Trade Support Associate Resume Samples

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CS
C Schroeder
Cade
Schroeder
30879 DuBuque Grove
Detroit
MI
+1 (555) 328 9904
30879 DuBuque Grove
Detroit
MI
Phone
p +1 (555) 328 9904
Experience Experience
12/2016 present
Philadelphia, PA
Cib Operations Trade Support Associate Singapore
Philadelphia, PA
Cib Operations Trade Support Associate Singapore
12/2016 present
Philadelphia, PA
Cib Operations Trade Support Associate Singapore
12/2016 present
  • Working closely with trader to ensure data accuracy in Risk Management System
  • Data input in Risk Management system upon Trader request
  • Analyse MI and report trends and spikes in FO workflows to Senior Mgmt
  • Identify control gaps and suggest improvement ideas for better efficiency and effectiveness
  • Perform reconciliation to ensure InterBank or InterDealer deals matched
  • Query management
  • Perform deal fixing tasks & input / checks on revaluation rates in Risk Systems
05/2012 08/2016
Houston, TX
Equities Trade Support Associate
Houston, TX
Equities Trade Support Associate
05/2012 08/2016
Houston, TX
Equities Trade Support Associate
05/2012 08/2016
  • Strengthen relationships with various Trading Desks by providing superior client service and regularly seeking feedback
  • Drive continuous improvement within the role. Deliver quantitative results
  • Develop relationships with counterparts in other regions in order to implement best practices globally
  • Effectively manage queries from internal partners in a timely and concise manner
  • Ensure flawless, accurate, and timely trade reconciliation and real-time trade adjustments
  • Provide insight of booking models and controls for any new business or trade flows
  • 8) EMEA/EU ADR desk
06/2009 03/2012
Houston, TX
Trade Support Associate
Houston, TX
Trade Support Associate
06/2009 03/2012
Houston, TX
Trade Support Associate
06/2009 03/2012
  • Manages daily communication with various brokers and custodians to confirm and verify executed trade information
  • Corrects errors, execute cancel re-bills, investigate and work through claims from trading partners
  • Provide operational support to fixed income portfolio managers
  • Coordinating technology related developments and maintenance with regards to trade processing
  • Executes stock trades with minimal market impact
  • Weekly collation of operations KPI’s for submission to senior management
  • Assist the affirmation process through DTC
Education Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
University of California, San Diego
Bachelor’s Degree in Accuracy
Skills Skills
  • Strong personality with good communication skills and the ability to argue a case effectively with the front office
  • Strong industry and operational knowledge
  • Excellent attention to detail
  • Strong attention to detail
  • Highly organized and detail-oriented
  • Ability to quickly understand a complex matrix of operating systems and their interrelationships and dependencies
  • Derivative Operations knowledge
  • Proficient in MS Excel, Omgeo Oasys, CTM and ALERT, Bloomberg
  • Ability to articulate issues and/or recommendations
  • To be able to identify areas of improvement and implement new procedures or to change existing process flows to ensure tight controls front to back
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4 Trade Support Associate resume templates

1

Asset Management Trade Support Associate Resume Examples & Samples

  • 2-3 years of Trade operations and/or financial industry experience
  • Ability to effectively communicate, both written and verbal
  • Experience with issue resolution, root cause analysis
  • Strong interpersonal skills with the ability to develop strong working relationships within Technology, Operations, and throughout the firm
  • Being able to thrive in a Hands-On culture
  • Ability to balance, plan, and prioritize daily work
  • Proven Leadership skills
  • Detail Oriented
  • Bachelor's degree or higher in Finance or Business Management preferred
2

Listed Derivatives Trade Support Associate Resume Examples & Samples

  • Requires a focus on risk management and control with respect to regulatory requirements and reporting
  • Communicate with exchanges, brokers, internal and external clients, Legal and Compliance, and Technology
  • Take personal responsibility for resolving client issues, is able to clearly escalate cause and resolution
  • Actively seek opportunities / challenge broader than current scope of role
  • Actively participate in team meetings, raise issues, question others and offers solutions/ideas
  • Analyze problems to establish root causes and suggest clear, logical and practical solutions based upon extensive analysis
  • Contribute to refining controls and continuously improving and reducing operational risk for their respective area
  • Demonstrate deep knowledge of the product and/or functional area for which they are responsible
  • Articulate thoughts and ideas clearly and concisely using both written and verbal communication
  • Roll-up-the-sleeves, results orientated mentality
  • Manage and meet intra-day and end-of-day deadlines
  • Excel proficiency and ability to quickly learn proprietary applications
  • Understanding of the regulatory environment and flexibility to adapt to change
3

Interest Rate Trade Support Associate Resume Examples & Samples

  • Investigation and resolution of position and trade exceptions through daily reconciliations
  • Execution and management of lifecycle processes
  • Demonstrate an understanding of front to back trade flows as well as Risk and P&L
  • Resolution of daily queries regarding the Interest Rate Derivatives products
  • Actively contribute in new business or process change initiatives through collaboration with other departments
  • Be able to take a lead role in the review, automation and streamlining of any functions within the Middle Office Trade Support
  • Verification and assist in regulatory reports
  • Build a strong network across multiple departments within the firm such as Trading, Product Control, Technology and other parts of Operations
  • 5 to 7 years of related experience in Derivatives environment
  • Solid knowledge of Bloomberg
  • Solid knowledge and understanding of Vanilla and Exotic derivative productsEquity / Credit / Fixed Income Derivatives products and services, processes and controls (middle or back office)
  • Previous trade support, Profit and Loss experience is preferable
  • 2-3 years’ experience within a trade support / desk assistant role
4

Asset Management, Trade Support Associate Resume Examples & Samples

  • 5+ years of Trade operations and/or financial industry experience
  • A proven leader with a successful background in developing and managing operational teams in both a competitive and changing environment
  • Ability to balance, plan, and prioritize production and project management responsibilities simultaneously
  • Experience and knowledge of Repo, Fixed Income securities and settlements is a plus
  • Strong interpersonal skills with the ability to build an excellent network and develop strong working relationships within Technology, Trading, Operations, and throughout the firm
  • Being able to thrive and handle the pressures of meeting daily deadlines
  • Experience with a fast pace, change oriented environment
  • Responsible for coaching and development of team members
  • Self Motivated and quick learner
  • Proven ability to mitigate risk through process automation and/or developing controls
  • Contribute to short and long-term organizational planning and strategy as a member of the management team
5

Am-gwm Trade Support Associate Resume Examples & Samples

  • Derivative product knowledge is a plus
  • Knowledge of security industry (e.g., equities, fixed income, custody services, etc)
  • The ability to analyze a process and recommend ways to improve quality and efficiency
  • The ability to adapt to a rapidly changing business and technological environment (e.g., introduction of a new product or work environment capabilities)
  • The ability to work in high-pressure situations
  • The ability to develop good relationships with and gain the confidence of internal and external parties
  • Strong analytical and problem solving skills to assist in resolving issues and improve overall servicing
  • Must have good prioritization and multi-tasking skills
6

Interest Rate Trade Support Associate Resume Examples & Samples

  • Work closely with the Front Office to provide the first level of support for the Interest Rate Derivative trading desks
  • Products covered: Interest Rate linked Structured Notes, Municipalities, Inflation and with corresponding hedging instruments including cash management products
  • All trade capture functions, including
  • Checking that all trades are booked in a timely and accurate manner by checking the trading system verses the trader’s blotter and liaising with the broker or direct with the sales force or counterpart
  • Ensuring all control reports are checked to establish that there are no breaks between the trading system and back office systems, on a T+0 and T+1 basis
  • Act as the intermediary between the trader and the rest of all the other main stakeholders to the business unit, such as FCG, GOPC, IT
  • Escalation point of contact for other operational areas in regards to trade capture tasks, utilizing set escalation procedures to inform management accordingly
  • Partner with the Derivative Project group, IT and the BU to deliver both strategic and tactical solutions for increased risk management and control and to ensure the firm meets all regulatory requirements
  • Knowledge of Morgan Stanley systems and applications
  • Solid understanding of risk management / prioritization
  • Diverse product knowledge, Interest Rate knowledge a plus but not required
  • Self starter, highly motivated
  • Metrics reporting experience
7

Gmbs Principal Strategies Trade Support Associate Resume Examples & Samples

  • Support Principal Strategies business (Prop) focusing on Equity and Equity Derivative products. Other global markets products include Cash and Derivative Credit, FX and Rates products
  • Work with trading to ensure market risk and trade entry is accurate. Coordinate with global colleagues to ensure that all aspects of trade processing is completed
  • Affirmation of T0 trades using either trading recap or broker confirmation to ensure proper booking
  • Ownership of life-cycle management of trades including expiries, resets, corporate actions, novations and unwinds
  • Calculate and distribute daily P&L to the Trading Desk, Product Control and Senior Management
  • Previous Equity trade support experience
  • Motivated, diligent learner that is able to work in a fast paced, high pressure environment
  • Proficient in excel and ability to quickly learn internal & industry applications
  • Ability to work effectively in a team environment
  • Interest in General Financial Markets
  • Ability to prioritize multiple responsibilities
  • Understanding impact of processes/procedures carried out on daily basis and their relation to the business and risk
8

Equity Derivatives Exotics Trade Support Associate Resume Examples & Samples

  • Processing lifecycle management for Note and Certificate business
  • Calculating Complex Payoffs for OTC's & Structured Products
  • Support of Exotic OTC business
  • Liaising with external issuing and paying agents (IPAs) & clearing systems to ensure that coupons are processed in a timely manner and responding to ad-hoc queries
  • Identification and escalation of control-related issues, develop procedures/solutions to close gaps
  • Interacting with the Sales & Trading Desks, answering any ad-hoc requests/trade related questions
  • Ability to decompose complex structured products to ensure correct payoff of structure
  • Previous experience of calculating payoffs for structured notes and exotic options & swaps
  • Understanding of the settlement process and systems
9

Junior Trade Support Associate Resume Examples & Samples

  • Bachelor's Degree in Business or in a related field
  • Knowledge of the Financial Services field
  • Microsoft Office/Suite proficient (Word, Excel, etc.)
10

Capital Markets Trade Support Associate Wealth Management Operations Resume Examples & Samples

  • Outstanding attention to detail and analytical ability
  • Ability to work with effectively with various areas of the firm
  • Knowledge of FI and Equity products
  • Knowledge of TRACE/MSRB rules and regulations
  • In depth knowledge of trade processing
  • Superior client service skills
  • Experience with ACT/OCS, DTC, and Federal clearance
  • Demonstrate the ability to work effectively in a team oriented enviorment
11

Equities Trade Support Associate Resume Examples & Samples

  • Ensure flawless, accurate, and timely trade reconciliation and real-time trade adjustments
  • Monitor and remediate key controls and reconciliations in order to mitigate operational risk
  • Provide insight of booking models and controls for any new business or trade flows
  • Effectively manage queries from internal partners in a timely and concise manner
  • Develop relationships with counterparts in other regions in order to implement best practices globally
  • Strengthen relationships with various Trading Desks by providing superior client service and regularly seeking feedback
  • Drive continuous improvement within the role. Deliver quantitative results
  • Communicate clearly, concisely, and effectively to all audiences
  • Increase STP (Straight through Processing) rate of all products by actively engaging IT and Change teams
  • Strictly adhere to escalation procedures
12

Structured Products Trade Support Associate Institutional Securities Operations Group Resume Examples & Samples

  • Deal verification of Tradebooking to Term sheets or documentation
  • Processing lifecycle management for Note and Certificate business
  • Liaising with external issuing and paying agents (IPAs) & clearing systems to ensure that coupons are processed in a timely manner and responding to ad-hoc queries
  • Interacting with other internal support areas such as Finance, Treasury, Settlements and Legal
  • Strong understanding of complex derivatives, specifically structured products and Exotic OTC's
  • Proven experience of working in Trade Support
  • Ability to decompose complex structured products to ensure correct payoff of structure
  • Previous experience of calculating payoffs for structured notes and exotic options & swaps
  • Strong organisational and time management skills
  • Ability to think laterally, and recognise opportunities for system/process improvement
  • Understanding of the settlement process and systems
13

Cib Operations Trade Support Associate Singapore Resume Examples & Samples

  • Adhering to standard operating procedures and controls
  • Multi-tasking, with particular emphasis on daily checklists and controls
  • Investigating failed trades and raising appropriate queries
  • Query management
  • Data input in Risk Management system upon Trader request
  • Reconciling front end systems to back end systems to ensure trade messages send successfully to downstream system
  • Liaising with Internal departments ie Back Office / Front Office / Middle offices
  • Act as point of contact between Front Office & Back Office
  • Collate and produce MIS on trading volumes quality
  • Analyse MI and report trends and spikes in FO workflows to Senior Mgmt
  • 2)Strong operational workflow and control mindset
  • 4)Able to multi task and manage immediate/urgent demands in an efficient but accurate manner
14

Repo Trade Support Associate Resume Examples & Samples

  • Articulate Any Discrepancies to Front Office And Management
  • Perform Daily Collateral Analysis
  • Ability To Work Independently
  • Perform House Margin Analysis on Repo Counterparty Portfolios & Process Margin Calls When Necessary
  • Recalculate Margin Calls Whenever Necessary
  • Review Regulatory Margin Reports & Process Margin Calculation On All 4210 Margin Deficits
  • Update Regulatory Margin System (LDB)
  • Respond To Repo Counterparty Audit Requests
  • Prepare Daily Management Reporting
15

Cib Trade Support Associate Based Resume Examples & Samples

  • Participate in all calls and meeting of the different projects
  • Be the point of contact in the different projects between operations and the different teams such as Technology, Legal, Compliance, Product Control
  • Participate in all documentation required (New Business Model, NBIA, Operating Model, SOPS, any Legal or Compliance documentation needed, etc)
  • Active communication with the different teams involve (internal and external)
  • Participation in UAT
  • BAU activities regarding trading support: Booking, reconciliations, controls, market data maintenance
  • Ability to take initiative
16

Listed Derivatives Trade Support Associate Institutional Securities Group Product Operations Resume Examples & Samples

  • Monitor client activity throughout the day and proactively seek clearing instructions from internal and external contacts
  • Work with internal contacts to understand exchange rules and create appropriate operations procedures and technology solutions
  • Able to build and manage relationships with the Business Unit, other Morgan Stanley infrastructure departments, and external contact points in client organizations
  • Able to prioritize multiple and often conflicting requests from internal and external stakeholders
  • A willingness to help others in the team with tasks and issues
  • Excel proficiency and ability to quickly learn proprietary applications
  • Self-motivated, inquisitive in nature, a strong appetite to learn
17

Trade Support Associate Resume Examples & Samples

  • To understand the cash flows associated with each trade and to work with the accounting and settlement teams to ensure that settlement is accurate and timely
  • Trade maintenance for all trades/structures
  • To be able to identify areas of improvement and implement new procedures or to change existing process flows to ensure tight controls front to back
  • Project Management for tactical and strategic business initiatives including regulatory mandates. Support BAU activity while independently driving projects
18

Trade Support Associate Resume Examples & Samples

  • Managing operational processes and controls, across asset class, through the transaction life cycle
  • Monitoring all settlement queries relating to these trades
  • Monitoring and reporting around daily IBOR submissions across the region
  • Responsibility for submission of new swaps to London Clearing House and other relevant Clearing Houses
  • Full participation in all unwinds/assignment packages for IRS & Credit derivatives (including novation consent via DTCC)
  • Monitoring and assuring quality of daily deliveries from Tertiary location resources
  • Liaising with both Front Office and Back Office and engaging the back office partners in regular root cause exception analysis
  • Weekly collation of metrics for submission to FED
  • Weekly collation of operations KPI’s for submission to senior management
  • Responding to various ad-hoc information requests by other businesses, such as MRM, VCG, CFO / BM, VARS
  • Coordinating technology related developments and maintenance with regards to trade processing
  • Driving synchronisation of operations & technology engagement in the delivery of change
  • Swift resolution of trade related issues & understanding the fundamentals of the transaction cycle
  • Ownership of trade break resolution
  • Engaging with cross business and market forums for Regulatory change strategy and delivery
  • Attention to detail and numerate with a methodical approach to problem solving
  • Ability to quickly understand a complex matrix of operating systems and their interrelationships and dependencies
  • Strong personality with good communication skills and the ability to argue a case effectively with the front office
  • Strong time management and multi-tasking skills as reasonable flexibility is required for the role
  • Proficiency in MS Excel / Access, preferably with some macro knowledge, an advantage
  • Educated to degree level or equivalent relevant experience
  • Business Analyst experience within Product Control, MO, Finance or Operations
  • Strong industry and operational knowledge
  • Relevant product knowledge
  • Experience in identifying and implementing process improvements
  • Experience of central electronic clearing/execution platforms (ICE, LCH, DTCC, Morcom, TradeWeb, Markit etc.)
19

Cib Operations Asia Gem Trade Support Associate Singapore Resume Examples & Samples

  • Book and ensure trades executed by sales and trading are correctly captured in risk management systems
  • Liaise with various teams globally such as Local Operations, Sales Support, Onboarding, Confirmation, Settlement and Technology to address relevant issues
  • Maintain client reference data in relevant systems
  • Monitoring e-mail inboxes
  • In Risk Management system upon trader request
  • Working closely with trader to ensure data accuracy in Risk Management System
  • To ensure trade messages sent successfully to downstream system
  • Perform reconciliation to ensure InterBank or InterDealer deals matched
  • Execution of bulk activities such as Trioptima, Compression, bulk package booking etc
  • Candidates with experience in middle office or client service roles are preferred
  • Able to multi-task and work in very fast-paced and stressful environment
  • Knowledge of regulatory reporting requirement for various jurisdictions is preferred
  • Ability to perform in timely manner under pressure
20

Derivative Structured Product Financing Trade Support Associate Resume Examples & Samples

  • Monitor Cash Equity and Stock Loan activity across the various markets, ensuring timely positioning and matching for the various structures through to settlement
  • Maximize the trading book’s profitability by identifying short positions and cheap internal availability; conversely of any longs that could be financed in the overnight money market
  • Monitor traders’positions and activity, ensuring that all positions are accurately reflected in internal books and records and risk systems
  • Ensure P&L meets expectations across trading structures by reconciling trade executions across derivatives and hedges and ensuring all bookings include correct commissions, taxes & fees
  • Monitor upcoming Dividend and Corporate Action activity, ensuring all positions are in line on key dates
  • Handle queries from BU, counterparts and other internal clients regarding booking differences and trade fails
  • Handle queries on Derivative trades such as Equity Swaps, OTC Option, Div Swaps, Div Futures and Forwards
  • Ensure that all listed and OTC derivatives are correctly expired on expiry dates
  • Booking all structured products trades for wealth management clients, maintaining accuracy and attention to detail throughout the process
  • Analyse trading accounts to ensure correct hedging of FX risk
  • Forecasted cash flows and liaised with funding desk and Treasury to manage liquidity requirements
  • Escalate items of risk to the trading desk, and ensure follow up until issues are resolved
  • Deliver quality service to Firm focus clients
  • Bachelor’s Degree or equivalent
  • Experience and understanding of Stock Loan, Corporate Actions and Dividends or Derivatives Products
  • Proven experience in Banking Operations with a track record the same or similar functional coverage. Preferably Trade Support experience with exposure to trade life cycles and process flows, reconciliation and control functions
  • Ability to multi-task and work to strict deadlines
  • Ability to communicate to a wide and varied audience, and group of stakeholders
  • Excellent attention to detail and proven risk awareness
  • Good organisation skills
  • Ability to deal with high-pressure situations and high work volume
  • Understands the risks inherent to operational processes
21

Derivative Trade Support Associate Resume Examples & Samples

  • Understand and be able to communicate key regulatory changes that impact derivative trading and product support
  • Perform daily processing responsibilities focused around trade processing, block trade allocation communication, trade affirmation, and trade notification
  • Interact with various third party service providers, such as custodians and accountants as well as various executing and clearing brokers
  • Support current business initiatives within the team
  • Bachelors Degree (Finance, Economics or Accounting preferred) and a minimum of 3-4 years experience in financial services operations or similar role
  • A good understanding of the investment industry and various financial products
  • Facility with common corporate technology platforms and applications including MS Word, Excel, Outlook, Sharepoint, and Adobe Acrobat Pro
  • A high degree of organization and an orientation toward strict attention to detail
  • Demonstrated success working in a high volume, high intensity environment and an ability to get closure on issues promptly
  • Excellent oral and written communication skills
  • Professional maturity, self-confidence, decisiveness and outstanding business judgment
22

Equity Derivatives Trade Support Associate Resume Examples & Samples

  • Focus on operational efficiency and accuracy, client services, and sound risk management framework to ensure maximum contributions to the profitability of the business
  • Provide support to appropriate client management, service or support teams to ensure successful end to end customer experience
  • Ensure the Global Markets Over-The-Counter (OTC) Derivatives Best Practice and ISDA definitions are communicated to, and understood by, the appropriate stakeholders across APAC
  • Enhance operational efficiency and cost control through implementation of process improvement, streamlining, system automation projects
  • Minimise operation losses
  • Escalate potential losses to management and ensure prompt and sufficient actions are taken to contain losses
23

CIB Ops-trade Support Associate Resume Examples & Samples

  • Support trading and structuring team to setup cross asset underlying and market level feeds across all systems
  • Work with custodian on fund asset valuation and trade reconciliation and other ad hoc request
  • Work with technology, compliance and front office to create control process and tools, to calculate and reconcile underlying and derivative levels
  • Build solid understanding of the economics of complex transaction; and their system/infrastructure needs for product creation and life cycle events
  • Compile and process data for monthly presentation for business manager and structuring on business control
  • Monitor upcoming coporate actions
  • Good analytical skills to understand different asset class products and complex end to end workflow
  • Strong control mind set and experience in reconciliation across multiple systems
  • Advanced excel skills and VBA coding knowledge is preferred
  • Good organization and communication skills, multi tasking and prioritization needed
  • Have strong interest in technology and aggressive in pushing for automation and system enhancement
  • Some knowledge of corporate action
24

Interest Rate Derivatives Trade Support Associate Resume Examples & Samples

  • You will be looking after the trades that are being cleared on CCP’s and liaising with Counterparties, Trade Support and Sales to resolve issues
  • You will be responsible for ensuring current controls are enforced, initiating new controls and building Straight Through Processing (STP) as you see fit to protect our franchise
  • You will be managing various compression initiatives, including TriReduce cycles, CCP Coupon Blending, internal and bilateral compressions
  • You will be the intermediary between the counterparties, Trading, Sales, Trade Support Group, Bank Resource Management and CCP’s
  • You will act as guardian in the clearing and compression space for the Bank and you will monitor the integrity of the Firm's risk by ensuring the Firm is compliant with FED, CFTC and EMIR targets
  • You will be participating in various regulatory initiatives related to clearing and other ad-hoc projects
  • You will be responsible for liaising with IT and the Projects Group to build improved infrastructure to increase both efficiency and control
  • Degree or equivalent educated
  • Fast leaner who is an excellent communicator and has a high attention to detail
  • Analytical skills are essential
  • Ability to adapt to a fast changing environment is essential
  • Ability to multi-task and complete daily tasks accurately and within deadlines
  • You will be able to speak with confidence and knowledge to counterparts describing when necessary the clearing and compression matters
  • You will need diplomacy and accuracy in dealing with focus counterparties, trading and sales people
  • Strong Excel skills are essential, VBA would be an advantage
  • Working understanding of Interest Rate Derivatives products
  • Experience in the interest rate clearing space is desirable
  • Trade compression experience is preferable, including TriReduce cycles and CCP compressions
  • Awareness of current industry initiatives and regulatory landscape affecting OTC Fixed Income Derivatives
  • Fixed Income Trade Support experience
25

Trade Support Associate Resume Examples & Samples

  • 4-8 years’ work experience
  • Proficiency with various computer platforms and applications
  • Desire to work with and alongside a number of different groups, from other ops/accounting functions to IT, trading and research
  • Interest in growing with the firm and wearing a number of different “hats” as different needs arise
  • Trade Support experience at a buy side firm
26

Cib-trade Support Associate Resume Examples & Samples

  • Support for FX and Derivatives transactions, including confirmation, affirmation and regulatory reporting
  • Managing and processing Economic Affirmations / Confirmations for FX and Rates Derivatives and listed futures contracts in MexDer
  • Drafting / Authorizing of Legal confirmations. Understand legal aspects relating to Derivatives confirmations
  • Building and sustaining, strong working relationships with internal Lines of Business within Operations, Front Office and external/internal counterparts
  • Ensuring that all issues are investigated and resolved in a timely manner as per Business Standards
  • Ability to compile information intended to be provided to Auditors (internal audit / external auditors) and/or local authorities (Mexican Central Bank, CNBV, etc.)
  • Able to implement small projects given clear goals and direction
  • Researching on any queries/ requests sent by counterparties or internal Operations teams in different locations, replying to the same with minimum response time
  • Liaising with the business on functional aspects throughout the project lifecycle and understanding and communicating the business priorities and requirements
  • One to two years experience in a Back Office / Operations team in a financial institution
  • Excellent analytical skills and detail and control orientated
  • Proactive and highly responsible
  • Strong communications and drafting skills, both in Spanish and English
  • Capacity to have communication with regulators/auditors
  • Intermediate knowledge on Accounting
  • Control and Process oriented mindset
  • Should have strong ability at Excel
  • Can be a recent University graduate
  • General knowledge of Derivatives products desirable
  • Communicates effectively & professionally, responsive to queries and requests and able to escalate when needed
  • Excellent organizational skills with ability to identify and prioritize high value payments
27

Trade Support Associate Resume Examples & Samples

  • 3-7 years of relevant work experience
  • Ability to handle high volume of work
  • Exceptional interpersonal and organizational skills
28

Trade Support Associate Resume Examples & Samples

  • High School Diploma required; Bachelors Degree in Finance or related field highly desirable
  • Experience with Securities processing knowledge, equity and fixed income securities an asset
  • Strong computer skills including; Excel & Word
  • Well developed prioritizing, time management and multi-tasking skills
  • Well developed problem solving skills
  • Ability to cross train for other operational functions
29

Trade Support Associate Resume Examples & Samples

  • Able to deal with multiple stakeholders at once in a very high pressure, fast-moving environment
  • Previous Interest Rate Derivative product knowledge
  • Proficient with computer applications and systems
  • Trade support or sales support experience
30

Trade Support Associate Team Lead Resume Examples & Samples

  • Ability to lead a team in day to day and partner with the trading desk
  • Work on strategic initiatives and drive agendas
  • Training and development of employees
  • Project Management-small to medium sized projects related to system integration and regulatory initiatives
31

Asset Management, Trade Support Associate Resume Examples & Samples

  • University graduate and above with minimum 5 years working experience and strong track-record from financial services industry
  • Preferably have strong knowledge of equity, fixed income, derivatives product and currency markets gained from experience in investment management or custody businesses
  • Fluency in English is a must plus good language skills (oral and written) in Cantonese and/or Mandarin
  • Possess strong analytical skills, with great attention to details and ability to make sound judgment
  • Able to develop strong trust-based relationships with colleagues and business partners
32

Operations Specialist Derivatives Trade Support Associate Resume Examples & Samples

  • You will assist Transition and Client Relationship teams with the on-boarding of new business
  • Partner with Technology, Client Service, Client Relationship Managers, External Vendors, Legal and Compliance to set up New Clients
  • Ensure all Derivative trades, valuation and collateral data is reported to Registered Trade Repository in accordance to EMIR
  • Assist direct reports with daily processing of Futures, Options and Swaps
  • Ensure same day margin requirements are met for centrally cleared trades
  • Prepare and produce monthly and quarterly client, management and board reports
  • You will raise requests from internal and external clients and prioritize in terms of importance and feasibility
  • Assist team with new and ongoing tactical and regulatory project work streams
33

Trade Support Associate Resume Examples & Samples

  • 2+ years of Trade Support experience
  • Strong client service background
  • Repo experience
34

Equity Trade Support Associate Resume Examples & Samples

  • University degree/college diploma or equivalent work experience
  • Advanced knowledge of standard desktop applications used by the business unit
  • Strong knowledge and understanding of the business unit’s key products such as cash equities, equity and index options, equity and index futures, convertible debentures, ETFs, and warrants, processes and controls
  • Strong knowledge of departmental systems and applications; previous experience with Fidessa, Imagine and /or Broadridge ADP would be desirable
  • Strong to advanced Excel skills would be desirable
  • Knowledge of back-office operations including trade settlements is an asset
  • Good understanding of internal business partners’ business, services and organization
  • Basic accounting and financial reporting background is an asset
  • Series 7 & 63 are required for US position. Must obtain within first six months of employment
  • Strong investigation skills
  • Strong customer service and relationship management skills
  • Strong conflict management/ resolution skills
  • Good decision-making skills
35

Trade Support Associate Resume Examples & Samples

  • 5-12 years’ work experience
  • OTC Derivative knowledge
  • Desire to work with and alongside a number of different groups
  • Trade Support experience at a Buy Side Firm
36

Trade Support Associate Resume Examples & Samples

  • Bachelor's Degree in Economics, Finance, or Accounting
  • 3-5 years' experience in an equity trade support role for an Asset Management firm, Hedge Fund, Fund Administrator, or Prime Broker
  • Highly organized and detail-oriented
  • Team-player
  • Highly responsive
  • Strong analytical, written and communication skills
  • Ability to articulate issues and/or recommendations
  • Proficient in MS Excel, Omgeo Oasys, CTM and ALERT, Bloomberg
  • Ability to learn new systems
  • Knowledge of Longview (OMS) and Eagle (Accounting)
  • Derivative Operations knowledge
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Equity Derivatives Trade Support Associate Resume Examples & Samples

  • Reconcile all positions and products on a daily basis
  • Reconciliation of trading positions to Risk (RV) and Firm's books and records (TAPS)
  • Booking exotic derivative and structured note trades
  • Regulatory reporting of eligible trades to TRACE or ACT
  • Provide support for business process improvements which includes trade flow automation, capacity enhancements, control framework and new business initiatives
  • Prepare metrics and reporting for senior management
  • Strong work ethos
  • An ability to multitask and take the initiative
  • A good understanding in fixed income derivatives is required with prior experience of a trade support role highly beneficial
  • An in depth knowledge of how derivatives trade, price and life cycle events impact the firm
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Commodity Trade Support Associate Resume Examples & Samples

  • Ensuring all functions and procedures are performed in a timely and correct manner, i.e. product setup and reconciliation, account mapping, monitoring and resolving issues with trade entry from electronic trading platforms, reconciling and resolving risk system to sub ledger position breaks, internal futures reconciliation, processing Exchange for Related Positions (EFRP), processing product cascading, option expiration, processing position takedowns, broker fees, resolving Comet breaks and TradeMart errors and monitoring of exception reports
  • Working with trading desk, sales, and other operations group to ensure proper trade processing and reporting
  • Working with the trading desk, Chief Operations Officer (COO) team and other infrastructure groups to support business initiatives and testing
  • Assisting on any issues, and providing timely escalation to desk and operations senior management
  • Identification and implementation of continuous improvements to systems and processes to improve efficiency and controls
  • 3+ years of experience in Institutional Securities Operations, ideally including derivatives, exchange cleared products and commodity products
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Listed Derivatives Futures Clearing & Trade Support Associate Resume Examples & Samples

  • Act as a specialist for the US futures markets in support of the Institutional Securities Group (ISG)
  • Work with clients, Global Agency Desks and LD Ops to automate client allocations and enhance existing processing where needed. (STP analysis, Vista Matcher, Template)
  • For new clients, understand operational requirements (special recaps, booking methods) and socialize these with Global Operations teams
  • Monitor client activity in Vista intraday and proactively seek allocations
  • Liaise with clients to resolve unmatched allocations and any trade related discrepancies
  • Process changes in Vista and other systems related to error trades and client updates
  • Process manual allocations, reallocations and 3rd party executions
  • Participate on the daily Operations/Risk/Compliance Risk Call
  • Monitor breaks mails and out trades and resolve issues from previous days business
  • Manage emails effectively to ensure no gaps with other Operations teams
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Desk & Client Trade Support Associate Resume Examples & Samples

  • The purpose of the role is to ensure that all trades executed by desks and clients we are responsible for, on global derivatives exchanges, are allocated at clearing closes. All trades to be allocated to Newedge / SG cleared accounts should be in GMI, and all trades to be given up to external clearing brokers should be accepted. Checks should be performed throughout the day and desks or clients chased for outstanding trades
  • Trade Capture/Allocation/Matching of all confirmations (electronic/manual) sent by desks and clients
  • Check outs with internal/external counterparties to ensure accuracy of bookings
  • Intraday unallocated/unclaimed transactions follow-up in order to minimise defaults, margin costs and operational risk
  • Assist the team in Chennai with historical breaks/queries resolution
  • Maintain accurate static data set ups between systems to allow streamlined processing
  • Monitor exceptions queues to ensure intraday business is running smoothly
  • Work closely with the Business Lines in order to be one step ahead new customers’ start of trading
  • Chase internal counterparts throughout the day to ensure allocations are received in due time
  • Chase E-Solutions for unidentified trades
  • EOD defaults account posting
  • Continuous review of team procedures (NEMO), possible team cross-training
  • Actively report/escalate all systems issues to ITEC
  • Act as operations technical expert regarding systems upgrades
  • Constantly review manual interventions metrics in order to achieve further automation
  • Responsibility for ensuring that you are fully aware of and adhere to internal policies that relate to you, your business or other businesses for which you have any level of responsibility. It is your responsibility to ensure compliance with operational risk requirements (e.g. security policies and regulatory requirements)
  • Responsibility for managing, controlling, preparing and escalating risk within the scope of your position
  • Responsibility for reading, understanding and complying with the Company’s Conduct and Standards and corresponding regulations. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates
  • Observe proper standards of market conduct. Responsibility to ensure that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business
  • Previous experience of clearing listed derivatives (back office or middle office)
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Interest Rate Derivative Trade Support Associate Resume Examples & Samples

  • As a member of IRD Flow TSG you will be working closely with the Front Office to provide the first level of control for the Interest Rate Derivative Trading desks
  • You will be responsible for offering the first line of defense for the Trading desk's franchise risk and risk in ensuring that the trade bookings are correctly reflected in both Front and Back Office systems and tie out with the Counterparty
  • You will be ensuring that all trades are booked and confirmed as intended by checking the Trading system verses internal MS systems and versus MarkitWire, liaising with Trading, Sales, Brokers or the Counterparty directly
  • You will act as guardian for the bank and you will monitor the integrity of the Firm's risk by ensuring that all trades are confirmed ASAP
  • You will be the intermediary between the Trading desk and other areas of the Bank. Controllers, Settlements and Confirmations areas will come to you to discuss and resolve issues to ensure that breaks are resolved effectively
  • You will be responsible for ensuring current controls are enforced, liaising with IT and Projects Groups to initiate new controls and build STP to improve the firms infrastructure to increase both efficiency and control as you see fit to protect our franchise
  • Diplomatic and accurate in dealing with Traders, Brokers, Sales people and focus clients
  • The pace of the desk demands that you complete each task quickly and accurately. You will be protecting our franchise and dealing with millions of dollars at risk. The ability to organize your time and complete each task on time will be a key factor in determining your suitability for the role
  • A high degree of accuracy and a willingness to learn new products is essential. This role is constantly changing and a willingness to adapt to new firm and industry initiatives and put forward your own ideas is of paramount importance
  • You will operate Trend, STIX, STS, E-ticket and Mainframe and any future systems. On the job training will be given to allow you to operate these in-house applications. An understanding of industry platforms such as MarkitWire, Reuters and Bloomberg is desirable
  • Daily deadlines are inflexible and the candidate should be organized to ensure the team meet all deadlines. The role requires the sharing and discussing of knowledge and information between the Trading, Sales, Settlements and Confirmations groups
  • You will be in constant communication with the front office, clients and many departments within the bank. You should be accurate, knowledgeable and professional in all dealings with whomever you may meet
  • You will work closely with your peers and you will need to share knowledge and act as a team player to get the most out of this role
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Operations , FX Trade Support, Associate Resume Examples & Samples

  • Resolve trade discrepancies with counterparties by liaising with trading, sales and relevant teams
  • Monitoring and processing trade lifecycle events
  • Control, reconcile, and resolve the trade processing exceptions
  • Working with technology for implementation of new processing platforms and system enhancements
  • Working with legal/compliance, IT and project teams to analyze new regulatory reform requirements and deploy new processes
  • Performing and enhancing daily control processes for regulatory reporting to regulators such as CFTC, EMIR, MAS, JFSA, SEBI, ASIC and HKMA
  • Relevant work experience with fixed income OTC products and related fields
  • Knowledge of industry structure, regulations and participants
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Trade Support Associate Resume Examples & Samples

  • Sets up securities in trading systems, fix errors, fails and kicked out trades, set up new accounts
  • Updates the trading system for changes in security ID numbers and factor changes
  • Corrects errors, execute cancel re-bills, investigate and work through claims from trading partners
  • Carries out complex activities with significant financial, client, and/or internal business impact
  • Executes stock trades with minimal market impact
  • Ensures that trades settle properly
  • A College or University degree and/or some relevant security industry work experience is preferred
  • Series 7 and Series 63 required
  • Familiarity with Bloomberg and trading systems
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Trade Support Associate Credit EXO Resume Examples & Samples

  • Dashboard activity - Contribution
  • KPI – Contribution and monitoring
  • Amend and Cancel – Detailed analysis and action plan follow-up
  • Procedure – Strict adherence and control
  • Checklist Monitoring
  • Operational and Regulatory knowledge
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International Trade Support Associate Resume Examples & Samples

  • Your ability to work in a fast paced, high intensity trading floor environment
  • Your ability to effectively operate in a 24-hour environment
  • You are self-motivated and can operate as part of a team
  • You have excellent systems and computer skills and a strong overall technology proficiency
  • Your awareness and sense of urgency to resolve and /or manage problems
  • Your ability to diagnose and recommend process improvements
  • Your ability to work with people across a large organization comprised of multiple business lines
  • Your flexible start time and end time schedule in this 24 hour environment, including holidays
  • Ability to learn and retain on the job training
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Rates Trade Support Associate Resume Examples & Samples

  • Maintain trading operations system integrity for our global RATES trading business
  • Control the risk management environment to ensure accurate P&L and risk measures are available in real-time for our trading desk
  • Investigate and provide solutions to various queries from settlements and confirmations, collateral and credit disputes
  • BA or BS degree required (Finance or Business degree)
  • Previous experience in Finance industry (Ops roles) desired
  • Works well under pressure leveraging their initiative to fully develop their role
  • Understanding of RATES products and derivatives is required
  • Problem solver, proactive and able to work independently
  • Ability to manage others processes or activities
  • Understands the large financial risks that can be incurred through operational errors and control risks
  • Strong PC Skills required; in particular MS Excel (VBA a plus), MS PowerPoint and Sharepoint
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Bacc-cem Trade Support Associate Resume Examples & Samples

  • Maintain trading operations system integrity for our CEM trading business, with a main focus in Latam region
  • Perform numerous control reconciliations to verify trading positions are accurate through front office to middle office recs, middle office to back office recs including EOD checkouts and P&L signoff
  • Production of Management Statistics, including but not limited to Key Performance and Key Control Indicators
  • Complete operations projects and ad hoc requests to satisfy new initiatives and operations/technology enhancements
  • Proactive in identifying issues/gaps and opportunities for new process improvements, taking appropriate actions to deliver simple and innovative solutions that improve the way we do business
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BA FX Trade Support Associate Resume Examples & Samples

  • Maintain trading operations system integrity for our global FX trading business
  • Previous experience in Finance industry (Ops roles)
  • Proficiency with the trading environment, risk management systems, performing critical operations controls
  • Control oriented with a focus on efficiency and process improvement
  • Quick learner with a strong sense to question and understand all details behind the processes and numbers
  • Independent/analytical thinker who can quickly assimilate situations through to the associated risks, business or control issues
  • Previous Mgmt experience (desired)
  • Skills & Knowledge
  • Medium/High understanding of FX products and derivatives is required
  • Strong analytical and quantitative aptitude, very detail oriented
  • Operations and control mindset, strong ability to prioritize and deliver quality work using time management skills
  • Highly organized and self-motivated, enthusiastic attitude
  • Fluent in English & Spanish