Middle Office Trade Support Resume Samples

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CM
C Mayert
Camren
Mayert
2069 Alia Harbor
Detroit
MI
+1 (555) 875 4503
2069 Alia Harbor
Detroit
MI
Phone
p +1 (555) 875 4503
Experience Experience
05/2016 present
Los Angeles, CA
AM, Middle Office Trade Support Specialist
Los Angeles, CA
AM, Middle Office Trade Support Specialist
05/2016 present
Los Angeles, CA
AM, Middle Office Trade Support Specialist
05/2016 present
  • Participate in the continuing strategic development of the Middle Office operating model, and help validate proposed ideas/plans prior to implementation
  • Provide issue resolution for any complications/problems that may arise
  • Client/Broker Trade Servicing
  • Support Financial Advisor and new client On-Boarding processes
  • Regulatory Reporting
  • Domestic and International Syndicate trading support
  • Liaison between trading desk and back office
08/2010 03/2016
Detroit, MI
CIO & Treasury Asia Middle Office Trade Support Associate
Detroit, MI
CIO & Treasury Asia Middle Office Trade Support Associate
08/2010 03/2016
Detroit, MI
CIO & Treasury Asia Middle Office Trade Support Associate
08/2010 03/2016
  • Coordinating technology related developments and maintenance with regards to trade processing
  • Weekly collation of operations KPI’s for submission to senior management
  • Responding to various ad-hoc information requests by other businesses, such as MRM, VCG, CFO / BM, VARS
  • Managing operational processes and controls, across asset class, through the transaction life cycle
  • Building and maintaining strong business, operations and technology relationships
  • Liaising with both Front Office and Back Office and engaging the back office partners in regular root cause exception analysis
  • Monitoring and assuring quality of daily deliveries from Tertiary location resources
11/2006 07/2010
Dallas, TX
Equity Middle Office Trade Support Manager
Dallas, TX
Equity Middle Office Trade Support Manager
11/2006 07/2010
Dallas, TX
Equity Middle Office Trade Support Manager
11/2006 07/2010
  • Influence technology teams to prioritize work that will provide benefit to team
  • Develop members of the team as individuals and a collective support team
  • Provide support or resolve any adhoc queries pertaining to the booking, p/l or risk representation for traders in the books
  • Work with Traders, Finance and other groups to resolve various issues affecting PnL
  • Calculate maturity payoffs and coupon amounts
  • Liaise with traders and counterparties to ensure accuracy in trade capture
  • Monitor various controls implemented to mitigate risk to the business
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Cornell University
Bachelor’s Degree in Accounting
Skills Skills
  • Ability to face off to very demanding stakeholders, managing their expectations but moreover develop strong working relationships with them,
  • Strong communication skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution
  • A self motivated individual who is able to deliver with minimal supervision, whilst also working effectively as part of a team
  • Ability to multitask and to work under pressure, prioritizing duties according to risk
  • Excellent problem solving skills in order to identify, understand and address operational and technical issues
  • Strong analytical and problem solving skills
  • Strong understanding of the transaction lifecycle
  • At least 2 years of experience managing a team of multiple people
  • Previous experience in the Financial Services industry, ideally with understanding of Equity Derivative and/ or Cash Equities products
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1

Securities Middle Office Trade Support Analyst Resume Examples & Samples

  • Commission/Fee Billing
  • Exception Management
  • Service Level Agreement (SLA) management and metrics
  • Process improvement
  • Risk Management
  • Develop industry knowledge of the products supported by the team
  • Display excellent analytical/problem solving skills in addition to having a sense of urgency regarding his/her responsibilities
2

Corporate Operations Group Middle Office Trade Support Resume Examples & Samples

  • Have minimum 2 years experience ideally in Equity Finance and Stock Lending
  • Work well in a team environment with good interpersonal skills
  • Demonstrate flexibility
  • Have high attention to detail and accuracy
  • Confirmation and verification of Equity DVP trades
  • Confirmation and verification of Stock loan transactions
  • Producing reports for compliance and risk
  • Producing and distributing Front office reports for the Stock lending and Collateral trading business
3

Private Banking Middle Office Trade Support Resume Examples & Samples

  • Processing of transactions initiated by Private Bank clients, Private Bank Investors, or events initiated by the issuer of financial products. This covers the trade booking on products such as global equity, fixed income, structured products, derivatives, dual currency notes and foreign exchange transactions. Coordinate with various internal/external counterparts to ensure timely trade processing/settlement
  • Identifying areas for a continuous improvement of operational efficiency and control, initiating new operational procedures while effectively managing risk and operational policy
  • Ensuring that confirmation of trade execution is sent to clients timely and accurately (pre-confirmation process)
  • Education Background
  • Excellent client orientation, able to learn the business quickly and provide effective solutions
  • Good analytical skills (good at problem solving and devising solutions)
  • Ability to make quick, logical decisions in fast changing environment
  • Minimum 5 years of experience in banking operation with a combination of middle/back office function
  • In-depth knowledge of securities & Foreign Exchange processing, transfer and settlement. Strong knowledge of all financial products across different asset class (shares, bonds, FX, structured products, derivatives, etc)
  • Proficiency in MS office applications (Word, Excel, Access with be an advantage)
4

Cib Operations Equity Middle Office Trade Support Associate Resume Examples & Samples

  • Oversee end to end reconciliations of firm positions and trade bookings
  • Perform a variety of daily control functions
  • Provide direct support to the trading desks as it relates to bookings, positions, and client and settlement queries
  • Partner with other MO and BO teams globally to resolve issues
  • Verify accuracy of risk and p/l required for trading
  • Coordinate creation and redemption of ETFs
  • Identify process weaknesses and work with technology teams to implement solutions
  • Understanding of the Equity business and control environment Experience in an operations role
  • Ability to multitask and to work under pressure, prioritizing duties according to risk and client profiles
  • Excellent communication and interpersonal skills, ability to partner with teams across Operations, technology, finance and the front office
  • Knowledge of derivative products including Equity Swaps, Div Swaps, Options and ETFs is preferable
5

Middle Office Trade Support Resume Examples & Samples

  • Trade confirmations
  • Settlements
  • Instructing Trades
  • Internal and External query resolution
6

Middle Office Trade Support Equity Derivatives Resume Examples & Samples

  • Confirmation and verification of Equity DVP trades
  • Confirmation and verification of Stock loan transactions
  • Producing reports for compliance and risk
  • Clearing reconciliation issues relating to a number of different derivative products
  • Producing and distributing Front office reports for the Stock lending and Collateral trading business
  • Direct contact to clients confirming Derivative payments
  • Trade booking and settlement queries
7

Derivatives Middle Office Trade Support Specialist Resume Examples & Samples

  • Confirm derivatives transactions (OTC’s, Swaps, Futures, etc.) with executing brokers
  • Process derivatives transactions from trading to internal systems
  • Prepare and distribute settlement letters to custodians
  • Resolve outstanding derivatives / collateral issues with brokers and custodians
  • Trade settlement (resolving settlement issues)
  • Maintaining and updating procedures for all derivative / collateral processes
  • Systems and data maintenance
  • Bilateral and Cleared OTC product knowledge and operational process knowledge (Experience with Futures and Collateral a plus)
  • Working knowledge of Markit, DTCC, Markitwire
  • Proactive/Team oriented
  • Strong analytical and mathematical skills
  • Quantitative orientation
  • Ability to prioritize responsibilities
8

CIB Ops-tokyo Equity Derivatives Middle Office Trade Support Resume Examples & Samples

  • Book trades in risk management system for OTC derivative / Cash Equities which are executed by Tokyo trading
  • Ensure the risk is correct in risk management system
  • Be responsible to monitor any types of control breaks
  • Be responsible to prepare regulatory reporting
  • Be accountable for ad hoc queries from various groups within the firm related to EDG
  • Drive and implement process improvement related initiatives
  • Analyze new business initiatives
  • Manage projects related to E2E review, efficiency realization, new initiatives, etc in local, regional, and global scale
  • Well motivated, enthusiastic, and strong work ethic
  • Ability to work in a pressurized environment with tight deadlines to meet on a regular basis
  • Ability to prioritize and deal effectively with multiple tasks
  • Ability to develop good relationships among the middle office members, front office, clients, operations, and others key functions within the organization
  • Derivative Middle office experience preferred but not essential
  • Numeric person with a good eye for detail
  • JSDA 1st and 2nd class Sales Representative license holders
  • Strong PC Skills (Excel, Word, Lotus Notes) essential, Excel Macro and MS Access (preferred)
9

AM, Middle Office Trade Support Specialist Resume Examples & Samples

  • Support Financial Advisor and new client On-Boarding processes
  • Provide issue resolution for any complications/problems that may arise
  • Trade Error and correction Reporting and Monitoring
  • Trade Allocations
  • Retail Broker Services
  • Client/Broker Trade Servicing
  • Liaison between trading desk and back office
  • Domestic and International Syndicate trading support
  • Call backs
  • JPMCC operational Knowledge and background
  • 2+ years of Operations experience
  • Experience working with various complex products groups
  • Understanding of Brokerage Business
  • Ability to multi-task and strong attention to detail
  • Adapt to changing needs & deadlines and remain calm when under pressure
10

Global Fixed Income Cash Middle Office Trade Support Resume Examples & Samples

  • Product coverage includes Corporate bonds and US Treasuries
  • Working directly with the traders and structures to understand each deal to ensure seamless trade entry and flow to subsequent back-office systems
  • Reconciliation of trades between front and back end trading systems
  • Understand trade reporting rules to regulatory bodies including FINRA (TRACE)
  • Metrics reporting for upper management and control teams within the Middle Office
  • Ensures all issues are dealt with effectively and resolved accordingly in a timely manner
11

Global Fixed Income Cash Middle Office Trade Support Associate Resume Examples & Samples

  • Provide operational support for the NA Corporate Credit High Grade and High Yield desks
  • Understand system flow and front to back operations of trade processing including settlements, PnL and confirms
  • Drives Middle Office change management in coordination with Technology to increase automation and controls
12

CIO & Treasury Asia Middle Office Trade Support Associate Resume Examples & Samples

  • Managing operational processes and controls, across asset class, through the transaction life cycle
  • Monitoring all settlement queries relating to these trades
  • Monitoring and reporting around daily IBOR submissions across the region
  • Responsibility for submission of new swaps to London Clearing House and other relevant Clearing Houses
  • Full participation in all unwinds/assignment packages for IRS & Credit derivatives (including novation consent via DTCC)
  • Liaising with both Front Office and Back Office and engaging the back office partners in regular root cause exception analysis
  • Weekly collation of metrics for submission to FED
  • Weekly collation of operations KPI’s for submission to senior management
  • Responding to various ad-hoc information requests by other businesses, such as MRM, VCG, CFO / BM, VARS
  • Coordinating technology related developments and maintenance with regards to trade processing
  • Driving synchronisation of operations & technology engagement in the delivery of change
  • Swift resolution of trade related issues & understanding the fundamentals of the transaction cycle
  • Ownership of trade break resolution
  • Ability to quickly understand a complex matrix of operating systems and their interrelationships and dependencies
  • Relevant product knowledge
  • Experience of central electronic clearing/execution platforms (ICE, LCH, DTCC, Morcom, TradeWeb, Markit etc.)
13

Jpms Middle Office Trade Support Associate Resume Examples & Samples

  • Participate in the continuing strategic development of the Middle Office operating model, and help validate proposed ideas/plans prior to implementation
  • Trade breaks
  • UIT Trading
  • Regulatory Reporting
  • 2 years of Operations experience
  • Experience interfacing with Custodians, Fund Accountants/Administrators
  • Have excellent attention to detail and concern for all aspects of the job
  • Are able to evaluate and analyze data from multiple sources in a fast-paced environment
  • Have exceptional communication and personal skills
  • Are focused on the customer
14

Asset Management GWM Investments Middle Office Trade Support Analyst Resume Examples & Samples

  • Support users of the following Private Bank applications: Workstation, Brokerage Trade Tickets, SDI Prism, and GSTP
  • Addressing ad hoc queries from operations, technology, and the front office
  • Participating in User Acceptance Testing (UAT) phases for defect fixes, enhancements, and other strategic initiatives
  • Facilitating training for new application users
  • Working with the business, technology, and operations to determine priorities, schedule of releases, and writing specifications
  • FINRA Series 7
  • Private Bank, Private Wealth Management or Chase Wealth Management experience preferred
  • Must be highly disciplined, a self-starter, and have the ability to execute on assignments independently
  • Client Service, Brokerage/Trade Operations or Technology background is a nice to have
15

Equity Middle Office Trade Support Manager Resume Examples & Samples

  • Coordinate with different areas, including Technology, Product Control, Business Management, Market Risk, and Settlements to implement process, system and product changes
  • Liaise with traders and counterparties to ensure accuracy in trade capture
  • Provide support or resolve any adhoc queries pertaining to the booking, p/l or risk representation for traders in the books
  • Work with Traders, Finance and other groups to resolve various issues affecting PnL
  • Calculate maturity payoffs and coupon amounts
  • Investigate and resolve issues causing breaks or failures for the supported business
  • Monitor various controls implemented to mitigate risk to the business
  • Produce statistics and MIS
  • Develop members of the team as individuals and a collective support team
  • Drive business, control and regulatory agenda
  • Influence technology teams to prioritize work that will provide benefit to team
  • First point of escalation for desk heads
  • Consistent focus on improving efficiency and control
  • Previous experience in the Financial Services industry, ideally with understanding of Equity Derivative and/ or Cash Equities products
  • At least 2 years of experience managing a team of multiple people
  • Ability to face off to very demanding stakeholders, managing their expectations but moreover develop strong working relationships with them,
  • Excellent problem solving skills in order to identify, understand and address operational and technical issues
  • Strong communication skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution
16

GIO Middle Office Trade Support Resume Examples & Samples

  • Education: Bachelors degree required (Degree in Finance or Economics preferred)
  • Work Experience: 5-8 years broker dealer or wealth management experience
  • Problem Solving Skills: ability to identify complex risks early and develop actionable mitigation plans
  • Client management and teamwork skills: demonstrate ability to be flexible in working with stakeholders and colleagues at all experience levels
  • Project Management skills: candidate must have ability to create practical and comprehensive implementation plan and partner with all levels of management and stakeholders to gain consensus
  • The ability to work in high-pressure situations
  • Strong Excel skills; VBA macros a plus
  • Strong understanding of derivatives and how they are used
  • Series 7 license required
  • Series 63 license required
  • Language Skills: Ability to speak and write Spanish at Professional level is a plus
17

CAO Ops-ib Equities Middle Office Trade Support Resume Examples & Samples

  • Check to ensure all trades are fully routed to downstream systems
  • Ensure that all books are closed & run at EoD and that P&L is signed off
  • Pre-match trades against counterparty
  • Resolving and managing the risks associated with failing trades – requiring frequent communication with trading desks and back-office settlement teams
  • Maintenance of trade flow and counterparty reference data to ensure trades are processed accurately
  • Analysis of trade cancels/ amends and late bookings to identify systematic, trade flow or behavioural trends to drive procedural and strategic process improvement
  • Timely resolution of breaks on system-to-system reconciliations and trade flow controls
  • Acting as SME for core systems (e.g. Firestar, Sphinx, Napoli) and ensuring systems offer required functionality and that user configurable logic is up to date and accurate
  • Ensuring issues are escalated in a timely manner to allow proactive corrective action and avoid the business incurring unnecessary costs or reputational risk
  • Understanding specific client/ product/ market sensitivities
  • Building collaborative relationships with technology teams, the business and other MO and BO teams
  • Identifying and applying best practice
  • Looking for innovative solutions to reduce error potential and improve control infrastructure
  • Staying up to date with market wide initiatives, technology developments and new business initiative
  • Strong securities knowledge is required; understanding of derivative products is a plus
  • A minimum of one year prior Operational and/or line experience, is required
  • Keen to question everything and understand the detail behind the process
  • Strong PC Skills : in particular Excel, Word and PowerPoint
18

Interest Rates Derivatives Middle Office Trade Support Resume Examples & Samples

  • Trade booking and processing STP trades into risk management system
  • Trade verification and review against legal documents
  • Maintaining controls and events for transaction lifecycle including refixes, settlements, confirmations, and so forth
  • Supporting Front Office and Operations partners with P&L, Risk and operational queries for the trading books within the Tokyo Rates business
  • Partnering with technology and other stakeholders in view of developing strategic operating and risk management agendas
  • Participating in local and global led projects aimed at streamlining the business and increasing efficiency
  • Experience working in banking or securities operations
  • Understanding risk and controls within Operations
  • Experience working in banking, securities operations, financial institution or Big4 accounting firm
  • JSDA qualification is a plus although not mandatory
19

Fixed Income Middle Office Trade Support Analyst Resume Examples & Samples

  • The candidate will be the liaison between back office settlements and three main front office groups- High Yield, High Grade, and Loan Funding
  • Candidate will be responsible for trade reconciliations, position balancing, daily trade breaks, client interaction, physical and regular way settlements, corporate actions, and loan closings
  • Prospective hire will be working in a fast paced high stress environment
  • Significant opportunity to learn about all aspects of Global Credit Products
  • Interaction with clients and trading counterparties
20

Middle Office Trade Support Specialist Resume Examples & Samples

  • Fluent verbal and written English
  • Bachelors Degree or Master Degree in Finance, Economics, Management
  • Interest in financial markets and trades
  • Proficiency in Microsoft Word and Excel would be an asset
  • Ability to provide support to other team members by answering questions and offering guidance
21

Rates Middle Office Trade Support Analyst Resume Examples & Samples

  • Take a leading role assisting with a wide range of Middle Office tasks, ensuring the accuracy of processes and the firm's book, as well as providing a high level of service for clients
  • Work closely with the Rates Business providing full operational Trade Support
  • Managing the pre-on boarding of clients and responding in a timely manner to different internal business partners, including, Finance, Settlements and many others
  • Producing of daily P/L reports as well as support to Risk Managers in modeling of markets
  • Position reconciliation and resolving of any breaks
  • Fluency of Japanese and English in the business level is a must
  • Understanding of how a Investment Bank works
  • Knowledge of IT, Microsoft application particularly in Excel
22

AM, GIO Middle Office Trade Support, VP Resume Examples & Samples

  • Must have good prioritization and multi-tasking skills
  • Knowledge of clearing, settlements, and asset services
  • Series 99 license required
  • Series 7 and 63 license are a plus
  • Ability to speak and write Spanish at Professional level is a plus
23

CFI Middle Office Trade Support Specialist Resume Examples & Samples

  • Bachelor’s degree in a business related field
  • 5 or more years experience in a fixed income trading or operations environment
  • FINRA Series 7 license strongly preferred
  • Thorough understanding of bond market dynamics and best practices
  • Proficient user of MS Excel and/or Access - other database/query skills
  • Experience with Bloomberg or Phase3 a plus
24

Global Mortgage Products Middle Office Trade Support Specialist Resume Examples & Samples

  • Trade exception resolution
  • Ad hoc queries from traders/sales/clients
  • Liaise with internal teams on break resolution
  • Manage life cycle events, allocation support, and/or novation management
  • Support new products and activities for the credit business
  • Industry initiatives and internal enhancements
  • At least two years of professional experience in Operations
  • Excellent teamwork skills and ability to work with a wide user group across multiple functions
  • Innate curiosity and drive
  • Significant control and risk management mindset
  • Self-motivated and confident when dealing with senior members of the firm