Securities Operations Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the securities operations job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

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Noavatar-profile
NM
N Murphy
Newell
Murphy
75429 Phoebe Well
Boston
MA
75429 Phoebe Well
Boston
MA
Experience Experience
10/2014 – present
Philadelphia, PA
Securities Operations Specialist
Philadelphia, PA
Securities Operations Specialist
10/2014 – present
Philadelphia, PA
Securities Operations Specialist
10/2014 – present
  • Operational risk management and process improvements: perform OPS control assessments and improve OPS efficiency
  • Complete all forms and paperwork necessary to make account corrections and adjustments
  • Perform root cause analysis on front to back processes and drive improvements
  • Works proactively with customers to cultivate and maintain relationships
  • Sending of daily cash flow forecast for fund manager
  • Process Cost Basis form requests: asset distribution transfers and tax lot adjustments
  • Ensuring that relevant deadlines and other performances standards are met
10/2008 – 06/2014
Detroit, MI
Securities Operations Associate
Detroit, MI
Securities Operations Associate
10/2008 – 06/2014
Detroit, MI
Securities Operations Associate
10/2008 – 06/2014
  • Work with management and Information Technology to improve current processes
  • Provide assistance to other Team members across roles and functions
  • Make outbound contact both in writing and verbally with clients concerning paperwork
  • Research failed trades with counterparties and publish fail details for management review
  • Trade Exception Management
  • Monitor and track workflow tickets for production
  • Identify issues and discrepancies that may create risk/exposure to firm
06/2004 – 09/2008
New York, NY
Securities Operations Analyst
New York, NY
Securities Operations Analyst
06/2004 – 09/2008
New York, NY
Securities Operations Analyst
06/2004 – 09/2008
  • Assisting on any issues, and providing timely escalation to desk and operations management
  • Developing work regarding processes and operational related issues
  • Monitor and resolve position recon tickets/workflow tickets within standard
  • Provide notification of fails to liaison/admin and document follow up on failed trade log for audit purposes
  • Create and send affirmation file to DTCC for inside trades
  • Exposure Management for Morgan Stanley
  • Perform other assignments as requested
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
University of Illinois at Chicago
Bachelor’s Degree in Accounting
Skills Skills
  • Proficient in the use of basic office equipment and tools as well as applications specific to trust systems/processes
  • Considerable knowledge of bookkeeping practices and principles
  • Strong communication skills, willingness to transfer knowledge is imperative
  • Ability to perform multiple tasks simultaneously
  • Team skills, including the ability to establish and maintain effective working relationships with employees, clients and public
  • Ability to manage multiple tasks
  • Ability to identify and resolve exceptions and to interpret data
  • Ability to maintain confidentiality
  • Ability to communicate effectively verbally and in writing
  • Ability to identify and escalate issues to senior management and to trading desk(s)
Create a Resume
1

VP-securities Operations Resume Examples & Samples

  • Build the footprint and establish the new teams to support the client service functions transferred into Mumbai
  • Supervise the day to day operations of Equity and Fixed Income Cash Client Processing teams to support the business in Asia Pacific ex India and Japan under established service level agreements
  • Develop the strategic direction to grow the newly established teams
  • Partner with the Control teams in HK to keep enhance the service standards to external clients and manage stakeholder relationship
  • Work with Operations Client Relationship Management (OCRM) to contribute in due diligence review and client meetings
  • Identify opportunities and drive agenda to achieve commercial initiatives such as process enhancement and efficiency gain
  • Manage the daily functions performed by the team and proactively identify potential risk areas and work on minimizing risk exposure for clients and Firm
  • Participation in and provision of appropriate documentation for audits, reviews, inspections
  • Work with Change The Bank team and explore strategic development of the support infrastructure to enhance efficiency of operational flow
  • Represent operations on local, global initiatives and projects (e.g. client confidentiality initiatives, system enhancement projects etc)
  • Work with global Client Service Groups to ensure procedure consistency and best practice
  • Manage the teams, hold 1-1?s and skip level meetings, conduct career conversations, performance management & recruitment
  • 8 ? 10 years? experience in financial industry
  • Direct experience operating within client services or a similar client facing role
  • Solid understanding of cash equity and fixed income products
  • Strong risk awareness and orientation
  • Has proven ability to interact with multiple internal and external functions including clients, legal, compliance, sales, and other functional operations teams
  • Comfortable dealing with senior individuals and management across these functions
2

Securities Operations Business Management Resume Examples & Samples

  • Reconciling, validating and summarizing Headcount and Financial data
  • Communication and presentation of information across the Sec Ops organization and with local Glasgow management
  • Forging a partnership with the line to gain a deeper understanding of the business in order to provide more effective resource planning support
  • Ability to provide analysis of resource plans to the business and the stories for each business
  • Tracking of headcount using Peopletracker, and expenses using financial cube reporting
  • Responsible for supporting the headcount and expense budget and forecast process and relevant management reporting
  • Creative approach to problem solving and Ad hoc analysis
  • Seeking ways to make process improvement and value-add recommendations across the organization
  • Working with business partners including Finance, HR and other BMs to ensure timely and accurate delivery of data
  • Strong analytical and organizational skills and attention to detail
  • Advanced Excel and PowerPoint
  • Self-starter; willing to take initiative and follow-through with little direction
  • Clear communication skills written and verbal
  • Comfortable in meetings and on phone with various levels of management
  • Ability to manage confidential information and data
  • Ability to multi-task and prioritize effectively in a busy environment and work to a tight deadlines
  • Understanding of accounting concepts would be useful
3

MYS Ctsm Kl-securities Operations Analyst Resume Examples & Samples

  • Should have a minimum of 2 years experience in operations is preferred; experience in account maintenance or client implementation is preferred
  • Good written and spoken English; be attentive to details
  • Be patient and willing to handle documents
  • Be able to cope with pressure
  • A team player; willing to work on public holidays
4

Fixed Income Derivatives Team Leader Institutional Securities Operations Resume Examples & Samples

  • Must possess the passion and desire to learn fixed income products and financial markets
  • Excellent communication, interpersonal, and organizational skills
  • Advanced Excel skills preferred
  • Ability to demonstrate decision making skills as well working in a team setting
  • Ability to work well under pressure in a fast paced work environment
  • Must be able to work extended hours
5

Securities Operations Business Management Resume Examples & Samples

  • Management of the Sec Ops Business Management Team
  • Reconciling, validating and summarizing Headcount
  • Financial data review for Sec Ops silo and provide commentary and variance analysis
  • Lead deployment and location strategy pricing and review
  • Lead various working groups across the Global BM community
  • Tracking of headcount using People tracker, and expenses using financial cube reporting
  • Ability to compute complex financial information to non-financial manager
  • Senior management communication
  • Understanding of accounting concepts; Forecasting; budgeting and Allocations
6

Cib Operations Securities Operations Analyst Riyadh Resume Examples & Samples

  • Ensure that the operational process & procedures are developed, reviewed and updated in regular basis and in accordance with local regulation
  • Transactions timely processed and confirmations promptly sent to clients, all queries escalated or resolved within agreed timelines, procedures and guidelines
  • Ensure effective internal controls are maintained and followed
  • Day to day support of the sales/trading desk with trade booking & position management
  • Working with partners in Finance to ensure that accurate P&L figures are fed to the general ledger and management reporting for the business in the Kingdom
  • Ensuring that all the relevant reconciliations on stock/cash positions are controlled and reported on time
  • Following up corporate actions and company announcement and cash settlement
  • Ensure ALL queries are dealt with promptly and efficiently
  • University Graduate /Bachelor Degree
  • Fluency in written & spoken English (preferably Arabic as well)
  • Cash Equities operations experience (preferably to include Institutional activity in KSA)
  • Proven track record in servicing clients
  • Thorough knowledge of platforms, products, delivery channel support software, operating systems
  • Ability to develop procedures and work in various projects
7

Foreign Exchange Associate Institutional Securities Operations Group Resume Examples & Samples

  • Preferred candidate with Foreign Exchange product knowledge, Options, vanillas and exotics
  • Previous middle office / Trading Assistant experience preferred
  • Experience in risk management of traders positions
  • Ability to drive automation and improvements
  • Superior Client Service skill set
  • Ability and desire to work in a team-centered environment, whilst possessing the confidence to work individually
  • Relationship Management Skills
  • Ability to work under pressure in a time sensitive and deadline driven environment
8

Fixed Income Derivative Operations VP-institutional Securities Operations Group Resume Examples & Samples

  • Understands risk implications of fixed income operations role
  • Ensures all functions and procedures are performed in a timely and correct manner, i.e. trade checkout, position reconciliation, wash account reconciliation
  • Management of trade support team
  • Ownership of relationships with trading desk, sales desk, and senior operations management
  • Business management of team, including budget, resourcing, and recruiting
  • Building and presenting strategies around operating models and operational efficiency
  • Overall management of strategic initiatives relating to processes and people
  • Trade support backgrond
  • Credit derivative exerience
  • Proven track record in process renovation and strategic implementation
  • Solid background on current regulatory environment
9

Head Cpb Americas Securities Operations Resume Examples & Samples

  • Oversee the day-to-day responsibilities Team lead for Securities Operations teams; responsible for completion of day-to-day team tasks and updates to manager
  • Ensure all maker checker-processes are followed and properly evidenced
  • Review various trading reports for trade monitoring and reporting
  • Respond to inquiries and notifications from bankers and service officers
  • Ensure team responsibilities are properly organized, complied and documented for review by send site manager that can then be shared with audit and compliance as and when required
  • Participate in implementing new processes to support Product and Business Line requirements
  • Work on ad-hoc assignments benefiting departmental initiatives
  • First point of escalation for any securities operations related issues
  • Ensure all processes and procedures are up to date and SLA’s are being met on a daily/ monthly basis
  • Improve operating efficiency and productivity through re-engineering and process improvements by actively identifying opportunities
  • Review/ Approve certain critical transactions
  • 8-10 years of experience of which 5-6 years in Operational process management in Wealth management Operations
  • Leading and managing small/ medium sized teams for 2-4 years; track record of building teams, managing employee motivation
  • People & process management and communication skills
  • Execution skills (Quick thinker who can take the initiative, ability to prioritize; analytical thinking and attention to detail)
10

AM Securities Operations Manager, VP Resume Examples & Samples

  • Manage functions within the securities operations space while also working with business partners to lead project initiatives
  • Lead multiple remediation initiatives in partnership with the business
  • Develop internal scorecards to measure and track key operational initiatives
  • Manage Operational risk within the team, assess risks and ensure adequate detective and preventative controls are in place to mitigate risk
  • Provide daily oversight for Offshore Operational Partners
  • Manage relationships with various internal PB front and back office partners as well as our internal custodian
  • Review current processing and system functionality for strategic enhancements and drive process improvements
  • Respond promptly and accurately to client service requests/inquiries; foster positive relationship with client service and ensure day-to-day satisfaction through personalized interaction
  • Monitor service standards; analyze service versus the criteria which was set; recommend workflow improvements to better meet service objectives. Look for opportunities to consolidate like workflows in order to gain efficiencies for the group
  • Excellent communication and interpersonal skills, including dispute resolution
  • Strong knowledge of Operational Risk/Control
  • Excellent computer skills: MS Office Suite (PowerPoint, Word, Excel, Access)
  • Highly motivated and is also a good motivator
  • The ability to adapt to a rapidly changing business and technological environment
  • The ability to develop strong relationships and gain the confidence of internal partners
  • Series 99 or equivalent (if none, will need to address this requirement within 120 days of starting the role)
  • 3-5 years operational management experience
  • Prior Experience in Securities Operations (Brokerage or Custody Operations)
  • Knowledge of both Domestic and Global markets
  • Knowledge of financial products including Equities, Fixed Income, and FX
11

Securities Operations Specialist Resume Examples & Samples

  • Securities account services: Responsible the account maintenance process and issue resolutions
  • Securities trade processing, settlements and clearing: Responsible for trade processing to ensure the trade pre-matching and market settlements
  • Business Support: Liaise with business to provide operational solutions and client services on new initiatives and trade related processing
  • Regulatory reporting: Ensure the regulatory reporting is delivered
  • Operational risk management and process improvements: perform OPS control assessments and improve OPS efficiency
12

Senior Assistant Manager International Securities Operations Resume Examples & Samples

  • Administrative Management of the CSD, ICSD, and Global custodian network management for BNS, SCI and other subsidiaries including
  • Arranging the opening of new proprietary or client depository / global custodian accounts as required
  • Ensuring “restricted” or “segregated” market documentation is obtained, reviewed, and presented to enable market entry
  • Ensuring market specific procedural changes, regulatory revisions, taxation changes are communicated and understood by internal and external clients
  • Ensuring contractual, legal, and regulatory changes are managed and communicated to ensure compliance
  • Ensuring fees charged by depositories and sub-custodians are in accordance with contractual arrangements
  • Assisting with negotiation of pricing revisions
  • Completion of initial and subsequent due diligence reviews as required;Ensure tax related documentation required by CDS;s, ICSD’s and Global Custodians used by BNS and subsidiaries is provided to ensure proper tax withholding. Provide guidance on contentious tax related issues to Securities Operations management and, where required, obtain taxation opinions from Taxation Department
  • Administrative Management of the CSAE 3416 project and initiatives for capital markets functioning under BNS, SCI and other subsidiaries including
  • Delivering the project charter and business case documentation where operations are the owner
  • Creating and delivering the project plan(s)
  • Acting as either PM or assistant PM on the operations owned projects and delivering the desired result on time and on budget
  • Ensuring operations required deliverables are completed as required for business line, TAG, GWS or vendor controlled projects
  • Ensuring processes are well understood, documented and agreed upon so that line management can deliver same
  • Assisting with analysis of business requirements
  • Obtaining signoff from relevant stakeholders
  • Maintain assigned Signing Authorities and related documentation for Securities & Operations including
  • Scotia Capital Inc: Mutual Fund authorized signors; Securities Officer authorized signors; SCI Chequing Officer authorized signors
  • CSD;s, ICSD’s and Global Custodians: authorized signors at CDS, DTC, BNYM, Clearstream Banking, Euroclear Bank, BNP, Deutsche Bank,
  • Nominee Agreements: authorized signors list for Bansco, Torsco, Montowr, Monray, etc
  • Directly or indirectly ensure a high level of service to internal / external clients by providing guidance and assistance on depository and custodian related issues and preparing, negotiating, and recommending required account operating documentation
  • Thorough knowledge of securities industry related products, processes / procedures, and legal / regulatory policies obtained through completion of a recognized Securities course or equivalent related experience
  • Thorough knowledge of the Bank’s Securities Operations, Global Cash management, Credit / Risk Management, Regulatory and Legal areas
  • Thorough knowledge of the Securities Operation’s services, policies, procedures, and related regulatory requirements
  • Thorough knowledge of Central Securities Depositories and global securities market operations, services, policies, procedures and related legal / regulatory requirements
  • General knowledge of computer operations, communication facilities and their applications, including mainframes, networks and PCs
  • Ability to develop and maintain a co-operative relationship with other departments of the Bank, other banks/ correspondents / global custodians / depositories, etc
  • Tact, diplomacy and negotiation skills
  • Strong written and oral communication skills as reports / recommendations/ correspondence must concisely address areas of change / initiative ad effectively report / recommend to Senior Management; strong oral communication is required as daily interaction with all job levels within the Bank and the Securities Industry are required
13

CIB Securities Operations Product Development Resume Examples & Samples

  • Previous experience of project management from an Investment Bank, Corporate Bank or Management Consultancy background desirable
  • Strong background working in and around operations/technology/projects and industry protocols
  • Very strong analytical and organizational skills
  • Strong practical experience of Microsoft Project, Excel, PowerPoint etc
  • Experience with Securities and operations preferred
14

Latam Securities Operations Manager Resume Examples & Samples

  • Supervise the team that will process MM, FI & Fixed Income operational activities in Latam RPC
  • Maintaining proactive communication with Senior Management including periodic updates on engagement progress and identified or potential issues
  • Implement procedures and controls of the Regional Processing Center based on compliance standards
  • Assist in the management of all activities related to external/internal audits and reviews affecting MM/FI & Loans Onshore processes
  • Execute strategy defined by Markets LATAM Operations Management in any need presented related to Control, Risk, BAU, Projects & Initiatives, follow up and implementation
  • Design and verify periodically the quality and service indicators
  • Lead or support with regional and Global projects and develop or assist with special reports or requirements defined by management
  • Manage the BAU, staff development and the interaction with the Main Ops key players in countries and in Regional teams, such us: TTS RPC (Control Tower/MIFT/Trade) and Technology to ensure a quality product is delivered to external and internal customers
  • Day-day management of individual project responsibilities including milestone setting, task and actions management, co-ordination and execution of plan within required timescales and to stakeholder quality expectations
  • Identify and implement process improvements, service enhancements, or technology enhancements
  • 5+ year experience in MM&FI & Loans Onshore products
  • 7+ year experience in Banking
  • Bilingual in Spanish/English. (English above 70%)
15

Securities Operations Specialist Resume Examples & Samples

  • Review documentation presented by customers to ensure that the paperwork is in good order. Upon approval of the documents transactions will be required to be accurately entered into the Pershing NetX 360 system
  • Review and process workflow items. Resolve any issues within department service level expectations. Proactively identify any inaccuracies and follow up with the Financial Consultant or Advisor Support Center to resolve discrepancies in a timely fashion and according to department service level expectations
  • Individual will be required to review procedures and processes minimally on a quarterly basis and make necessary updates to the procedure and escalate issues to management
  • Continually interact with other team members within Operations as well as internal and external business partners to ensure timely, accurate completion of various tasks and issues
  • Complete other related duties as assigned
16

Securities Operations Analyst Resume Examples & Samples

  • Participation in global projects
  • Minimum of 2 years Banking Operations or equivalent relevant industry experience with exposure to financial products
  • Proven track record of Process and People Management
  • Previous Management experience of OTC Confirmation roles with exposure to trade life cycles, process flows, Confirmations and reconciliation with proven track record in managing and developing control functions
17

Securities Operations Associate Resume Examples & Samples

  • Trade Capture/Trade Matching
  • Trade Exception Management
  • Trade Processing/Allocation
  • Trade Reconciliation
  • Fails Management
  • Exposure Management
  • Trade Confirmation
  • Regulatory Reporting attestation
  • Proactively explore tactical and strategic solutions to close identified control gaps, working with other groups as appropriate. Ensures existence of mitigating controls
  • Maintain a clear focus on enhancing control and continuously improving and reducing operational risk
  • Troubleshoot problems arising on an ad-hoc basis and react to BU and Client driven demands
  • Work with multiple units in operations, BU and technology on projects and initiatives
  • Previous experience with the Repo Product preferred
  • Ability to work in a fast pace, pressured environment
  • Ability to work with external clients to enhance the client experience
  • Escalation Awareness ability to assess risk and exposure issues
  • Understanding of financial markets and settlements
  • Detail Oriented
18

Securities Operations Specialist Resume Examples & Samples

  • Corporate Actions on pending orders processing
  • Analysing and reconciliation of cash breaks
  • Cross sectional organisation of New Joiner setups with focus on required access rights
  • Internal accounts assessment and opening process
  • Analysing the teams scattered and complex task set and making improvements to processes, including macro based solutions
19

Change the Bank Securities Operations Resume Examples & Samples

  • Be responsible for working in a team as a process-oriented person and adhering to the organizations product development standards
  • Be responsible for developing, enhancing, re-engineering & maintaining the RSPWeb Suite of applications
  • Will have the opportunity to contribute to the overall design and architecture of the application developed and deployed
  • Interact with business users to understand requirements and troubleshoot issues
  • Gain an understanding of the Morgan Stanley business to facilitate communication with business users
  • An ideal candidate will demonstrate excitement for new technology and an eagerness to learn and should be a self-starter with strong analytical, problem solving and communication skills
  • They should be able to handle competing demands on time and manage their own work to deadlines
  • Flexibility in outlook is essential
  • They should be a team player and have the ability to work collaboratively with teams across geographical areas
  • They should have a high degree of motivation to expand their technical and business knowledge
  • Working knowledge of Database SQL
  • Working knowledge of Distributed caching
  • Some exposure to the financial services industry is a plus
20

Securities Operations Specialist Resume Examples & Samples

  • Confirmation process exception monitoring and resolutions for IB clients
  • Sub account opening process handling
  • Proactively manage client activities via monitoring of day to day middle office activities
  • Handle, follow up and resolve client queries on operations related issues
  • Understand client preferences, ensure they are followed, and partner with Client Relationship Managers to ensure a consistent message is given to the client
  • Perform root cause analysis on front to back processes and drive improvements
  • Involve in varies change initiatives to enhance client efficiencies
  • Maintain relationships with internal partners
21

Securities Operations Analyst Resume Examples & Samples

  • Understanding risk implications of fixed income operations role
  • Ensuring all functions and procedures are performed in a timely and correct manner, i.e. trade checkout, position reconciliation, wash account reconciliation
  • Working with trading desk, sales, and other operations group to ensure trade processing
  • Assisting on any issues, and providing timely escalation to desk and operations management
  • 2-4 years experience within Fixed Income Operations
  • Understanding of Regulatory framework for Fixed Income Securities
22

Securities Operations Specialist Resume Examples & Samples

  • Responsible for receipt of all incoming US Mail, FedEx, UPS and grey and pink internal mail for M&T Securities
  • Imaging and scanning of all documentation for new accounts
  • Securities Operations Specialists are responsible to ensure that all timely research is conducted for statement and account document research
  • Receive all incoming US Mail, FedEx, UPS and grey and pink bags for M&T Securities
  • Individual will review the documents against incoming blotter to validate receipt of all documents
  • Individual will report any discrepancies to the Financial Consultant
  • Individual is accountable to deliver all documents and packages to the appropriate business units and/or individuals
  • Individual is responsible to trouble shoot any issues with the imaging system and work directly with the indexing unit in Millsboro
  • Additional responsibilities include records research to fulfill customer and Financial Consultant requests
  • Individual will prepare and document all files sent to the warehouse as well as documents that are ready for File Net
  • Individual will be held responsible to ensure that all outgoing mail is prepared and sent out as requested
  • Team member will need to stay abreast of authorized individuals list for secure room as well as individuals who can request checks as they are responsible for the vault control in the secure room
  • Individual will be responsible to understand who is authorized for vault control and will need to open and close the vault morning and night and report any discrepancies to management
  • Design, implement, maintain and enhance internal controls to mitigate risk on an ongoing basis
  • Identify risk-related issues needing escalation to management
  • Associates degree, or in lieu of a degree a minimum of two (2) years work experience
  • Excellent and written communication skills a must
  • Individual must be able to communicate well with peers and various business units
  • Detail and time management skills are required to ensure that work is distributed according to the outlined service level expectations
  • General compliance and regulatory information as well as product knowledge a plus
  • General computer skills and office equipment familiarity
  • Ability to be a team player
  • Ability to interact with all levels of personnel
  • Ability to function professionally at many different levels
  • Self-motivated, well-organized individual
23

Securities Operations Specialist Resume Examples & Samples

  • Review account documents for accuracy and completeness and process transactions including but not limited to, new account documentation, account maintenance requests, trade instructions and money movement requests. Individual is responsible to follow through to completion
  • Individual may assist Financial Consultant in form completion and provide instructions as to requirements needed for certain transactions
  • Complete all forms and paperwork necessary to make account corrections and adjustments
  • Individual will also be required to prepare daily, weekly and monthly reports
  • These reports must be prepared accordingly to service level expectations to ensure M&T Securities is complaint with FINRA, Audit and Risk expectations
  • Excellent written and verbal communication required
  • Individual must be able to communicate in various facets including e-mail and telephone communication
  • Individual should be able to mesh well with all levels of management and escalate issues when needed
  • Individual must possess excellent problem solving skills, be able to prepare procedures and identify trends in processes and present solutions to management relating to such stated processes
  • Time management skills a must
  • Excellent knowledge of personal computers and software programs utilized by department
  • Excellent knowledge of office equipment
  • General knowledge of M&T Securities compliance and regulatory information and M&T Securities product knowledge
  • FINRA licensing, including Series 6, 7 and/or 99
24

Securities Operations Specialist Resume Examples & Samples

  • Management experience
  • 4-6 years experience within Fixed Income Operations
  • Active within the industry; Understanding of key Fixed Income Organizations
25

Securities Operations Analyst Resume Examples & Samples

  • Manage conversion process for up to 50 conversions daily
  • Liaise with Broadcort Clearing Corporation and Broadcort Clearing Corporation client on any settlement related issues that arise in the conversion process
  • Liaise with ADR banks to facilitate conversions in a timely manner reducing risk to Bank of America as well as to the client
  • Excellent communications skills both written and verbal
  • Ability to liaise with all levels of the firm and people with different experiences or backgrounds
  • Self motivated and able to work unsupervised, manage time and escalate accordingly
  • Basic knowledge of operational risk and control practices
26

Securities Operations Associate Resume Examples & Samples

  • Work well in a time sensitive environment
  • Self-starter, who is willing to ask questions
  • Fixed Income Securities Knowledge (Rates, Credit, EM)
  • Heavy Experience with Metric and Data Analysis
27

Global Securities Operations Investor Services Agency Securities Lending & Custody Operations Manager Resume Examples & Samples

  • 10+ years financial services experience. Experience necessary in Agency or Firm Securities Lending, and Securities / Custody operations experience
  • Necessary Experience in Securities Lending, Collateral management and reinvestment, Settlements, Corporate Actions, Client Servicing, Risk reporting
  • The ability to work under pressure, handle multiple priorities and work as part of a team as well as individually
  • Strong analytical, writing and presentation skills and communication presentation skills
  • Experience dealing with senior business leaders and other senior stakeholders
  • Entrepreneurial thinking and acting at all times, taking ownership for instigating and executing initiatives
  • Performance and result oriented work-style with a strong business acumen
  • Excellent team leader, able to work in virtual global teams and a matrix organization
  • Excellent client service skills and ability to work with business, product and technology partners
  • Expert-level analytical skills,, flexible regarding production problem solving
  • Bachelor Degree from an accredited college or university
28

Associate, Securities Operations Accounting Resume Examples & Samples

  • Bachelor’s degree in Accounting or Finance with a minimum of three to four years of related experience
  • Accounting designation, with preference giving to big four accounting firm experience
  • Experience in financial services industry with a focus on Capital Markets
  • Strong knowledge of Capital Markets products from several areas (e.g. Foreign Exchange, Fixed Income, Equity, Derivatives)
  • Solid experience with MS Excel, Access, Word and PowerPoint
  • Ensure prompt investigation and resolution of issues and recommend improvements
  • Maintain effective relationships with Operations, P&L, Finance and Technology groups
  • Provide assistance with system upgrade and release testing
29

Project Execution Lead-global Securities Operations Resume Examples & Samples

  • Lead multiple projects through complete lifecycle from ideation to execution, including the approval and demand management process, and ensures quality and timeliness of project completion – in particular, market and regulatory operational changes (e.g. T+2 Settlement Cycle, MiFID)
  • Understand various business requirements from senior leaders and work with our technology, operations, and risk partners to ensure projects are aligned to the requirements and direction of the firm from both a strategic and regulatory perspective
  • Create project governance, managing cost/time estimates and tracking schedules, milestones and critical timelines from inception to delivery across GSO Americas
  • Conducting deep dive reviews into existing processes and controls to help define and implement future state requirements
  • Main contributor to strategy design and change initiatives (e.g. productivity, regulatory, process governance), New Product Review for Global Securities Operations Development, Target Operating Model, and Change related initiatives
  • The Operations Lead is responsible for facilitating communication between various groups within Operations, the wider bank and system vendors related to Operations strategy, Business Case Development, Benefits Statement, Requirements Definitions, Continuous Process Improvement, Communications, Planning and Implementation
  • Analyse and identify possible risks and issues that could impact delivery of projects and either resolve them or escalate as appropriate
  • Applies GTO and Business strategies and objectives across product and business lines within all internal and external policies/guidelines and requirements of the regulators
  • Ensure that project work is compliant with documented standards, templates, and frameworks, and captured in agreed toolsets
30

Multifunction Agent Securities Operations Resume Examples & Samples

  • Processing
  • Notification and processing of (standing) cash and securities instructions / transactions, cancellations, amendments, corporate events, (pre) matching and settlement results, supporting (out) conversions
  • Opening, maintenance and closing of clients' accounts
  • Acknowledgement, validation, record and authorization of relevant documents
  • Controlling
  • Monitoring of workflow, deadlines and balances
  • Daily risk management controls
  • Reconciliation of the client's holdings
  • Follow-up/chasing on status updates
  • Investigation
  • Investigation of invalid, incomplete or incorrect instructions/transactions
  • Investigation of cash and securities movements, closing of cash and asset breaks
  • Inquiry tracking, monitoring and resolution
  • Administration & Reporting
  • Filing and record keeping of appropriate documentation
  • Production of reports and statistics
  • Professional communication whether by email, in writing or by telephone, either to internal/external clients, counterparties, third parties, subcustodians and/or authorities
  • Handover communication to other centers
  • Escalation, where appropriate, to Management
  • Minimum Education: High school graduated
  • Preferred Education: Bachelor/University degree
  • Minimum Experience: 2 years experience
  • Preferred Experience: 3 years of experience and 2 different functions
  • Minimum Language Skills: English
  • Preferred Language Skills: English, French, Dutch (any other language is an asset)
  • Information exchange is a significant feature of the job
  • The Multi-functional Agent will interact with business operations for the assigned function
  • Personal organization
  • Work quality/attention to detail
  • Initiative/sense of urgency
31

Senior Securities Operations Analyst Resume Examples & Samples

  • Provide leadership to all operational aspects associated with trade settlements
  • Ensure timely and accurate settlement of trades across multiple security types, global markets, brokers, and custodians
  • Work closely with multiple external and internal parties to resolve trade discrepancies, including unmatched and failed security trades, foreign exchange contracts, overdrafts, and wires
  • Act as the primary escalation contact within Janus to ensure settlement related issues are resolved in a timely manner
  • Create and maintain accurate broker and custodian settlement instructions across multiple databases
  • Ensure accuracy of new account profiles within all internal systems
  • Work with Trade Operations and vendor to refine existing SWIFT messaging processes
  • Ongoing review of existing processes to identify potential improvements to create new efficiencies and increase quality and controls
  • Provide training to new settlement employees as well as training existing employees on new functions as needed
  • Promote an energized and engaged environment
  • Expertise associated with equity and fixed income securities settlement, both US and international, including knowledge of FX, buy-ins, 144A and restricted securities, and physical securities
  • Strong communication skills (both written and verbal)
  • Proven ability to maintain a customer service focused attitude in a high pressure securities environment
  • Ability to work independently within established guidelines and strict operational controls
  • Ability to leverage existing experience to make meaningful contributions to projects and strategic initiatives
  • Three to five years of related financial industry experience in back and middle office operations with an emphasis on trade settlement
  • Working knowledge of Charles River IMS
  • Experience with SWIFT and/or BBH Infomediary
  • Knowledge of Fund / Portfolio Accounting practices
32

Securities Operations Manager Resume Examples & Samples

  • Delivers an operations environment that meets all service level agreements and availability targets
  • Develops and implements team standards and procedures that support departmental standards and procedures
  • Develops, manages, and forecasts the budgets for the relevant cost centers
  • Communicates ideas both verbally and in written form in a clear, concise and professional manner
  • Team skills, including the ability to establish and maintain effective working relationships both internally as well as externally
  • Displays strong leadership qualities, decision making abilities, and strong business judgment
  • Excellent decision-making, problem-solving, team building, negotiation, conflict management and time management skills
33

Securities Operations Specialist Resume Examples & Samples

  • Daily orders for global markets: subscription, redemption, switches
  • Organize dealing documentation and customer files
  • Process all manual transactions received
  • Handling all request of internal and external customers
  • Sending of daily cash flow forecast for fund manager
  • Ensuring that relevant deadlines and other performances standards are met
  • Reconciliation of fund units
  • Processing of corporate actions, dividend, mergers
34

Securities Operations Associate Resume Examples & Samples

  • Proficient in the use of basic office equipment and tools as well as applications specific to trust systems/processes
  • Requires strong problem-solving, time management, organizational and data entry skills
  • Requires attention to detail and the ability to multi-task and adjust schedules to meet deadlines
35

CIB Securities Operations Resume Examples & Samples

  • End to end notification & processing of all corporate action events throughout the EMEA region
  • Assisting other team members during peak work periods
  • Ensure discretionary corporate instructions are sent to custodians on a timely basis
  • Experience using SWIFT messaging
36

Senior Securities Operations Analyst Resume Examples & Samples

  • Listing of Fixed Income, Commodities and Equity Derivatives Products
  • Listing of eligible collateral instruments for the clearing house
  • Corporate action derivative adjustments
  • Clearing fee management
  • Trading and settlement calendar management
  • Establishing new Products
  • Members/Customer Support
  • Create and maintain good relations to Nasdaq members and partners
  • Create and maintain good relations to internal customers
  • Derivatives rule book review and administration
  • Service minded, flexible and good with details
  • Curious and eager to learn about the financial markets
  • Work both individual and in group
  • Excellent English skills. Knowledge of Nordic languages is meriting
  • Computer skills: Excel and Office. Knowledge of Genium INET and WIZER is meriting
37

Head of Securities Operations Resume Examples & Samples

  • Manage Securities Operations including those relating to Fund Administration, Fund Accounting, Direct Custody and Global Custody Operations, and other Securities Operations
  • Work on transition of processes from parent location to the Center – identification of all processes (including customized processes), documentation of all processes, knowledge transfer, process setup in KL and go live
  • Work on process improvements to streamline processes, improve productivity and use strategic cost management to reduce Unit Processing costs across Units
  • Identify and implement Transformation and other Process Improvement initiatives
  • Coordinate with Product/Client Service teams to understand and implement client requirements around customized processes and reporting
  • Coordinate with Product/Technology on new product/new functionality developments
  • Coordinate with Client Service Teams to lay down Service Delivery Standards and ensure service delivery as per agreed standards
  • Ensure focus on Controls and Compliance in the teams
  • People Management – assist HR in identification and recruitment of talent with Team management, Motivating, rewarding and career planning for the team
  • Develop talent and build bench strength
  • Knowledge Management – Ensure all processes are documented and kept up to date; all non-standard processes are made available to core and backup team members; best practices/processes/key learnings are shared across teams and COEs
  • COB – Create an effective COB that will allow seamless service to clients in case of any type of COB
  • The person in effect should be able to step in Lead Site operations. (Interim and permanent basis)
  • The person filling this role should be able to demonstrate capabilities with relevant Securities Services experience and proven track record to run the site operations
  • Management of fresh migrations of work from overseas locations into this to ensure seamless transition and no end-client impact
  • Development and implementation of people development initiatives that align with the planned explosive growth of the SSO business including mobility, diversity, talent reviews, learning and development and performance management
  • Strong leadership, people management and communication/influencing skills
  • Minimum 15 years of relevant experience
  • Proven track record of managing large operations (over 400 person strong)
  • Excellent written, verbal communication skills and excellent interpersonal skills
  • PC skills, Excel, Presentation Skills
  • Name of the Requisitioning Manager: Craig Dudsak
  • Location: Kuala Lumpur, Malaysia
38

Securities Operations Specialist Resume Examples & Samples

  • Develops an understanding of laws, controls and regulatory requirements
  • Demonstrates awareness of industry trends and learns how to research programs and processes
  • Develops understanding of internal and external market control environments
39

Securities Operations Specialist Resume Examples & Samples

  • Consistent execution of all required process steps, transaction, requests to accomplish daily and routine job tasks
  • Works proactively with customers to cultivate and maintain relationships
  • Good understanding of the overall goal and contribution of own focus area
  • Good understanding of different types of securities and how trading and/or clearing and settlement is conducted
  • Well organized, with attention to accuracy and deadlines, ability to set priorities and work with a minimum of supervision
40

Securities Operations Resume Examples & Samples

  • Provides back office support for all areas of the operation upon request from customers
  • Works actively to improve processes and services by identifying improvements and implements changes with small impact on own area (Trading, Clearing, Collaterals, Products or Members)
  • Good understanding of the different systems required to perform qualitative system testing and support all types of customer requests
  • Ability to adapt to changing needs
41

Securities Operations Analyst Resume Examples & Samples

  • Listing of cash Equity instruments and Icelandic Fixed Income cash
  • Corporate action monitoring of press releases
  • Creating and maintaining good relations to members and partners
  • Creating and maintaining good relations to internal customers
  • Updating the systems with new information
  • Developing work regarding processes and operational related issues
  • Service minded, flexible and having excellent analytical skills
  • Being attentive to details
  • Feeling curious and eager to learn about financial markets and products
42

Securities Operations Associate Resume Examples & Samples

  • Minimum of five years proven and progressive operational experience or equivalent
  • Minimum of an associate’s degree in business, related field or equivalent experience
  • Proven organizational, planning, analytical, problem-solving, customer service and communications skills
  • Detail oriented and ability to manage multiple tasks
  • Knowledge of operational policies, procedures and regulations for assigned area
  • Foreign language skills desired – Spanish and/or Portuguese
43

Global Securities Operations Associate Resume Examples & Samples

  • Research, source, and analyze market reference data, along with company information, using various vendor sources
  • Interact and partner with associates at different levels internally and externally
  • 0-1 years accounting, finance, or industry experience
  • Attention to detail and demonstrated accuracy in a deadline driven environment
  • Flexibility to work overtime as needed
44

Securities Operations Assoc Resume Examples & Samples

  • Performs monthly processes to validate & reconcile MBS principal & interest payments
  • Reviews exceptions reports related to payment & disclosure processes
  • Communicates with internal business partners to resolve issues Communicate with Trustees on a monthly basis to administer non-standard securities
  • Follows and maintains detailed procedures using varied and complex systems and databases
  • Responds to inquiries from MBS investors
  • 1 year of related experience
  • College Degree in Finance/Accounting or equivalent experience
  • Analytical & Critical Thinking skills
  • Ability to work as part of a team & collaborate to find solutions to complex problems
  • Experience with Microsoft Office Applications (Word, Excel, Access)
  • Self- Motivated and detail oriented
  • Work towards a graduate degree
45

Securities Operations Specialist Resume Examples & Samples

  • Provide settlement services including
  • Proactivity with customers to cultivate and maintain relationships
  • Ability to quickly learn different systems required to perform group and individual tasks and support all business type of customer requests
46

Securities Operations Associate Resume Examples & Samples

  • Reconcile and process daily income files from NSCC, DTCC, & BNY Mellon using internal systems as well as complex mathematical formulas based on service-level agreements
  • Monitor and clear control accounts and cash exceptions for non-networked income postings
  • Review workflows for requests from internal business units and external clients
  • Proactively monitor income projections, pre-balance accumulated totals & adjust income maps to ensure accuracy
  • Analyze & elect client taxability for income on foreign securities
  • Create daily blotters to balance posting activity
  • Participate in updating and creating procedures for changes or new processes
  • Compile monthly reporting and reviews as needed for internal and external audits
  • Complete operational projects as assigned & assist other ROS team members
  • BS/BBA Finance/Accounting or comparable experience
  • Strong problem-solving skills with initiative & a sense of urgency
  • Careful attention to quality & detail
  • Ability to apply complex mathematical formulas
  • Excellent problem-solving and time management skills
  • Ability to prioritize & work in an organized manner
  • Ability to establish and maintain effective working relationships through multiple business lines using excellent verbal and written communication skills
  • Proficiency in Microsoft Office Suite with strength in Excel
  • Ability to work effectively under the pressure of tight deadlines
47

Global Securities Operations Analyst Resume Examples & Samples

  • Resolution and escalation of unmatched fails
  • Timely response to client queries regarding the settlement of their trades, agreement of collateral
  • Client fails reporting
  • Buy in avoidance
  • Liaising with other internal departments to ensure timely reflection of stock loan borrows/loans
  • Involvement in ad hoc projects for new processes or industry initiatives
  • Breaks investigation and resolution
  • Client facing experience or ability to conduct discussions with clients in a confident manner
  • Excellent communications skills and ability to present to an audience
  • Proficient with MS office applications (Excel, Powerpoint, Word, etc)
  • Knowledge of operational risk, client money protection and funding
48

Securities Operations Specialist Iv-account Services Resume Examples & Samples

  • Assist with complex operational tasks that will require research and analysis related to Account and Trade exceptions. Review and process workflow items. Resolve any issues within department service level expectations
  • Subject Matter Expert on all product related processes including but not limited to Mutual Funds, Equities, Annuities and Managed Accounts
  • Understand the changing regulations of the securities industry. Support the M&T Securities Compliance and Risk team with monitoring and reporting of daily activity and exception reporting
  • Act as a liaison between our internal customers and various vendors
49

Global Securities Operations Settlements Analyst Resume Examples & Samples

  • Same day exception resolution
  • Next day break resolution
  • Secondary support of Swaps desk as well as backup for other members of the team
  • Ability to handle multiple deliverables, stressful situations, problem solving under market driven deadlines
  • Strong PC skills; experience with Microsoft Office products
  • 2+ years of related operations experience
  • Understanding of risk and control
  • Ability to problem solve, articulate requirements and escalate
50

Global Securities Operations Custody Services Analyst Resume Examples & Samples

  • Interact with external clients via email and phone and communicate settlements, corporate action and dividend related transactions
  • Reconcile accounts daily to ensure entries post according to event details
  • Liaise with other internal departments to ensure timely resolution of client concerns and account exposures
  • Cross train within group to ensure proper coverage and client satisfaction
  • Presentable and client-focused and have the ability to conduct discussions with clients in a confident manner
  • Excellent communications skills and ability to establish business relationships
  • Self-motivated individual and must be risk-minded to recognize exposure and escalate pressing and critical issues
  • Individual must manage time effectively, prioritize and cross train within business group
51

Senior Global Securities Operations Associate Resume Examples & Samples

  • Perform time-critical functions on a daily basis
  • Gather and verify information from various systems and sources
  • Bachelor’s degree in accounting, finance, economics, or business is required
  • 0-4 years accounting, finance, or industry experience
  • Proficient in Microsoft Office with a strong ability to learn various accounting related systems
  • Passion for problem solving and multi-tasking
52

Securities Operations Specialist Resume Examples & Samples

  • Process Cost Basis Transfer Statement inbound and outbound manually and via CBRS
  • Process Cost Basis form requests: asset distribution transfers and tax lot adjustments
  • Process change asset registration requests
  • Process free receive and deliver requests for Liabilities
  • Post cash and securities transactions as received or withdrawn to accounts on Addvantage Trust system
  • Post, submit and monitor incoming and outgoing mutual fund transfers via FUNDLINX
  • Post, submit and monitor incoming and outgoing account transfers submitted via ACATS
  • Review Cash Blotter and ensure items are submitted and balanced prior to leaving each day
  • Review and resolve position recon daily for outages incurred during processing
  • Review and resolve all cash recons daily for outages incurred during processing
  • Initiate action to resolve any discrepancies with transfers
  • Produce daily pending trade report to department
  • Participate in team building activities
  • Participate in monthly storage procedures for department
  • Appropriately prepare folders for next day’s workload
  • Adhere to Department follow-up standards for all transfers
  • Ensure files are organized and written documentation is retained on transfers
  • Perform other assignments as requested/required
  • BBA Degree
  • Minimum 3 year experience in Transfers or Securities Operations
  • Proven Excellence in Microsoft office
  • Ability to work effectively under pressure, meet deadlines and adapt easily to change
53

Securities Operations Analyst Resume Examples & Samples

  • Minimum High School Diploma or GED
  • Familiarity with database and mainframe systems is a plus
  • Excellent understanding of operational functions
  • Minimum typing skills of 30 wpm
  • Proof reading skills
  • Knowledge of Microsoft Office, Internet mail
  • Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously and meet strict deadlines
  • Ability and willingness to learn new skills related to the successful achievement of departmental goals
  • Ability to self-motivate and work in a team environment
54

Securities Operations Assoc Resume Examples & Samples

  • Review exceptions reports related to payment & disclosure processes
  • Communicate with Trustees on a monthly basis to administer standard securities
  • Support adhoc requests that come in for data and reporting
  • Assist associate team members when issues arise
  • Bachelor’s degree in Finance/Accounting or equivalent experience
  • 1 year related work experience
  • Experience with SharePoint
55

Securities Operations Income Processing Resume Examples & Samples

  • Responsible for the set-up, maintenance, review and reporting on approximately 30,000 cusips on the Private Bank platforms
  • Ensure timely set up of all new security set up requests from Business and Operational partners and coordinate requests for user cusips with ICG partners to support Trust and Custody Business
  • Compile and process manual daily pricing files of non-automated vendor supplied pricing into Citi’s platform
  • Ensure execution and demonstrate evidence of daily quality control checks on all asset set-up and maintenance activities
  • Conduct regular quality checks, review data discrepancies and resolve issues for pricing rejects, price changes, etc
  • Conduct 3rd party custodian pricing oversight (Pershing) and related reporting
  • Research and resolve pricing and reference data inquiries from various business partners
  • Escalate to send site manager any transactional issues that are “at risk”
  • Compile and track issues with third party data service providers and participate in regularly schedules calls
  • Ensure all daily work is properly organized, complied and archived for review my send site manager and can be produced for review by audit and compliance as required
  • Ensure all maker checker processes are followed and properly evidenced
  • Responsible for all Metrics and MCA reporting as required
  • Production of monthly pricing reports to business partners with respects to stale pricing, quality and metric reporting
  • Strong operational knowledge of all aspects of Securities Operations with respects to industry and operational processes such as Income Processing and Trade Settlement for both US and non-US securities
  • Ability to handle high volumes and ability to prioritize work flow to ensure delivery against global market cutoff times
  • Knowledge in the use of Bloomberg, Reuters and Interactive Data Corp systems with respect to extraction of security reference data
  • Familiar with calculation and components of U.S. Cost Basis Tax Reporting requirements with focus on Bond Amortization, Accretion, OID, etc. and relevance to certain security types
  • Strong written and verbal communication skills; ability to communicate with all levels of management and various groups within Citi (Bankers, Account officers, Operations Managers, Technology Teams and Third Party Service Providers)
  • Extensive experience with referential data for US and Global Markets and strong understanding of associated Tax and Client Reporting and Trade Processing interdependencies
  • Demonstrate strong knowledge of various types Equity, Fixed Income (CMO, US and Foreign Corporates and Government Types, Municipals, etc.), Mutual Funds, Preferred Securities and Complex Securities and understand the critical components of these securities required for proper trade capture, settlement and reporting
  • Strong understanding of Tax and Client Reporting with focus on Bond Amortization, TIPS, OID and Cost Basis calculations and reporting
  • Demonstrates effective work habits and organizational skills with the ability to prioritize, multitask and adapt to changing priorities
  • Team focused and able to collaborate effectively with peers
  • Client service oriented with the ability to create relationships throughout Operations, Technology and various business lines
  • Analytical with the ability to complete assigned tasks independently
  • Detail-oriented with a demonstrated ability to produce high quality and accurate work
  • Excellent MS Office skills with focus on Excel, Access, PowerPoint, etc
56

Securities Operations Prf Resume Examples & Samples

  • Perform monthly processes to validate & reconcile MBS principal & interest payments
  • Communicate with internal business partners to resolve issues
  • Participate in system development projects and provide subject matter expertise
  • Support ad hoc data and reporting requests
  • 2-4 years related work experience
  • Working knowledge of mortgage-backed securities
  • Ability to manage time effectively and thrive in an environment with multiple deadlines
57

Securities Operations Director Resume Examples & Samples

  • Manages the Securities processing environment to protect the production systems critical to the success of the business
  • Selects, trains, develops and leads an efficient and effective processing team
  • Excellent negotiation and presentation skills
  • Viewed as an expert resource by peers and coworkers, maintains a good working relationship with both internal and external customers
  • Possesses strong personnel management skills
58

Avp-account Services, Securities Operations Resume Examples & Samples

  • Process account opening, closure and maintenance for Equities and Futures/FX timely and accurately
  • Perform reconciliation checks to ensure no delay in processing and notifications to customers
  • Update management statistics for management reporting on monthly basis/adhoc basis
  • Attend to internal and external customers’ queries received from internal Business Units
  • Ensure standard operating procedures are followed
  • Perform adhoc assignments as maybe assigned by Team Lead from time to time
  • Preparation of test script for UAT
  • Execute UAT test cases and highlight issues pertaining to testing
59

CPB Securities Operations Income Processing Resume Examples & Samples

  • Bachelor’s Degree from an accredited college or university or equivalent experience
  • 6-1 years Income Posting experience & strong knowledge of Capital Market terms like - DTC, Fed, Clearstream, Cedel and Custodian
  • A friendly professional demeanor and ability to excel in a team oriented environment
  • Ability to manage time effectively, set priorities and meet deadlines on a daily basis
  • Ability to learn and adapt to change Desire/ability to work successfully in a large company environment
  • Excellent MSOffice skills with focus on Excel, Access, PowerPoint, etc
  • Understanding of various types of financial instruments, corporate action events and various income types will be advantageous
60

Securities Operations Manager for FIS Reliance Trust Resume Examples & Samples

  • Day to day responsibility of overseeing the staff involved with the Collective Funds Accounting and Operations for the Reliance sponsored CITs, in addition to the Unitized Accounts outsourced to Reliance. Working closely with the Staff and internal and external Clients to ensure that all accounting and processing is completed accurately, timely and efficiently each day
  • Must ensure that all client deadlines and service levels are met on an on-going basis
  • Responsible for ensuring that strong internal controls environment is in place and properly functioning avoiding errors or losses incurred by the Funds
  • Expert knowledge and ownership of the Fund Accounting Systems employed by FIS to perform Fund and Portfolio Accounting and related recordkeeping including InvestOne, AddVantage, TrustDesk and IMS
  • Responsible for ensuring that all operational related functions and processes are effectively automated in a cost effective manner
  • Responsible for ensuring that the Staff is properly trained and is able to accurately and efficiently carry out their responsibilities with minimal intervention by Management
  • Will monitor e-mail for directions applicable to processing on each desk
  • Will guarantee that all client queries concerning fund activity and/or positions are answered timely and accurately
  • Must communicate effectively with internal and external contacts to ensure that all client direction is appropriately acted upon
  • 10+ years of experience with processing security transactions; include operations, security processing, security set up, pricing, trading, corporate actions, or transfers
  • 5+ years of management experience, in leading a team responsibility for Collective Fund Accounting
  • 5+ years of experience in performing Fund Accounting and Participant Recordkeeping for Collective Funds
  • Willingness to master all aspects of the department, including duties of all supervised staff
  • Detail-oriented, should possess strong organizational skills
  • Ability to determine appropriate priorities for tasks and responsibilities
  • Ability to learn quickly, motivation to research subjects related to job
  • Flexibility to take on new projects and adapt policies and procedures within a rapidly evolving department
  • Teamwork oriented
  • Strong writing and communication abilities
61

Securities Operations Associate Resume Examples & Samples

  • Confirm trade details and provide allocations to the counterparties electronically via OASYS
  • Communicate trades electronically via SWIFT messaging to custodians
  • Review custodian settlement reports to ensure all trades settle on settlement date
  • Research failed trades with counterparties and publish fail details for management review
  • Confirm Tri Party REPO trade details with counterparties electronically, communicate instructions to custodians, and monitor collateral
  • Allocate pools to TBA trades, process pair off wires, and communicate fails to management
  • Work with management and Information Technology to improve current processes
  • College degree (1 to 3 years experience in the Financial industry)
  • Knowledge of Fixed Income Mortgage Backed Settlements
  • Strong systems skills; advanced skills in Excel is a plus
  • Excellent interpersonal, teamwork and client service skills
62

Securities Operations Branch Manager Resume Examples & Samples

  • Responsible and accountable for leading and developing a team of people, setting a direction and deploying resources for varying projects, participating in company-wide projects while providing guidance and expertise when needed
  • Supervising daily activities of the team to ensure the expectations and goals are net and/or exceeded
  • Set priorities for team achievements, coordinate within other teams/managers
  • Collaborates with other managers and departments to ensure the effective work processes and regarding client requests
  • Ensures the team is aware of organization policies and procedures, products and services
  • Regular reporting of the Branch performance to the parent company and the management board
  • Escalation of the operational issues and incidents to the business unit and focus on the solution
  • Work with operational tools re-platforming project and compliance related technical changes
  • Works to identify and mitigate operational risks
  • Monitors and reports team performance indicators
  • Acts as an escalation point for operational issues for the team
  • Motivates, develops, recruits and retains team members, cultivating high performing team culture
  • Energetic, positive and able to motivate
  • Able to work and lead in fast-paced environment
  • Proactive and improvement driven mindset
  • Good relationship management skills
  • Good organizational, planning, coordinating and project management skills
  • Recruitment, training, coaching and developing experience
  • Transition experience
  • Knowledge of mutual fund trading, international cash settlement, FX trading, corporate actions would be an advantage
63

Coo-securities Operations Resume Examples & Samples

  • Work closely with Client Management and Client to coordinate all documents requirements for account opening. Raise account opening requests with Operations team to setup internal and external accounts
  • Develops and maintains productive working relationships with external and internal clients. Builds and maintains an understanding of the client’s current issues to inform the implementation of product/service strategies that will meet client needs and the Bank’s strategic direction
  • Builds and maintains productive relationships with internal and external partners
  • Supports the development of SLAs, KPIs and KRIs, front to back across the business, benchmarking activities and performance monitoring against agreed metrics. Provides regular and ad hoc Management Information (MI), analysis and insight
  • Supports the development of proposals and delivery of initiatives, in collaboration with clients and colleagues, for new implementation projects, to ensure effective implementation and client satisfaction
  • Supports the implementation of business change solutions, including Product and Division-wide initiatives. Supports new product/service development, process and performance improvement initiatives to deliver industrialised solutions and client optionality
  • Supports new business initiatives, new market opportunities, new client groups, new business and vendor initiatives and any regulatory changes
  • Supports the wider team to identify continuous improvement initiatives that deliver both incremental and step change in performance
  • Highlights operational, regulatory and other risks to the management. Liaises with the client and actively participates in problem resolution to ensure client satisfaction with the outcome
64

Securities Operations Associate Resume Examples & Samples

  • Request client statement packages/formats on appropriate cycles
  • Correct and/or reorder individual statements as requested
  • Monitor reports indicating upcoming statement drops that have pending out of balance situations and communicating with the appropriate parties to resolve
  • Monitor reports indicating requested statements that are currently out of balance and require attention, communicating with the appropriate parties to resolve
  • Research transactional activity to identify items that generate out of balance scenarios
  • Participate in projects that require new statement formats or updates to existing statement formats
  • Monitor and track workflow tickets for production
  • Communicate with the Service Team and Vendor as required
  • Track and compile production numbers to monitor volumes monthly
  • Research and report volumes of statements for client reporting
  • Provide coverage for fellow associates during absences and vacations
  • High school degree or equivalent work experience
  • Minimum 3 years of experience in Securities Operations preferred
  • Efficiency in Microsoft Office
  • Ability to organize and set priorities on daily work
  • Ability to perform multiple tasks simultaneously
65

Global Securities Operations Analyst Resume Examples & Samples

  • Multi-functional job requiring analytical, research, problem solving and time management skills
  • Exceptional organizational skills and professional demeanor
  • Microsoft suite of products
66

Securities Operations Analyst Resume Examples & Samples

  • Review the PTF (pending trades – fail report), PTR (pending trades report)
  • Download trade confirm files from DTCC
  • Review DTCC unaffirmed confirmation report and send errors to liaisons
  • Update and correct trade errors per responses from liaisons
  • Initiate function to match confirms to trades on the PTR for inside trades
  • Create and send affirmation file to DTCC for inside trades
  • Print confirms to file for research purposes
  • Post all DTCC eligible trades
  • Post net cash activity to DTCC internal accounts daily
  • Research outstanding trades on a daily basis and follow up with money manager or broker to verify trade information
  • Provide notification of fails to liaison/admin and document follow up on failed trade log for audit purposes
  • Run trade advice files and deliver according to instructions for each client
  • Monitor and resolve position recon tickets/workflow tickets within standard
  • Monitor internal accounts and cash exceptions and clear within standard
  • Balance and complete daily blotter of posting activity
  • Perform other assignments as requested
  • BBA or equivalent experience
  • Strong organizational skills and attention to detail
  • Ability to adjust to a volatile work schedule
  • Ability to consistently meet deadlines and follow through
  • Strong communication and follow through
  • Proficient in Microsoft Office Suite of products (Knowledge of Sharepoint helpful)
67

Securities Operations Prf Resume Examples & Samples

  • Generate data queries for daily and monthly reporting for SAM and other areas
  • Ability to generate data queries via MS Query or Rapid SQL
  • Experience with Microsoft Office Applications, particularly Excel
  • Excellent verbal, analytical & critical thinking skills required
  • Ability to manage time effectively and thrive in environment with multiple deadlines
68

Securities Operations Specialist Resume Examples & Samples

  • Processes inbound and outbound Cost Basis Transfer Statements both manually and via CBRS, Cost Basis form requests (asset distribution transfers and tax lot adjustments), change asset registration requests and free receive and deliver requests for Liabilities
  • Posts cash and securities transactions as received or withdrawn to accounts on Addvantage Trust system
  • Posts, submits and monitors incoming and outgoing mutual fund transfers via FUNDLINX and account transfers submitted via ACATS
  • Reviews Cash Blotter and ensures items are submitted and balanced prior to end of day
  • Reviews and resolves daily position recon and all daily cash rcons for outages incurred during processing
  • Initiates action to resolve any discrepancies with transfers
  • Produces daily pending trade reports
  • Adheres to department follow-up standards for all transfers
  • Ensures files are organized and written documentation is retained on transfers
69

Senior Global Securities Operations Associate Resume Examples & Samples

  • Post trade processing, fail management, and collateral oversight
  • Maintain awareness of industry changes and their impact on the confirmation, settlement, and collateral process
  • Facilitate confirmation and/or margin process with brokers via phone, email, and electronically
  • Managing the currency decision process for various instruments equity and income repatriation
  • Resolving settlement issues with custodian banks and brokers
  • Coordinate the new market opening process
  • Participation in small to medium size projects related to various department initiatives
  • Bachelor’s degree required, MBA and/or CPA a plus
  • Minimum 1 year of experience in finance, accounting, or investment operations role
  • Excellent verbal and written communication, interpersonal, analytical and problem solving skills
  • Must be able to work independently and as a part of a team
  • Capable of working under tight time constraints with multiple priorities
  • Ability to learn various trading related systems as well as proficiency in all Microsoft Office applications
70

Coo-securities Operations Resume Examples & Samples

  • Work closely with the local exchange and regulators on any market updates and coordinate internally to deliver the change / update
  • Performs local reporting and custody processing such as vault reconciliation and physical shares processing
  • Performs oversight to service centers who does core processing
  • Supports the implementation of business change solutions, including Product and Division-wide initiatives. Supports new product/service development, process and performance improvement initiatives to deliver industrialised solutions
  • Understand the cost drivers and explore initiatives to improve efficiencies and changes
71

Securities Operations Associate Resume Examples & Samples

  • Initiating and processing All Equity Dividend payments received via NSCC, wire, ACH or fund statement
  • Verify equity security set up coding across various platforms are accurate
  • Reviews and clears all Cash and Position exceptions on a daily basis
  • Posts income in a timely manner to ensure payments are processed with SLA
  • Contact Mutual Fund companies and NSCC to obtain and update dividend payment details
  • Provide daily status updates on outstanding Income payments
  • Research processed payments Income payments across various trust systems and software applications
  • Provide assistance to other Team members across roles and functions
  • Identify issues and discrepancies that may create risk/exposure to firm
  • BS/BBA Business or comparable experience
  • Ability to establish and maintain effective working relationships across multiple business lines using excellent verbal and written communication skills
72

Securities Operations Associate Specialist Resume Examples & Samples

  • Initiating and processing cash sweep trades through trust trading platforms
  • Ensures files are relayed to and from Reliance properly
  • Reviews and clears all reconciling exceptions
  • Contact Mutual Fund companies and Banks to perform trading activities throughout the day
  • Proficient with MS Office suite, particularly Excel and Access
  • Demonstrated history of performing multiple tasks within a fast-paced environment
  • Able to adapt to a volatile work schedule; certain days require specialist to work extended hours
  • Strong organizational skills and aptitude for detail are a must