Trade Settlement Resume Samples

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Guide the recruiter to the conclusion that you are the best candidate for the trade settlement 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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S Maggio

Stanford

Maggio

4712 Stokes Mall

Detroit

+1 (555) 704 1906

4712 Stokes Mall

Detroit

Phone

p +1 (555) 704 1906

Experience Experience

Houston, TX

Secondary Trade Settlement

Houston, TX

Feil LLC

Houston, TX

Secondary Trade Settlement

Liaising with BU on distressed closing documentation e.g. Trade Conf, Transfer Cert, Pricing Letters
Cutting journals across various MS entities as well as creating manual general ledger entries
Liaising with BU and FCG on rebooking of restructured secondary positions
Building deals in LIQ which have been recently traded on the secondary market – Reviewing Credit Agreement
Preparing metrics reports
Dealing with queries received on secondary positions
Processing Rollovers, interest paydowns and commitment increases / decreases

Detroit, MI

Manager Trade Settlement

Detroit, MI

Corkery, Rodriguez and Stehr

Detroit, MI

Manager Trade Settlement

Evaluate work methods and makes suggestions for improved efficiency and productivity
Ensure that all cash income and reinvestments are processed timely based on established standards and proper elections are made at each depository
Participate in training, coaching and staff development
Participate in group and individual meetings to review work flow, status of exceptions, service issues, etc
Responsible for interviewing, hiring, counseling and preparation of performance reviews
Ensure that fails are properly documented and escalated to business lines, senior management and investment staff
Ensure proper procedures exist for disaster recovery purposes

present

Detroit, MI

Trade Settlement Associate

Detroit, MI

Bogan-Torp

present

Detroit, MI

Trade Settlement Associate

present

Obtain cash balances for specific accounts and provide them to Portfolio Managers
Manages daily communication with various brokers and custodians to confirm and verify executed trade information
Provide operational support to fixed income portfolio managers
Assist the affirmation process through DTC
Monitors large wires and ensures timely approval by management and supervisors
Monitors all workflows and request queues (QForms, Sharepoint, Email) and responds within the defined service level standard
Process all DTCC confirm and affirm files based on established schedule

Education Education

Bachelor’s Degree in Business

Columbia University

Bachelor’s Degree in Business

Skills Skills

Strong interpersonal skills and ability to communicate with others
Ability to work independently and as a team
Strong Interpersonal and communication skills
Knowledge of securities helpful
Ability to cross train for other operational functions
Proficient with MS Office suite, particularly Excel and Access
Excellent problem solving and timely follow through
Well developed problem solving skills
Well developed prioritizing, time management and multi-tasking skills
B.A. or equivalent experience

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6 Trade Settlement resume templates

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Commodity Trade Settlement Operations Associate Resume Examples & Samples

Communication and Risk Awareness – Ability to understand, to communicate end to end lifecycle of trade/cost and to escalate risks and controls clearly and concisely
Numeracy and Attention to Detail – Able to learn trading concepts quickly and maintain a strong focus on control and accuracy for timely and sensitive costs settlements
Organizational Skills and Resilience - Ability to multi-task and handle pressure in fast-paced and highly intense environment
Initiative - High level of self-motivation and ability to take responsibility for assigned tasks; proactive attitude to learning and sharing the team's workload
Desire to work in a team - Assisting others, switching tasks and cross training
Desire to learn new business, systems and processes
Ownership/Guardianship - Ability to take responsibility for tasks and issues and see them through to resolution
Business product knowledge across all derivative products
Good understanding of the front to back processing i.e. trading, clearing & settlement in order to understand market developments
Experience in commodities settlements for both OTC and Physical products
The ideal candidate may have circa 5+ years experience in the finance industry
Languages are an advantage
Proficiency in Excel
Experience of Commodities booking systems such as Tempest manager, Mainframe and Safe would be a distinct advantage

Commodity Trade Settlement Operations Associate Resume Examples & Samples

Communication and Risk Awareness - Ability to understand, to communicate end to end lifecycle of trade/cost and to escalate risks and controls clearly and concisely
Numeracy and Attention to Detail - Able to learn trading concepts quickly and maintain a strong focus on control and accuracy for timely and sensitive costs settlements
Good understanding of the trade lifecycle
Experience in the finance industry an advantage
Experience of Commodities booking systems such as Tempest manager, Mainframe and Safe would be advantageous

Trade Settlement Associate Resume Examples & Samples

Bachelor's Degree in business related field preferred
Securities processing knowledge, equity and fixed income securities an asset
P.C. Literate (Excel & Word)
Strong Interpersonal and communication skills
Well developed prioritizing, time management and multi-tasking skills
Well developed problem solving skills
Ability to work independently and as a team
Ability to cross train for other operational functions

Trade & Settlement Operations Resume Examples & Samples

Monitor the core trade order management system to ensure all transactions are processed through to the accounting platform and settlement instruction module
Match client instructions with broker confirmations , liaising with client support teams and brokers where applicable to ensure all transactions are instructed to the market within published deadlines
Assist in creating and maintaining a control orientated environment to minimize exception items and cost through errors
Continually review workflows to maximize processing efficiency
Monitor reconciliation reports to ensure timely investigation and clearance of outstanding items
Assist in the execution of business projects and testing impacting the TOMS team
Accurate input of trade/cash instructions manually to the accounting platform
Investigation and resolution of pre and post settlement issues , liaising with brokers and prime brokers /custodians where applicable
Maintain strong working knowledge of market practices for trade matching and settlement routines
Ensure all inbound queries and investigated and resolved in a timely manner
Daily review , monitoring and resolution of cash and asset exceptions on reconciliation reports , ensuring any outstanding items are fully investigated and cleared where possible
LI-MM2

Commercial Banking Trade Support Specialist Trade Settlement Team Resume Examples & Samples

Prepare and execute trade settlement timely for various loan businesses within currency deadlines
Review of all settlement documentation in accordance with the LSTA and LMA standard terms and conditions
Maintain and investigate trade related exceptions, such as open payable and receivable balances
Communicate frequently with front office, documentation, and accounting and control teams as well as external counterparties
Monitor general ledger activity in regards to payments associated with trade settlement
Bachelor's degree in Finance or Business (or equivalent experience)
Demonstrated leadership abilities and strong teamwork skills
Control Oriented
Prioritize workload efficiently
Detail orientated individual that can work effectively under pressure
Strong problem solving, decision making, and analytical skills
Results driven
Proficiency with Microsoft Office Suite (Excel, Word, and PowerPoint)
Prior knowledge of loan product or trading operations is desired

Money Market Trade Settlement Resume Examples & Samples

Ensures that quality service is provided and that the Bank is represented in a professional manner at all times
Ensures all controls are in place to support Operational and Legal Risk Standing Order, policy S12.03.01 (Payments and Settlements) and all other Standing Orders pertaining to RBC Capital Markets Operations
Adhere to all controls that are in place to support Unit Financial Control, re-evaluating on an ongoing basis
The incumbent officer will ensure that all deals transacted daily are same-day processed. Transactions must be prioritized by settlement date and deadlines to ensure legitimacy
Ensure all deals appearing on the daily incomplete settlement report are updated before end of day. Follow up on any outstanding trades with the collateral management team
Settlement instructions must be confirmed with total accuracy to ensure that all payments and receipts are effected with minimal loss to the bank. Where provided, all standard settlement instructions are captured / updated on customer records in RIMMS
RIMMS queues are checked periodically throughout the day to ensure all transactions with priority settlement dates are verified for release of payments
Key verification function on RIMMS must be performed using the same details provided while confirming. This function must be performed with total accuracy, as payments and financial information are released from RIMMS once key verified
Process cash collateral movements as per in-transit report received from Collateral Management Team
Ensure all cash collateral interests are settled with the counterparties as per CSA agreement. Dispatch Sentry statements as required ensuring all discrepancies are addressed and resolved in a timely manner
Ensure all third party payments are properly authorized by Treasury Senior Management
Perform reconciliations daily (Guardian to RIMMS, RATS to RIMMS) and ensure discrepancies are investigated and resolved in a timely manner
Assist other team members as required
Develop a very good knowledge of products supported by MM to ensure accuracy of terms and conditions of transactions. Acquire expertise at interpreting system bookings of floating rate loans and deposits to ensure transactions are properly booked
Participates in identifying operational issues, relating to trade to settlements, when new products are introduced
Proactively identifies opportunities to further streamline processes and improve productivity. Actively escalates and follows-up system issues affecting the settlement process. Participates in user acceptance testing for systems upgrades, database conversions and introduction of new systems
Responsible for maintaining product and operational procedures documents on an ongoing basis
Through a process of continuous improvement, constantly review procedures and practices to ensure that they remain appropriate, eliminating redundant activities, introducing improved procedures, including recommendation for system enhancements/modifications, productivity and reporting
Cross-train on other desks within the department to provide relief during absences and high volume periods

Trade & Settlement Administrator Resume Examples & Samples

1 to 2 years’ experience in custody operations
Experience with custody applications (G+ preferred)
Experience with DTC settlements primarily through Bank of New York, familiarity with FED wire trades
Reliable team player willing to assist where needed as trade volumes and work demands
Demonstrated ability to work under pressure. Demonstrated strategic team player and works with a sense of urgency

Trade Settlement Resume Examples & Samples

Responsible for the set-up, maintenance, review and reporting on approximately 30,000 cusips on the Private Bank platforms
Compile and process manual daily pricing files of non-automated vendor supplied pricing into Citi’s platform
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
Escalate to send site manager any transactional issues that are “at risk”
Ensure all maker checker processes are followed and properly evidenced
Production of monthly pricing reports to business partners with respects to stale pricing, quality and metric reporting
Ability to handle high volumes and ability to prioritize work flow to ensure delivery against global market cutoff times
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
Team focused and able to collaborate effectively with peers
Detail-oriented with a demonstrated ability to produce high quality and accurate work

Custody Trade Settlement Resume Examples & Samples

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
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
Responsible for all Metrics and MCA reporting as required
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
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
Demonstrates effective work habits and organizational skills with the ability to prioritize, multitask and adapt to changing priorities
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
Excellent MS Office skills with focus on Excel, Access, PowerPoint, etc

Secondary Trade Settlement Resume Examples & Samples

Settlement of secondary PAR and Distressed trades
Distributing deal information to relevant counterparts
Processing Rollovers, interest paydowns and commitment increases / decreases
Building deals in LIQ which have been recently traded on the secondary market – Reviewing Credit Agreement
Liaising with BU on distressed closing documentation e.g. Trade Conf, Transfer Cert, Pricing Letters
Dealing with queries received on secondary positions
Preparing metrics reports
Liaising with the BU on waiver / amendment requests received on secondary deals
Distribution of Waiver Fees to various counterparts
Upkeep and amending of various policies and procedures
Creating new customers in LIQ
Cutting journals across various MS entities as well as creating manual general ledger entries
Reconciliation of trade settlement via Internal MS system
Liaising with Utilities team re creation and call back of counterparts SSI’s
Liaising with BU and FCG on rebooking of restructured secondary positions
Calculation and distribution of collateral interest
Solid knowledge of Microsoft Office, LoanIQ, SAFE, Intellimatch, Mainframe, Matloc and other relevant loan related applications
Strong analytical and exceptions management skills
Accuracy, attention to detail, good time management and organisation skills
Strong team player with good communication/relationship building skills
Ability to think laterally and efficiently to tight deadlines
Delivers team tasks on time to required quality
Assumes ownership of problems and drives towards their resolution
Displays high level of attention to detail and the ability to prioritise tasks appropriately

Funds Trade Settlement Senior Specialist Resume Examples & Samples

Monitoring and control of MIS/ KPIs
Control of main processing tasks in team
Minimum 1 year experience in Fund Industry
Very good command of English (other languages an asset)

Head Custody Trade Settlement Resume Examples & Samples

Define short term and long term strategy, plan and goal for his units
Deliver Results in line with the goals and key priorities for the business
Managing day to day operations of the units - settlement unit is responsible for settlement of all client trades in the market with exchanges/depositories; account Services unit manages opening and maintenance of cash and securities/demat account; client reporting unit is responsible for delivery of reports to the clients; issuers operations unit manages Escrow transactions and Commercial paper issuances
Manage the control frame-work; audit; reconciliations etc. in Custody operations
Manage escalation and complex transactions
Drive Value for clients
Ensure client delivery as per SLA & defined timelines, timely action on client requirements
Ensure Compliance with various regulations application to Custody or Issuers operations
Champion Progress
Lead process reviews, re-engineering, standardisation and automation initiatives to enhance efficiency, accuracy, TAT etc
Work as a partner
Manage relationship with various internal and external stake-holders viz
Business team, legal, compliance, Regulators (RBI/SEBI/NSDL/CDSL), Stock Exchanges tech, vendors etc
Develop team and create leadership pipeline. People management, capacity planning
Drive Citi values and ethics in the team
Approx. 8-10 years of overall experience, including preferably experience of at least 3 to 5 years in India Custody Operations
Strong ability in effectively planning and managing operations and people
Excellent understanding of operational risk, process, controls, regulatory requirements
Flexible and willing to adapt to different environments

Trade Settlement Associate Resume Examples & Samples

Process all DTCC confirm and affirm files based on established schedule
Match broker confirms to trade ticket on trust accounting system and identify/escalate all exceptions
Affirm trades by DTCC deadline to allow for automated settlement; otherwise, manually deliver shares on settlement date
Ensures all manual trades and deliveries are processed correctly and timely
Proactively identifies exceptions that may cause issues with settlement and communicates them to the business lines to ensure straight through processing
Initiate wires for daily net settlement and makes appropriate entries to internal accounts
Monitors large wires and ensures timely approval by management and supervisors
Identifies and logs failed trades, communicates status to the business lines and escalates when necessary to prevent buy-ins
Monitors all workflows and request queues (QForms, Sharepoint, Email) and responds within the defined service level standard
Monitors all control accounts for exceptions daily
Reviews and clears all cash exceptions daily
Reviews and clears all share reconciliation items timely
Generates trade advices for mailing/emailing to clients
Solves complex problems across different software applications
Performs other assignments as requested
B.A. or equivalent experience
Proficient with MS Office suite, particularly Excel and Access
Strong organizational skills and aptitude for detail are a must
Strong interpersonal skills and ability to communicate with others
Knowledge of securities helpful
Excellent problem solving and timely follow through

Retail Trade Settlement & Deduction Manager Resume Examples & Samples

Manage the end-to-end Retail deduction management / settlement model to reduce carrying balances and measure and monitor the effectiveness of internal controls
Ensure customer trade disbursements are made timely, according to the Chart of Authority (COA), and in compliance with control policies
Establish, implement and maintain effective routines to manage non-broker accounts
Manage national broker (Acosta) performance according to established Service Level Agreements (SLA)
Key resource for the Retail business teams as it relates to the process, deduction balance impacts to the P&L, and the monthly RE process
Provide leadership regarding the implementation of new retail business models, trade promotion strategies, or broker initiatives
Key business owner of 3rd party-provided systems (Deduction Management System) that support deduction process, operational activities & performance management
Perform audit and release of payments > = $100,000
Perform accuracy review of payment audits completed by staff
Manage trade reimbursement process to comply with GAAP, SAM, and Sarbanes-Oxley regulations
Review and approve monthly account recons and journal vouchers in SAP
Responsible for building and developing the Minute Maid reimbursements team including recruitment, hiring, training, employee development and performance management
Foster an environment of operational excellence and promote/implement continuous improvement practices for the warehouse trade settlement and deductions function
Excellent interpersonal and customer service skills
Strong written and verbal communication
Excellent organizational, problem solving and analytical skills
Ability to lead and develop teams with minimal direction
Ability to drive results while enforcing controls and maintaining financial objectivity
Strong financial analysis skills
Strong client relationship management skills
5+years prior experience at management level required
Proven track record in successfully leading teams and management against tight deadlines
Demonstrated experience in improving efficiencies based on targeted metrics
Prior experience working with internal clients and external customers to resolve finance, accounting or cash application issues
Month end closing processes and knowledge of accounting principles

Fund Trade Settlement Expert Resume Examples & Samples

PC literacy, mainly MS Excel
Ability to effectively work on telephone/email with various parties
Good knowledge of securities administration and clearing for International Markets
Sense of urgency, quick in action
Flexible, able to spot irregularity and react promptly and adequately
Sense for independent work and good team player
Looking for enhancement/re-engineering opportunities

Trade Settlement Administrator Resume Examples & Samples

Actively monitor trading systems to ensure that trades are promptly and accurately sent through the downstream post-trade functions such as broker allocations, trade affirmations and posting trades to the portfolio accounting system
Pro-actively analyze trade allocation and trade affirmation discrepancies as needed and resolve accordingly
Liase with internal clients (portfolio managers, traders and portfolio administrators) to provide trading support for all Sterling trading offices, including trade corrections and new account post-trade setup
Liase with external clients (brokers and custodians) to ensure accuracy of their records for on-time trade settlement, including providing manual allocations to brokers as needed in order to keep failed trades to a minimum. Any delivery rejections (DKs) and/or fails must be resolved immediately
Construct custom trade reporting packages and review for accuracy prior to desseminating to the end client
Tackle ad-hoc projects assigned from the Director of Operations
Additional ongoing responsibilities related to operational system management will be awarded as skills are developed
Bachelor’s degree in accounting, business, mathematics, finance or economics, or equivalent education and related training
Two years of financial work experience, preferably with an investment firm or in a back office role
Strong familiarity with the investment markets and the investment management business in particular industry trading and settlement practices for FED and DTC platforms
Keen attention to detail and highly organized with the ability to multi-task and prioritize appropriately under pressure
Self-starter with strong quantitative and problem solving skills
Desire and ability to work in a fast-paced environment and meet multiple deadlines
Excellent computer skills with ability to learn and demonstrated proficiency in several software packages. Strong ability in Microsoft Excel required (including vlookups, pivot tables and macros)
Prefer experience with fixed income securities
Prefer experience with a Charles River trade order management system
Prefer experience with a Omgeo post-trade products such as ALERT and OASYS
Prefer experience with Advent Portfolio Exchange (APX)

CPB Securities Operations Trade Settlement Resume Examples & Samples

Ensure execution and demonstrate evidence of daily quality control checks on all asset set-up and maintenance activities
Research and resolve pricing and reference data inquiries from various business partners
Compile and track issues with third party data service providers and participate in regularly schedules calls

CPB Securities Operations Trade Settlement Resume Examples & Samples

Bachelor’s Degree from an accredited college or university or equivalent experience
5-8 years Trade Settlement experience with strong knowledge of DTC, Fed, Clearstream, Cedel and Bloomberg
A friendly professional demeanor and ability to excel in a team oriented environment
Strong analytical and detail-oriented aptitude; a high degree of accuracy is required
Excellent communication and organizational skills
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

Manager Trade Settlement Resume Examples & Samples

Ensure that eligible trades through DTCC as well as Fed/Global trades through BNY Mellon are processed timely and accurately
Ensure that all cash income and reinvestments are processed timely based on established standards and proper elections are made at each depository
Ensure that all maturities are processed and call proceeds allocated timely to client accounts
Ensure that DTCC and BNY Mellon recon exceptions are reviewed daily
Ensure that fails are properly documented and escalated to business lines, senior management and investment staff
Maintain authorized signature lists with DTCC, BNY Mellon and OCC
Approve error/recovery reports and entries to miscellaneous suspense
Ensure proper procedures exist for disaster recovery purposes
Responsible for interviewing, hiring, counseling and preparation of performance reviews
Participate in training, coaching and staff development
Coordinate demos, testing and implementation of new applications
Ensure adherence to procedures/standards in order to minimize risk and ensure exceptional customer service
Evaluate effectiveness of internal controls
Coordinate monthly MCRP for area of responsibility and follow up on exceptions noted
Monitor exceptions in master cash accounts and internal control account exceptions
Evaluate work methods and makes suggestions for improved efficiency and productivity
Participate in group and individual meetings to review work flow, status of exceptions, service issues, etc
Implement cost control measures in line with company objectives
Participate in internal/external audits and prepares timely responses to audit findings
Evaluate and implements new business
Participate in conversions and special projects assigned by department head
Ensure monthly departmental volumes and key indicators are available for review by audit and senior management
Excellent problem-solving and time management skills
Ability to deal with the pressure of heavy deadlines and act with a sense of urgency
Ability to deal with all levels of management
Displays an attitude and professionalism reflective of the Reliance culture

Trade Settlement Supervisor Resume Examples & Samples

Typically manages a team of junior employees and/or offshore teams
Scope within overseeing specific processes within the department
Has the ability to apply independent judgment and decision making within the functional area of his/her expertise
Train and mentor senior analysts as needed
Escalation point to analysts
Fully knowledgeable on specific functions
May require escalation on decision making
Role has high emphasis on daily processing. Will be combined with managing workload and day to day activities of the team
Provides direction and oversight to team of specialists and analysts
Communicates and supports immediate staffing needs, address employee development, performance concerns, and escalates key accomplishments and issues to management regularly
Gives input and coordinates tactical plans, projects, and changes as needed