERSHIP
TRANSACTION SUPPORT
OPERATIONAL CLIENT SERVICE & EXPERIENCE
OPERATIONAL CONTROL
CHANGE MANAGEMENT
In-depth knowledge and understanding of FICC business lines (specifically foreign exchange, fixed income, derivatives, metals and money market). In particular front to back processes, operational services (including exposure to third parties such as client administrators) and relevant financing platform/technology architecture acquired while operating within a Capital Markets client-facing business environment
Demonstrated knowledge of processing and clearing multiple asset classes ( Fixed Income; FX; Futures & Options, Metals etc. ) across various geographic locations, international markets, legal jurisdictions, clearing agents and local depositories
Strong operating knowledge of current and upcoming change in rules and regulations applicable to FICC businesses in accordance with the relevant governing regulator bodies, specifically IIROC; OSFI; FINRA, SEC, US FED etc
Extensive experience driving process re-engineering, organizational change and efficiencies in a growing business – strong focus on planning, execution and delivery against defined objectives
Proven ability to build strong, cohesive partnerships with the business, operations, technology and other key stakeholders and work effectively in a matrix organization
Established track record in recruiting, building, coaching and motivating a skilled, high performing team of operations professionals operating across multiple regions and multi-time zones
Analytic problem solver with excellent written and verbal communication skills with the ability to establish and communicate the strategic vision
Strong organizational skills with the ability to effectively prioritize multiple initiatives, projects and work streams simultaneously

249

Manager Prime Brokerage Middle Office Resume Examples & Samples

Focusing on Cash PB, Synthetic Prime and Stock Loan businesses. The individual will be required to ensure a high level of efficiency, processing control and service delivery to the regional Prime Services business line and their clients domiciled in the European time zone. In addition, extend such support to clients domiciled in the US and Canada who may also operate in European Markets
Provide operational control and regulatory expertise to the regional business line in execution, reconciliations/controls, custody, settlement and monitoring of client activities while operating within regional market regulatory and bank policy compliance
Ensures a high degree of operational efficiency, processing accuracy and conformity to Bank strategy, objectives and regulations by

250

Middle Office / Front Services Resume Examples & Samples

Perform client background checks (mainly Factiva, Worldscheck) in according ace with KYC standards of the bank
Ensure proper documentation and audit trail of results and findings
Share and escalate findings with relevant stakeholders

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