Securities Trader Resume Samples
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Securities Trader Resume Samples
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AF
A Flatley
Antoinette
Flatley
814 Nitzsche Meadows
Phoenix
AZ
+1 (555) 921 7271
814 Nitzsche Meadows
Phoenix
AZ
Phone
p
+1 (555) 921 7271
Experience
Experience
Dallas, TX
Securities Trader
Dallas, TX
Wisozk LLC
Dallas, TX
Securities Trader
- Determines optimal order routing venues to ensure best execution
- Maintains a broad knowledge base of the securities industry including: regulatory and market events, investment products, operational processes, operational methodologies and technology
- Confirms all daily trading activities to Counterparts and sales, responsible for all trade capture activities on the day the trades are executed
- Assist internal operations departments by providing back-up support, coordinating processors to expedite transfers, settlements, research, and complex problem resolution
- Assist on month end pricing and market to markets
- Adapt being a team player
- Participate on sales meetings/conference calls to provide sales alternatives, promote desk products, and maintain them informed on all market trends, economic date, new issues or any other useful information to generate and grow business volumes and revenues
Chicago, IL
FI Securities Trader
Chicago, IL
Kling, Frami and Heathcote
Chicago, IL
FI Securities Trader
- Create and assist in special projects to enhance sales of unit trusts, and projects that assist the unit trust management team in making decisions
- Assist in information flow to other members of the Portfolio and Inventory Management Team and Investment research Team to maintain peak efficiency
- Research and rectify any trade problems within the Portfolio and Inventory Management Team
- Position receives and compares reports from Ops and Research teams and addresses discrepancies based on his knowledge and involvement of the portfolio being comprised
- Record and track of all competitive data on fixed income products to potentially give members of division product development/enhancement ideas
- Work closely with Product Development team to come up with ideas to enhance sales; these ideas include ways to get in front of Invesco wholesalers and home offices
- Present interesting findings to Head of Portfolio & Inventory Management
present
Los Angeles, CA
FX & Securities Trader
Los Angeles, CA
Murray, Huels and Beer
present
Los Angeles, CA
FX & Securities Trader
present
- Define, implement and actively manage trading strategies for the approved market factors
- Assure that all market risks under the area's responsibility are maintained in compliance with regulatory and corporate limits
- Maintain close communication with the sales teams locally and offshore, constantly informing relevant market information, economic updates and trading strategies
- Ensure efficient usage of limits on risk taking strategy supported by strong market analysis
- Assist operations with all Trading Desk related matter including settlements and reporting
- Helps ensure both firm and representative compliance by observing and abiding by securities regulations
- Establishes and builds partnerships with registered representatives of all distribution groups, clearing firm, and product sponsors
Education
Education
Undergraduate Degree in Finance
Undergraduate Degree in Finance
Ball State University
Undergraduate Degree in Finance
Skills
Skills
- Good communication skills
- Ability to handle stress of a trading desk
- Ability to handle multiple time deadlines
- Strong organizational skills
- Team player
- Open minded, flexible, and willing to listen for other people’s opinions
- Willing to work in high pressure, time sensitive environment
2 Securities Trader resume templates
Read our complete resume writing guides
1
Securities Trader Resume Examples & Samples
- Purchases and sells securities on behalf of clients, receives order from WM/RR and ensures accuracy of information, contacts market makers/sales traders to execute client orders in an accurate and timely manner at best possible price
- Strong knowledge of market and securities functionality to have the ability to negotiate prices among counterparties accordingly
- Produce and distribute a variety of reports as required
- Must have ability to multitask, manage and mitigate risk to the firm by limiting errors and showing leadership
- Adherence and management of counterparty credit limits
- Participate on sales meetings/conference calls to provide sales alternatives, promote desk products, and maintain them informed on all market trends, economic date, new issues or any other useful information to generate and grow business volumes and revenues
- Be proficient in, and understand the dynamics of the fixed income credit markets and its various products, equities, currencies and basic options techniques
- Demonstrate great attention to detail
- Executes decisions and closes deals with limited or no support
- Continues to build and further develop product expertise
- Confirms all daily trading activities to Counterparts and sales, responsible for all trade capture activities on the day the trades are executed
- Comply with all FINRA rules and regulations and keep all required documentation to comply with internal and external audit requirements
- Assist operations with all Trading Desk related matter including settlements and reporting
- Assist on month end pricing and market to markets
- 1-3 years of experience in a trading desk environment managing investments and securities
- FINRA Series 7 License required
- Adapt being a team player
- Thorough Bloomberg and Excel knowledge
- Ability to interact professionally and effectively with investment professionals
- Able to work with a multicultural environment
- Command of investment products, services and securities laws and regulations
- Interface with management, operations, sales force, third party providers and regulators
2
FI Securities Trader Resume Examples & Samples
- Responsible for comparing Portfolio and Inventory Management Teams trade positions for every unit trust. Both long and short positions must be compared with portfolio team and unit trust operations
- Any discrepancy must be settled prior to a portfolio depositing and becoming a trust
- Position receives and compares reports from Ops and Research teams and addresses discrepancies based on his knowledge and involvement of the portfolio being comprised
- Position will monitor RTTM to attempt to interact with other dealers in an attempt to lower late trades
- Responsible for daily interaction with Invesco brokers’ brokers when dealing with trust net needs on a daily basis
- In regards to the sell trades, this position facilitates the majority of sales; makes determination if more cash can be raised in different portfolios to meet the demands of bidding brokers
- Determines if other portfolios would benefit by incoming bids on current items out for sale
- There are over 1200 different portfolios supervised by the team
- This position is the main point of contact for these daily trades
- Position must determine if by adding to a current sell if other portfolios would be adversely affected
- When securities are sold to cover unit holder redemptions this position must research all bond discrepancies, to determine whether bonds have been pre-refunded or escrowed to maturity
- This position will work closely with the investment research team to produce information from bond issuer and trustee to allow bonds to be sold in the market
- For example, if selling 50 bonds daily, some could be 20 yrs old and could have issues (i.e. bond can be callable or non-callable)
- Position can research and resolve issues if time allows or make determination to forward to the Research group
- Position will determine if there is adequate time in a day to research or to push to a future date
- All Invesco trades are broker to broker, therefore these trades must be done within the 15-minute trading window
- Assure timely and accurate trade execution of all individual bonds trading activity to adhere to MSRB (Municipal Security Rule Board) and TRACE (Corporate Reporting System) 15 minute trading window
- All new bonds need to be set up with all new security information into the proprietary trading system to allow trade flow to process
- This step needs to be completed within the 15-minute rule. The 15 minute trading rule is unique to UIT within Invesco asset management
- Employee sets up trades in system and determines what needs to get done in what order to ensure compliance with 15 minute rule
- Regulators question how many trades are late by different Broker Dealers
- The need for prioritization of which trades to focus on is essential. Judgment is based on trading volume
- Fines and write ups for late or inaccurate trades can be consequential depending on industry average
- Research and rectify any trade problems within the Portfolio and Inventory Management Team
- Work with Head of Portfolio and Inventory Management, Senior Unit Trust Portfolio and Inventory Manager, unit trust operations and contra party to settle any discrepancies
- Pull all necessary trade information and organize for any internal or external regulatory request
- This will include working closely with Compliance department for any MSRB audits Track and prepare all necessary information for each individual trade including trade ticket, Bloomberg description page and vcon screen
- Assist in information flow to other members of the Portfolio and Inventory Management Team and Investment research Team to maintain peak efficiency
- This includes gathering and summarization of large quantities of information
- Position needs to be aware of what issues are being addressed on a daily basis and make judgment calls on what to prioritize to other team members
- Position is aware of these needs by focusing on daily deposits and understanding what portfolios are a priority at the time to the Portfolio Manager
- Also needs to understand what securities for those portfolios are priority at that time which is based on the characteristics of the bonds
- Information needs to be facilitated to team in a timely manner as seconds to minutes can make a difference in buy decisions
- Record all daily gains and losses on inventory and hedging positions, which leads to compiling of complex historical spreadsheets
- This data is relied on by the department for historical comparisons
- Work closely with Product Development team to come up with ideas to enhance sales; these ideas include ways to get in front of Invesco wholesalers and home offices
- Example: ideas could be swapping of different types of portfolios (taxable to tax free, long end to short end).Position meets individually with PD team members
- Record and track of all competitive data on fixed income products to potentially give members of division product development/enhancement ideas
- Create and assist in special projects to enhance sales of unit trusts, and projects that assist the unit trust management team in making decisions
- Record and track number of purchases and sells within individual fixed income unit trust product line up. From this data try to determine trends within the business
- Present interesting findings to Head of Portfolio & Inventory Management
- Responsible for monitoring upcoming equity trade files for liquidity concerns and reviewing daily trade executions reports to ensure best/reasonable execution
- Two- Five years trading desk/portfolio/research experience
- Ability to handle stress of a trading desk
- Ability to handle multiple time deadlines
- Open minded, flexible, and willing to listen for other people’s opinions
- Interpersonal skills necessary to effectively communicate over the phone with a variety of individuals at all technical levels are required
- Willing to work in high pressure, time sensitive environment
3
Securities Trader Resume Examples & Samples
- Executes agency and principal trades in stocks, bonds, mutual funds, UITs, and options
- Helps ensure both firm and representative compliance by observing and abiding by securities regulations
- Maintains a broad knowledge base of the securities industry including: regulatory and market events, investment products, operational processes, operational methodologies and technology
- Develops a strong understanding of customer service and provides assistance to both registered representatives, investment advisors and retail clients related to LFN policies, products, and trading procedures
- Determines optimal order routing venues to ensure best execution
- Follows risk management procedures and has the ability to quickly assess and take action to minimize customer and firm risk
- Reviews trades to ensure trade execution quality
- Investigates, researches, and corrects issues related to trading and account activity
- Educates and trains registered representatives and their clients by determining their true needs, provides alternative solutions when necessary, and effectively explains the specific details of each product, process, or service
- Assist internal operations departments by providing back-up support, coordinating processors to expedite transfers, settlements, research, and complex problem resolution
- Establishes and builds partnerships with registered representatives of all distribution groups, clearing firm, and product sponsors
- Resolves registered representative concerns by obtaining details, identifying most efficient method of handling, and evaluating risks to all parties before taking action
- 3-5 years’ experience in the financial services industry that directly aligns with the specific responsibilities desirable
- Demonstrates superior customer service, problem solving and organizational skills
- Demonstrates professionalism and leadership capabilities
- Maintains a positive attitude while dealing with daily pressures and challenges
- Analytical skills and close attention to detail is necessary to perform daily responsibilities
- Ability to multitask between daily and weekly work assignments
- Adapts quickly in a changing work environment
- Ability to work independently in a team environment
4
Securities Trader Resume Examples & Samples
- Efficiently transact fixed income securities as riskless principal on behalf of clients, including US corporate and government debt, emerging markets corporate and sovereigns, international high grade and high yield, foreign currency debt and structure notes among others
- Independently expedite and handle a high volume of orders routed to Desk by Financial Executives, ensuring accuracy of information, while managing transactional communication and quotes with approved counterparties, to effectively execute client orders accurately, in a timely manner and at best possible price
- Strong knowledge of fixed income market and Bloomberg securities functionalities, to have the ability to provide liquidity to Financial Executives and their clients
- Actively involved in serving the sales force by providing a variety fixed income news, reports, and indicative bond runs as required
- Must have ability to multi-task within all required trader functions, including managing and mitigating risk to the firm by limiting transactional errors, maintaining a high standard of service, and effectively communication with CIFS counterparties, ultimately demonstrating a strong team oriented contribution and leadership skills
- Participate on sales meetings/conference calls to provide sales with alternatives, promote desk products, and maintain high awareness of all market trends, economic data, new issues markets, or any other essential information that generates and promotes growth in business volumes and revenues
- Understand basic fixed income credit markets dynamics and its various alternative available products as equities-linked structured notes
- Demonstrate great attention to detail, prudent execution decisions and ability to close transactions consistently with limited or no support
- Excellent communication, interpersonal and team oriented skills, with ability to work under pressure in a multicultural demanding environment
- Understand and comply with FINRA applicable fixed income rules and regulations, and maintain all required supporting documentation to comply with internal and external audit requirements
- Assist operations as needed with all Trading Desk related matter including settlements, post-transaction discrepancies and accurate reporting
- 1-3 years experience managing investments and securities
5
FX & Securities Trader Resume Examples & Samples
- Define, implement and actively manage trading strategies for the approved market factors
- Assure that all market risks under the area's responsibility are maintained in compliance with regulatory and corporate limits
- Assure compliance with all conduct risk requirements and controls
- Maintain close communication with the sales teams locally and offshore, constantly informing relevant market information, economic updates and trading strategies
- Ensure efficient usage of limits on risk taking strategy supported by strong market analysis
- Implement interest rate hedging policies to the extent possible under applicable constraints
- At least 4 years of relevant work experience with exposure to financial markets in emerging markets
- Experience trading or transacting with market factors in Emerging Markets is desirable
- Focused knowledge in the following topics: FX and Interest Rates in Emerging Markets, Financial Markets, Macroeconomy, Finance, Accounting
- Applicant should have a bachelor's degree in Business Administration, Finance, Economy or Engineering
- Master's degree is desirable
- Strong Analytical Skills
- Very Strong Negotiation skills
6
Securities Trader Resume Examples & Samples
- Full University: Economics / Business Administration / Engineer
- English at an advanced level
- Systems Management: BBG / Reuters / Excel / Word / PPT - Indispensable
- Minimum 5 years experience in similar positions in the banking or related sector
