Trade Support Resume Samples

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FJ
F Jaskolski
Felipa
Jaskolski
240 Carley Crescent
Los Angeles
CA
+1 (555) 828 7290
240 Carley Crescent
Los Angeles
CA
Phone
p +1 (555) 828 7290
Experience Experience
08/2015 present
Boston, MA
Trade Support Manager
Boston, MA
Trade Support Manager
08/2015 present
Boston, MA
Trade Support Manager
08/2015 present
  • Working with senior management to develop KPIs/MIS
  • Work closely with Processing, Product Service-and Account Managers, Sales and Relationship Managers
  • Institute, evaluate and communicate daily workflow through quantitative metrics and management reporting
  • Provide LOB entity level cash management oversight in NA, EMEA and Asia/Pacific
  • Assist with monthly management reporting
  • Assist in the development of training materials
  • Set and Monitor SMART performance and development for the TSP team
05/2008 04/2015
Philadelphia, PA
Cib-credit Trade Support
Philadelphia, PA
Cib-credit Trade Support
05/2008 04/2015
Philadelphia, PA
Cib-credit Trade Support
05/2008 04/2015
  • Performing various control functions to ensure trade values in risk management are in sync with Risk, PNL & downstream applications
  • Partnering with global & local partners on projects, efficiency and business change (new products, industry change)
  • Overseeing the data gathering process, analyze the data and report MIS utilizing the various data source
  • Generate efficiencies by reviewing existing processes, improving STP & increasing capacity
  • Manage day-to-day processes across staff members including providing regular feedback, performance reviews and career development opportunities
  • New regulatory reporting implementation & on going remediation
  • Investigating trade break queries raised by Operations, analyzing trade booking /recaps, amending trades in risk management & working with Front Office to assess PNL impact
09/2005 02/2008
New York, NY
Trade Support
New York, NY
Trade Support
09/2005 02/2008
New York, NY
Trade Support
09/2005 02/2008
  • Working knowledge of trade bookings in Risk Management systems
  • Provide ad-hoc management reporting when requested
  • All executed Macquarie confirmations accurately reflect our Risk Management systems and are processed in line with our compliance, audit and legal policies
  • Working well in a team environment
  • Follow up and resolution of Settlement breaks and Post Settlement Adjustments
  • To be responsible for maintaining and contributing to the improvement of the front to back deal processing
  • Repo/Eonia rate process, and Eurex collateral management
Education Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
Johnson & Wales University
Bachelor’s Degree in Accuracy
Skills Skills
  • Excellent PC skills with good understanding of MS Word & Excel
  • Working knowledge of trade bookings in Risk Management systems
  • High accuracy rates and a high standard of attention to detail
  • Ability to appropriately prioritise competing demands
  • Strong problem solving skills and the aptitude to learn system flows
  • Strong organisational, communication and prioritisation skills
  • Ability to work well under pressure in a high paced environment
  • Enthusiastic, Proactive and Flexible attitude
  • At least 1 years prior experience at an Investment Bank or similar institution
  • Client Service for internal and external clients in the Financial Services industry
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1

Equity Derivatives Exotic Trade Support Resume Examples & Samples

  • Trade verification
  • Monitor events, corporate actions, expirations, and settlements which directly impact trading
  • Review various daily reports to resolve breaks and make needed trade amendments
  • Booking derivative and warrant trades
  • Troubleshoot all issues which result from a new issue, new trade, or action on existing positions
2

Fixed Income Cash Trade Support Resume Examples & Samples

  • Liaison with Desk Control Team to ensure the timely and accurate affirmation of all trades within 15 minutes, contacting internal and external clients where necessary
  • Monitoring trader's books in a live environment, to ensure positions and risk are correctly captured at the point of execution. Liasing with the BU on an ad hoc basis to identify and resolve issues, provide trade information, and act as liason point with various other teams within the Firm
  • Maintaining responsibility for risk management within the team through use of checklists, and timely escalation
  • In conjunction with Desk Control team, monitor reconciliation, settlement and product set-up queries as required
  • Maintaining, developing and improving current processes & procedures. Supporting the desk through NPAs, system enhancements and regulatory or compliance queries
  • Developing and maintaining various regulatory reports, to comply with market requirements
  • A general knowledge of Fixed Income products and how they are traded is preferable
  • An understanding of the wider financial environment
  • The ability to effectively prioritise a high volume of work in a real-time environment
  • Good risk awareness and the ability to escalate issues appropriately
  • Analytical and keen eye for detail
  • Good level of numeracy to aid in the quick identification and resolution of cash flow discrepancies
  • Teamwork is particularly important and the sharing of information is key to the success of the team
  • Able to identify and support the resolution of ambiguous problems through initiative and tenacity
  • Good IT skills and proficiency with Microsoft Office applications (particularly Excel)
3

Trade Support & Market Registration Associate Resume Examples & Samples

  • Serving as the point of escalation for all operational risk exposures,
  • Lead discussions regarding new or enhanced operational requirements
  • Constantly evaluate the services Morgan Stanley Investment Management receives from our external service providers to ensure that the highest standards for trade processing and portfolio services are met
  • Provide proactive and effective operational support to the MSIM front office and business support functions
  • Continuously review State Street's performance against agreed SLA deliverables
  • Jointly manage State Street and MSIM operations action plans to enhance service quality and address operational deficiencies
  • Assist with steps necessary to open local market accounts for the Morgan Stanley Funds
  • Bachelor's Degree or years experience or equivalent
  • General knowledge of global equity and fixed income products, global settlement cycles, market practices, registration issues and clearing systems
  • High degree of computer literacy, including working knowledge of MS Windows-based applications such as Word, Access, Excel and PowerPoint
  • Demonstrated ability to work effectively in a team-oriented environment
  • Able to work in high stress, high volume and time sensitive environment
4

CIB Ops-trade Support Resume Examples & Samples

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

Gmbs Principal Strategies Trade Support 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 pressue 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
6

Global Middle Office Equity Trade Support Resume Examples & Samples

  • Troubleshoot/ resolve issues independently as per Letter of Authority/ authority levels following established guidelines and procedures. Maintain appropriate audit trails
  • Problem-solve escalated issues, including more complex exceptions referred from others
  • Escalate all unresolved processing issues to the appropriate level, as per guidelines, including system, software and hardware failures
  • Prioritize work in accordance with policy and severity of service impact to minimize financial/ customer impacts
  • Act as SME for area of expertise. Provide advice in the completion of processes within established guidelines and procedures
  • Ensure receipt of appropriate approvals/ authorizations in accordance with P&Ps and controls
  • Manage and monitor a complex portfolio of work representing a significant amount of risk
  • Monitor compliance requirements. Ensure adherence to directives, policies & procedures and regulatory/ government requirements
  • University degree/college diploma or equivalent work experience
  • 2 to 3 years of related experience
  • Good knowledge of standard desktop applications used by the business unit
  • Good knowledge and understanding of the business unit’s key products and services, processes and controls
  • Good 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
  • Good understanding of the business unit’s risk and regulatory requirements
  • Good knowledge of departmental systems and applications; previous experience with Fidessa, Imagine and /or ADP would be desirable
  • Knowledge of back-office operations including trade settlements is an asset
  • Good understanding of internal business partners’ business, services and organization
  • Good knowledge of departmental systems and applications
  • Basic accounting and financial reporting background is an asset
  • Strong problem-solving skills
  • Strong investigation skills
  • Strong customer service and relationship management skills
  • Strong conflict management/ resolution skills
  • Strong written and oral communication skills
  • Good decision-making skills
  • Strong teamwork skills, with the ability to work independently as well as collaboratively
7

Principal Financing Trade Support 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 books’ 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
  • Experience and understanding of Stock Loan, Corporate Actions and Dividends or Derivatives Products preferred
  • 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
  • Outstanding interpersonal skills
  • Ability to communicate to a wide and varied audience, and group of stakeholders
  • Excellent attention to detail and proven risk awareness
  • Strong numerical and analytical background
  • Good organisation skills
  • Ability to deal with high-pressure situations and high work volume
  • Understands the risks inherent to operational processes
  • Excellent team player
  • Bachelor’s Degree level qualification or equivalent
8

Institutional Equity Trade Support Resume Examples & Samples

  • Trade processing
  • Client confirmation and settlement
  • Amendment of any trading issues
  • Updating and opening of client accounts
  • International trade processing and settlements
  • NCIB (Normal-Course Issuer Bid) daily and monthly reconciliation
  • Foreign Market Trades
9

Equities Trade Support st Line Support Resume Examples & Samples

  • Familiarity of structured products, models and payoffs
  • Previous experience of supporting a demanding trading desk
  • Proven record of delivering results and working to strict deadlines
  • Familiarity with impacts on risk and P/L
  • Excellent organisational skills and attention to detail
  • Strong Communicator (articulate and literate)
  • Strong Microsoft Excel knowledge is essential
10

O&t-icg-stock Loan Trade Support Resume Examples & Samples

  • Trade handling across equity finance, including trade processing, fail and short cover, exposures and collateral management, recalls/replacements, borrow returns
  • Management of client settlement activity, liaising with settlements and clients to resolve any issues
  • Main point of contact for operational/desk SBL queries
  • Review exposures
  • Provide SBL MO support for all APAC markets
  • Documentation and publication of MIS where required
  • Completion of all daily processes and controls including ad-hoc tasks that may be assigned with focus on automation of manual processes
  • Jobholder should have some background in a middle office function, preferably in Prime Finance
  • Jobholder should demonstrate his/her ability to understand the basic functions of Firm’s systems, operational trade flows, reconciliation and control procedures. Jobholder will be required to understand various global market regulations and practices as immediate priority
  • Jobholder should have the ability to work independently and pro-active to resolve daily operation issues
  • Hours can be demanding; ready to work during most Hong Kong holidays; require continuous efforts to research and communicate with various parties
  • Must be a stable and self- motivated learner who will make every effort to learn & understand SBL and Funding, with cross training coverage on Prime Brokerage and margin. Focus on internal controls and procedures essential
11

VP-equity Trade Support Derivatives Ops Resume Examples & Samples

  • Trade & Business Unit Support
  • Position and Control Functions
  • Data Integrity & Risk Reporting
  • Confirmation Drafting and Confirmation processing
  • Trade electronic matching
12

Cash Equity Trade Support Group Resume Examples & Samples

  • Reconcile equity trading positions
  • Stock Exchange Break Reconciliation
  • Broker Market Break Reconciliation
  • Agency Account reconciliation
  • Omni Account and Miscellaneous Account Reconciliations
  • FX Position Reconciliation
  • Change of Cost FX reconciliation
  • Ad-hoc Taps trade bookings on the back of the various reconciliations
  • Daily liaison with local and regional IED, answering queries they have in relation to the Cash Equity Trade flow (trade processing issues, FX executions, settlement issues/stock borrow, account opening, etc. ) and assisting in the facilitation of their business
  • Referential Data Setup (Products, Broker Accounts, Broker Delivery Instructions)
  • Participate in New Product Approvals as necessary, Testing System Changes
  • Various Risk Control Processes, e.g., review/escalation of T+1 position breaks
  • Preparation of Risk and Metrics Reports
  • 1-2 years’ experience in an Operations role
  • 1-2 years’ experience with a global investment bank (Equity Trade Support experience an advantage)
  • Some working experience with sales/traders & clients
13

Trade Support Manager, Commodities Resume Examples & Samples

  • Oversight of verification & confirmation processes for the MAST business, to ensure
  • A proven track record in Operational Risk & Control
  • Strong Technical ability for complex issue resolution and the aptitude to learn system flows
  • Ability to appropriately prioritise competing demands
  • High accuracy rates and a high standard of attention to detail
  • Proven track record of driving change initiatives, for efficiency and/or control
  • Working well in a team environment
  • Strong organisational, communication and prioritisation skills
  • Drafting of ISDA confirmations for OTC Commodity products and a good understanding of ISDA Master Agreements & Definitions
  • LME Matching function, including booking of trades on exchange (in LMESmart)
  • Working knowledge of trade bookings in Risk Management systems
  • Solid understanding of common Derivative instruments
14

Fixed Income Operations Trade Support Resume Examples & Samples

  • Ensures all functions and procedures are performed in a timely and correct manner, i.e. trade checkout, position reconciliation, wash account reconciliation -
  • Ability to identify and escalate issues to senior management and to trading desk(s)
  • Analytical and Problem Solving Skills
15

Trade Support Executive Houston Resume Examples & Samples

  • 3-5 years experience in the energy industry
  • Experience in Commodity Operations/Middle Office or derivative products and a good working knowledge of ISDA documentation, EEI and WSPP contracts
  • Strong knowledge of the current regulatory environment
  • Experience working in a busy team environment
  • Strong problem solving skills with the ability to prioritize tasks while maintaining a high level of attention to detail and a low tolerance for error
  • Strong Microsoft Excel and Word experience
16

Listed Derivatives Trade Support Specialist Institutional Securities Group Product Services 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
  • Provide clearing services to selected market/making proprietary trading broker dealing clients
  • Processing of standard and non-standard client requests and review of legal documentation to ensure the appropriate client approvals are obtained prior to release of cash and securities
  • Weekly, monthly, and quarterly risk management and team performance metrics reporting
  • Managing top-day trade allocations for full service and clearing-only trades (ensuring client allocation requirements are met and the T+ statement generation is accurate and in keeping with the client Service Level Agreement), facilitating exchange-facing trade input (pit transactions), managing Privately Negotiated Trades (PNT) input, partnering with the Projects team with respect to testing, documentation, QA validation as well as interfacing with internal and external constituents to manage execution-only trade flow
  • Ensuring that all steps (Commissions, Interest profiles) as part of the Client On boarding process are set up in the relevant systems as well as all Give Up agreements are executed in line with the instructions from the firm customers, counterparties and traders
  • Demonstrate a clear understanding of the business they support
  • 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 seek out new opportunities for self and career development
  • Actively participate in team meetings, raise issues, question others and offers solutions/ideas
  • Show a willingness to help others in the team with tasks and issues
  • 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
  • Ability to build and manage relationships with the Business Unit, other Morgan Stanley infrastructure departments, and external contact points in client organizations
  • Demonstrate deep knowledge of the product and/or functional area for which they are responsible
  • Establish clear goals and set priorities for themselves as well as ability to teach other resources their job function
  • Articulate thoughts and ideas clearly and concisely using both written and verbal communication
  • Roll-up-the-sleeves, results orientated mentality
  • Structure and effectively able to manage individually assigned tasks while incorporating Team duties and requirements
  • Ability to prioritize multiple and often conflicting requests from internal and external stakeholders
  • Manage and meet intra-day and end-of-day deadlines
  • Provide exceptional customer service
  • High degree of accuracy and meticulous eye for detail
  • Excel proficiency and ability to quickly learn proprietary applications
  • Self-motivated, inquisitive in nature, a strong appetite to learn
  • Passion for making a difference
  • Demonstrate commitment for risk management and clear focus on process improvement
  • Ability to identify and escalate risk items as they arise
  • Understanding of the regulatory environment and flexibility to adapt to change
17

Corporate Bond Trade Support Resume Examples & Samples

  • Be able to absorb new responsibilities that are put in front of you
  • Working to get to the next level is something this candidate should strive for
  • Assist in nightly P&L flash and liaise with finance team to resolve any T+1 variances
  • Should have the ability to interface with both the front and back office personnel to resolve various trade issues that arise
  • Always work towards enhancing and improving the day to day processes
  • Candidate should have 1-3 years of experience in the financial industry
  • Familiarity with FICC/RTTM/Trace is a plus
  • Must work well with others and be able to adapt to a continuously changing environment
  • Must be a team player and be able to work with a group
  • Must be willing to understand the importance of industry regulation
  • Must understand the importance of risk and time sensitive issues
18

Fx Operations Trade Support Resume Examples & Samples

  • Ensure payments are released via the banks processing systems to meet currency cut-off times
  • Exercises initiative and independent judgment is resolving client issues
  • Minimum of a BA/BS degree
19

Trade Support & Settlements Administrator Resume Examples & Samples

  • Provide administrative support to the trading desk
  • Assist in the input of trade information and the reconciliation of previous day trading activity
  • Research security prices as required
  • Assist Compliance Department with document processing and filing
  • Act as a liaison between trading and operations staff
  • Ensure timely and accurate settlement of all trades
  • Identify trade settlement issues while offering solutions to minimize risks or costs
  • Maintain accurate files for compliance, audit and regulatory purposes
  • Provide assistance and support to Trading Room staff and portfolio managers when implementing new processes or revising existing procedures
  • Pro-actively offer solutions for streamlining processes and/or procedures and ability to implement suggestions or new projects as developed
  • Maintain an ongoing awareness and ability to implement all custodial, industry and RBC policies, procedures and rules
20

Equity Derivatives Trade Support Specialist Resume Examples & Samples

  • Provide trade support to Equity Derivatives front office in New York. Responsibilities include but not limited to equity derivative trade validations to front office systems, corporate action booking, cash equity/stock loan breaks, daily price fixings, and event calculations
  • Interact with Front office Trading and Sales, Operation teams, product control and external counterparties to resolve trade discrepancies and escalation issues
  • Compile daily and monthly trade reporting to management
  • Minimum of 2 years experience of Equity Derivatives Operations
  • Minimum of a BA/BS degree in Business or Finance
  • Knowledge of Sophis preferred
21

Derivative Operations Trade Support Fund Operations Resume Examples & Samples

  • Ability to meet strict deadlines in a fast-paced environment
  • Ability to think laterally, and recognise opportunities for system/process improvement
  • Ability to understand complex problems quickly and move projects forward
  • Good communication/relationship building
  • Confident in speaking to various departments / the front office
  • Degree qualified or equivalent
  • Familiarity with the front-to-back lifecycle of derivative products
  • Good understanding of derivatives and cash equity products, ideally equity derivative OTC and listed options
22

Trader Assistant, Trade Support Specialist Resume Examples & Samples

  • Serve as first point of contact for issues raised by Middle Office, Product Control and Technology regarding potential trade issues
  • Serve as primary point of contact for booking of securities on hub entities on the behalf of Banamex and local branches
  • Ensure valid booking and verification across multiple product lines (FX, Rates, Securities) for NY Hub and Local Branch executions, including reconciliation of positions and trade details between multiple risk managements and execution platforms
  • Ensure T+0 trader estimates are in line with T+1 PnL, working closely with Product Control, Middle Office and Technology
  • Develop and maintain procedural documents for all FO activities including trader support, to ensure coverage during new analyst rotations
  • Manage ad hoc projects related to new regulatory, compliance and control mandates
  • Identify workflow/system improvement opportunities and lead projects to address these opportunities
  • Work closely with LatAm business managers to execute corrective action plans that address control gaps
  • Coordinate and track key technology projects and escalate issues as needed to ensure delivery dates are met
  • Ensure consistency of in-business controls, policies and procedures and alignment with MCAs
  • Develop a deep understanding of the FX and Local Markets business, its products and processes, and how it operates within a large organization
  • Build strong leadership and managerial skills
  • Build effective prioritization skills as the job entails dealing with multiple conflicting priorities in a time sensitive environment
  • Direct exposure to senior Markets management and key control areas (Finance, PCU, Compliance, Legal, Internal Audit, Risk, Technology)
  • Successful candidates will have the opportunity for future career progression within the Markets business and beyond
  • At least 2 years of relevant experience in a trader support role, business management or related role
  • Strong project leadership skills and ability to manage cross-functional teams
  • Results/task orientation with excellent attention to detail
  • Ability to work well autonomously as well as within a team and with colleagues who may not be in the same location
  • Excellent MS Office skills including Excel and PowerPoint
  • Fluency in Spanish a plus but not required
  • Excellent academic record, ideally in a quantitative field such as engineering, mathematics, computer or natural sciences and economics
  • Proven track record of managing large, complex projects involving cross-functional teams
23

Fixed Income & Funding Trade Support Specialist Resume Examples & Samples

  • 3 – 5 years of experience in the financial services industry related to fixed income & funding
  • Knowledge of Bloomberg TOMS, Bondfire and ICI a plus
  • Strong organizational skills, detailed oriented, highly motivated and adaptable
  • Strong understand of Excel and light programing a plus
  • Ability to handle pressure
24

Hedge Fund Trade Support Specialist Resume Examples & Samples

  • Support of the trade life cycle, including fund review and on-boarding, instrument set up and maintenance, Cut-off monitoring, trade instruction, settlement of trades and position/lot level maintenance
  • Providing data analysis and metrics to senior management
  • Strong risk and controls awareness
  • Experience with Olympic Banking System a plus
25

Hedge Fund Trade Support Specialist Associate Edinburgh Resume Examples & Samples

  • Working with a wide variety of internal and external counterparties to ensure timely identification of issues and their resolution
  • Support of the project agenda (both ad hoc and strategic) to meet the changing requirements in the industry as well as driving efficiency gains and risk reduction
  • BS/BA Degree – Legal, Accounting, Finance or Business preferred
  • Ability to multi-task and work well under pressure to meet deadlines
  • High level of integrity
26

Team Leader Structured & Exotic Trade Support Resume Examples & Samples

  • Act as sole front-to-back Operations point of contact for Sales & Trading
  • Define daily Controls for the team
  • Executing on supervisory controls
  • Definition of team member objectives, delivery of midyear and end of year reviews
  • Building relationships with Operation teams, Financial Controllers, Trading & Risk Management
  • Managing tactical/stratgic agenda to enhance control framework
27

Trade Support Specialist Trade Management Analyst Resume Examples & Samples

  • Ownership of the end-to-end trade booking process; including but not limited to daily communication with business partners in multiple LOB’s, affirmation of economic trade details, booking/enrichment/allocation of trades in loan processing system, exception management of Primary syndication and Third Party trades, trade settlement of Third Party and certain Secondary Loan trades, Bridge Loan Participation support, related portfolio transfer and trade amendment activity, and system initiatives/testing related functions for the various LOB’s supported
  • Responsible for BAU activities, MIS control data, daily/monthly KPI management, SOX and/or internal/external audit requirements, CSA reviews and required process reviews/improvements, and ongoing review of control environment, etc
  • Coordination between MO Documentation and Operations Settlements Teams, Loan and Agency Services, Legal, Credit, and Technology business partners to ensure smooth execution of trades within the syndication pipeline
  • Resolution of day to day issues that arise during the course of the trade management function support
  • Ensure proper escalation of risk and control related issues with appropriate Compliance, Controls, & Legal contacts
  • Daily analysis of KPI metrics with subsequent daily/weekly communication of KPI volume and outstanding trade affirmation/confirmation aging trends to senior management contacts
  • Participate in Operations & Technology strategic initiatives planning and UAT strategy for BAU implementation
  • Bachelor's degree in Finance or Business (or equivalent experience)
  • Finance background
  • Self-motivated with strong initiative
  • Detail orientated individual that can work efficiently under pressure
  • Ability to work effectively across groups within the organization
  • Strong focus on control and process improvement
  • Have a passion to understand details behind numbers and/or processes
  • Able to foster a team-oriented environment
  • Strong conflict resolution/ negotiation skills
  • Proficiency with Microsoft Office Suite (Excel, Word, and PowerPoint)
  • Familiarity with loan-based software (LoanIQ, ClearPar)
  • Experience with LSTA standard documentation; Knowledge of the LSTA Standard Terms and Conditions
  • Knowledge of the trade lifecycle and/or experience supporting a trading business
  • Familiarity with syndicated loans
28

Mutual Funds Trade Support Specialist Resume Examples & Samples

  • Support of the trade life cycle, including fund review and on-boarding, instrument set up and maintenance, Cut-off monitoring, trade instruction, settlement of trades and position/lot level maintenance
  • Daily and weekly Cash and Security reconciliations, including identification and resolution of issues
  • Funds revieu and on-boarding, instument set-up and maintenance
  • Responding to ad hoc front office questions and requests as well as providing periodic product information updates
  • Working with a wide variety of internal and external counterparties to ensure timely identification of issues and their resolution
  • Providing data analysis and metrics to senior management
  • Support of the project agenda (both ad hoc and strategic) to meet the changing requirements in the industry as well as driving efficiency gains and risk reduction
  • BS/BA Degree – Legal, Accounting, Finance or Business preferred
  • Strong risk and controls awareness
  • Meticulous attention to detail
  • Ability to multi-task and work well under pressure to meet deadlines
  • Team player with a strong sense of ownership
  • High level of integrity
  • Consultative in approach, understanding and anticipating business partner needs and proactively delivering solutions
  • Strong organizational and prioritization skills
  • Ability to take a corporate perspective
  • Excellent written & oral communication skills in English
  • Microsoft Word, Excel, PowerPoint proficiency is required, Access a plus
  • Experience with Olympic Banking System a plus
  • Knowledge of the various financial regulatory requirements a plus
29

Private Bank-mutual Funds Trade Support Specialist Resume Examples & Samples

  • Support of the trade life cycle, including fund review and on-boarding, instrument set up and maintenance, Cut-off monitoring, trade instruction, settlement of trades and position/lot level maintenance
  • Daily and weekly Cash and Security reconciliations, including identification and resolution of issues
  • Funds revieu and on-boarding, instument set-up and maintenance
  • Working with a wide variety of internal and external counterparties to ensure timely identification of issues and their resolution
  • Providing data analysis and metrics to senior management
  • BS/BA Degree – Legal, Accounting, Finance or Business preferred
  • Team player with a strong sense of ownership
  • High level of integrity
  • Ability to take a corporate perspective
  • Excellent written & oral communication skills in English
  • Microsoft Word, Excel, PowerPoint proficiency is required, Access a plus
  • Experience with Olympic Banking System a plus
30

Senior Trade Support Splst Resume Examples & Samples

  • Equities / Fixed Income
  • Money Market Instruments (Call Accts – Time Deposits)
  • Stock Collateral
  • Placing activity
  • Unit Trusts / OEIC’s
  • Stock Lending monitoring and settlement
  • Excellent verbal and written communication skills
  • Computer skills. Proficiency in Microsoft Word and Excel required
  • Works well in a team environment
  • Attention to detail and the ability to work under pressure within set deadlines
  • Ability to provide support to other team members by answering questions and offering guidance
  • Strong communication skills, written and verbal, both internally and externally with clients and third parties, and be able to communicate clearly and effectively to all levels
  • Ability to manage multiple requests within a given time frame and consistently meets deadlines
  • Display a proactive and flexible approach to all tasks
  • Effective time management and organisational skills
  • Ability to work well in a team environment
  • Always demonstrate trust and integrity
  • Excellent problem solving and research capabilities
  • Demonstrate ability to escalate items timely, while providing necessary information for further actions
  • Maintain high quality of work
  • Begin to support more complex accounts and respond to more complex client inquiries
  • Act as an on boarding mentor for new team members
  • Provide on the job training for new team members
  • Provide support to other team members by answering questions and providing guidance
  • Help other teams when possible
  • Attend client meetings as required
  • Offer potential solutions and help execute client requests
  • Work more independently on executing daily deliverables
31

CIB Ops-na Linear Rates Trade Support Resume Examples & Samples

  • The role entails significant interaction with a variety of business partners (Accounting, Finance, FO, Marketers, Credit, Settlements, Confirms, Technology) in order to manage the operations front to back
  • The ability to communicate complex matters in a clear and concise manner is essential whether dealing with the FO or when dealing with other support groups
  • Strong product knowledge on interest rate swaps, cross currency swaps, FRA, and other rates derivative products, trade support experience is a plus
  • Experience in P&L and Risk
  • Display strong drive and enthusiasm, highly numerate and have strong analytical skillStrong technical skills, such as Excel, VBA, Access
  • Strong communication skills and attention to details
  • Great team player to work in the pressurized environment
  • Adaptable to changing environment, ability to multi task and prioritize
  • Ability to work in a pressurized environment, able to meet tight deadlines on regular basis
  • Ability to quickly absorb new information and incorporate changes in to existing processes
32

Fixed Income Securities Trade Support Specialist Resume Examples & Samples

  • Understanding risk implications of fixed income operations
  • Providing supervisory oversight to ensure all functions and procedures are performed in a timely and correct manner, i.e. treasury auctions, trade checkout, position reconciliation, wash account reconciliation
  • Reviewing regulatory reporting including TRACE, MSRB, and FR 2004
  • Working with trading desk, sales, and other operations group to ensure proper trade processing and reporting
  • Managing stakeholder relationships across the business unit
  • Assisting on any issues, and providing timely escalation to desk and operations senior management
  • Recruiting and developing Talent
  • Strong communication skills, willingness to transfer knowledge is imperative
  • Team player, must be able to collaborate across multiple operational areas
  • Multi-Tasking and time management skills are critical
  • Ability to identify and escalate issues to senior management and to trading desk(s)
  • Analytical and Problem Solving Skills
  • Work well in a time sensitive environment
  • Self-starter, who is willing to ask questions Skills Desired
  • 5+ years experience within Fixed Income Operations
  • Fixed Income Securities Knowledge (Rates, Credit, EM)
  • Experience of TRACE, Fed Reporting and the Treasury Auction Process
  • Heavy Experience with Metric and Data Analysis
  • Understanding of Regulatory framework for Fixed Income Securities
  • Active within the industry; Understanding of key Fixed Income Organizations
33

Portfolio Administrator Trade Support Resume Examples & Samples

  • Provide a high level of service and professionalism to internal and external clients
  • Specific to internal clients, the goal of the Trade Support team is to provide required support and remove as much routing and/or special project work as possible from the Traders and Portfolio Managers providing them with additional time to manage core trading, analytics and portfolio management competencies
  • Daily trade settlements: Money Market, Equity, Fixed Income, International, FX, Derivatives – Bond Forwards, SWAPS, Netting, Options, CDSs, FX Spots & Forwards, Collateral Movements, Margins & Futures
  • Ensure confirmation of Foreign Exchange trades
  • Monitor corporate actions and ensure response submitted to meet deadlines. Maintain records of same
  • Receive sort and respond to corporate action notices
  • Administrative support for proxies. Add new accounts accordingly and respond to queries from Proxy Analyst
  • Maintenance of Settlement Instruction Records
  • Retention of broker confirmations
  • Coordinate in-specie transfers
  • Provide support and back up as required across the Operations Team
  • Be an effective team player and flexible in adjusting to changing work priorities
  • Participate fully as a member of the team: contribute to a positive work environment, TD Pulse results/action plan
  • Support the team by continuously developing knowledge in own area
34

North American Commodities OTC Trade Support Resume Examples & Samples

  • Efficiently and accurately verify the settlement calculations for structured Electricity and Natural Gas settlements
  • Timely resolution of settlement disputes
  • Identify, analyze, and ensure resolutions to cash fail receivables and trial balances
  • Confirm accurate trade representation in risk
  • Provide Operational support for New Product Approval in Commodities
  • Address ad-hoc requests from Clients, Traders, Origination, Legal, Credit, IT and Controllers
  • Attention to detail
  • Excellent verbal and communication skills
  • Ability to Multitask
  • Ability to work under pressure
  • Proficient in Excel
  • Team Player
35

Process Manager Am Im a Trade Support & Global Cash Resume Examples & Samples

  • Trade Confirmation - Trade Matching of Time Deposits & Municipal Trades with LOU's/brokers
  • Fails Resolution - Emails on Fail station trades and monitor/respond to fail reports from brokers and custodians until resolution
  • Confirm Affirm/Near Match - Affirmation of trades on manually Marketwide agreed parameters & follow up on discrepancies
  • Factor Management - Factor Revisions on Fixed Income trades upon factor revision as per Bloomberg
  • AFS Reconciliation - Reconciliation between Trading (AFS) & Accounting System (Eagle)
  • Time Deposits - Processing & confirming the cash flow with the external brokers for a short term deposits, documentation etc
  • Considering the twin city model, additional roles in trade confirmation function expected in India, we expect a strong 601 in Bangalore to strengthen the team
36

Interest Rate Derivative Exotics Trade Support Director Resume Examples & Samples

  • As a member of IRD Structured 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 defence 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
  • You will need diplomacy and accuracy 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 organise 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 organised 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
37

Trade Support Resume Examples & Samples

  • Operational support for Crude and Refined Products; Power and Natural Gas
  • Verification of deals entered into ETRM against Broker confirmations – both electronic and paper; as well as Trading Blotters
  • Confirmation and Broker matching via eConfirm
  • Generating ISDA, WSPP, EEI Confirmations as well as drafting Long-Form Confirmations for Power and Natural Gas trades
  • Reconciliation of Settlement Invoices against ETRM system, customer records, supply and transportation records
  • Preparation of all relevant documentation for Settlement and liaising with Counterparties to agree final Settlement amounts
  • Follow up and resolution of Settlement breaks and Post Settlement Adjustments
  • Managing relevant internal and external relationships. Cross training between products and roles as required by the business
  • Identifying and resolving issues and escalating prudently to direct and senior management
  • Identifying areas of improvement across systems, processes and procedures
  • Regulatory Reporting
  • Degree Qualification with relevant 1-5 years of experience in energy or financial operations
  • Good knowledge base of financial and physical energy products and markets
  • Working knowledge of ISDA documentation, EEI and WSPP contracts
  • Strong problem solving skills with the ability to prioritise tasks while maintaining a high level of accuracy and a low tolerance for error
  • Ability to initiate and incorporate updated procedures and processes
  • Experience working in a busy team environment with demonstrated ability to work under pressure
  • Be highly motivated, professional, and possess strong attention to detail
  • Excellent communication skills – both written and verbal
  • Strong Microsoft Excel and Word experience
  • Act with a high level of personal accountability and ownership of their role
38

Fixed Income Cash Trade Support Resume Examples & Samples

  • Monitoring trader's books in a live environment, to ensure positions and risk are correctly captured at the point of execution. Liaising with the BU on an ad hoc basis to identify and resolve issues, provide trade information, and act as liaison point with various other teams within the Firm
  • Experience managing a high performing team in a dynamic environment
  • The ability to remain calm, confident and capable of communicating to a varied and often very senior audience, clearly and concisely in a pressurised environment
  • Ability to focus on the detail and maintain accuracy in a pressurised environment
  • Ability to develop and maintain relationships with business units and other operational groups
39

Trade Support Manager Resume Examples & Samples

  • Provide oversight on global cash reconciliation processing in NA, EMEA and Asia/Pacific
  • Provide LOB entity level cash management oversight in NA, EMEA and Asia/Pacific
  • Support all OPICS sub-ledger reporting activities feeding GL’s in NA, EMEA and Asia/Pacific
  • Administer daily cash reporting to the LOB and servicers via the Max Automated Reconciliation System
  • Oversee Transaction Life Monitoring process related to reconciling all LOB related nostro accounts
  • Provide support on LOB global cash clearing account reconciliation reporting for GLRS p&l substantiation
  • Administer no-buy cash reporting on all client cash received on claims which have been repurchased by the client
  • Process monthly servicer invoice reconciliations for timely payment of all servicer invoices
  • Provide claim level remit data weekly and monthly reporting to all external 3rd party servicers
  • Process all client direct payment wires and checks in conjunction with the MO deal administration team
  • Work with Maxis Support IT team to build out automation, controls and efficiencies on all TM related reporting processes on the proprietary database platform
  • Assist in quality control testing in conjunction with the US external servicers across the Collections Litigation, Sworn Documents and SCRA work streams
  • Assist in the production of a weekly metrics reporting deck for review with the front office and middle office senior management as required
  • Provide support on the Master and Internal Servicing work streams as required
  • Provide assistance in support of the ABS Special Opportunities Student Loan LOB as required
  • Provide support on all ad-hoc and special project requests from FO/MO senior management as required
  • Ability to multitask and to work under pressure, prioritizing duties according to risk and client profiles
  • Excellent communication and interpersonal skills, ability to partner with teams spanning operations, technology, finance, Mumbai internal servicing team, 3rd party external servicers, and the front office
  • Demonstrate the ability to identify issues and escalate timely while understanding potential risks and looking to mitigate control gaps where necessary
  • Proficiency in Excel, Word and PowerPoint a must
  • Knowledge of Sybase, PowerBuilder a plus
  • Experience in an operations role a plus
40

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

  • Book trades in risk management system for OTC derivative / Cash Equities which are executed by Tokyo trading
  • Ensure the risk is correct in risk management system
  • Be responsible to monitor any types of control breaks
  • Be responsible to prepare regulatory reporting
  • Be accountable for ad hoc queries from various groups within the firm related to EDG
  • Drive and implement process improvement related initiatives
  • Analyze new business initiatives
  • Manage projects related to E2E review, efficiency realization, new initiatives, etc in local, regional, and global scale
  • Well motivated, enthusiastic, and strong work ethic
  • Able to work in time sensitive environment
  • Good communication skills able to develop good relationships among the middle office members (local and global), front office, clients, operations, Legal & Compliance and others key functions within the organization
  • Able to multi-task with good eye for detail
  • Supportive working behavior able to place themselves in the counter person’s position
  • Business level communication skills in Japanese and English
41

Trade Support Resume Examples & Samples

  • Timely and accurate completion of all daily tasks to ensure correct information is recorded in MSG's client and risk management system including but not limited to trade entry, monitoring of cash and position reconciliations, cash payments, rates maintenance
  • Timely response to all queries related to the information recorded in MSG's client and risk management systems. This includes interactions with traders, accountants, settlements staff, bookings, risk managers and external brokers
  • Specific experience in equity markets is desirable. Experience should cover cash equity and futures support
42

Fixed Income Institutional Trade Support Specialist Resume Examples & Samples

  • Understands risk implications of fixed income operations role
  • Ensures all functions and procedures are performed in a timely and correct manner, i.e. trade checkout, position reconciliation, wash account reconciliation
  • Work with trading desk, sales, and other operations group to ensure trade processing
  • Cross-training with other team members
  • Assist on any issues, and provides timely escalation to desk and operations management
  • Strong communication skills, willingness to transfer knowledge is imperative
  • Team player, must be able to collaborate across multiple operational areas
  • Multi-Tasking and time management skills are critical
  • Ability to identify and escalate issues to senior management and to trading desk
  • Analytical and Problem Solving Skills
  • Work well in a time sensitive environment
  • Self-starter, who is willing to ask questions
43

Equity Derivative OTC Options & Exotics Trade Support Resume Examples & Samples

  • Reconciliation of Trader?s Risk products and positions to Firm books and records and investigation and resolution of breaks
  • Investigation and resolution of failing trades
  • Minimum Bachelor degree
44

Avp-credit Trade Support Resume Examples & Samples

  • Identification and resolution of booking, system and process issues
  • Establish relationships across departments to ensure structures are appropriately captured for accounting, valuation and settlement purposes - approving new product initiatives
  • Work closely with Traders to resolve and escalate Risk and P&L issues
  • Implement improvements to the system infrastructure & control environment
  • Work with technology team and other lines of business to execute user testing and project implementation related to our credit trading system
45

CIB Ops-public Finance Trade Support Resume Examples & Samples

  • To understand both cash flows and operational 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
  • Bachelors degree, required
  • Self starting team player
  • Control focused (Checks and Balances, Regulatory Implications)
  • Understanding of process flows: Ability to look at the overall process and explain it to others
  • Time Management: Organization and prioritization of tasks, setting own deadlines and working to defined targets
  • Technical skills : The daily tasks will involve using several applications as well as the standard desktop so must have an aptitude for this
46

Team Leader Derivative Exotics Trade Support Director Resume Examples & Samples

  • Trade and Issue Date controls on product set-up and trade booking
  • Deal verification of Trade booking to Term sheets or other sources
  • Processing lifecycle management for Note and Certificate business
  • Calculating Complex Payoffs for OTC's & Structured Products
  • Support of Exotic OTC business
  • Daily reconciliation and clearance of position/product & internal accounting breaks
  • 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
  • Identification and escalation of control-related issues, developing procedures/solutions to close gaps
  • Interacting with the Sales & Trading Desks, answering any ad-hoc requests/trade related questions
  • Partnering with stakeholders to specify and deliver business process improvements and efficiencies via changes in procedures and technology
47

Mumbai Equity Trade Support Resume Examples & Samples

  • Trade processing exceptions
  • Third party broker matching and reconciliation
  • Exchange / ECN reconciliation
  • Position break flagging and categorization
  • P&L break research
  • Business process improvement
  • Hire and train the best people we can find in the market
  • Process documentation
  • Excellent communication skills including fluent spoken and written English required
  • High computer literacy required, moderate to high expertise with Excel (including creating macros) desired
48

Derivative Trade Support Specialist Resume Examples & Samples

  • 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
  • Continually review and improve processes to achieve maximum efficiency and effectiveness
  • Understand and be able to communicate key regulatory changes that impact derivative trading and product support
  • Support current business initiatives within the team
  • Any other duties as assigned
49

Head of Trade Support Resume Examples & Samples

  • Direct line management responsibility for Chicago Trade Support team including recruitment, objective setting, staff development, and performance management
  • Effectively monitor team capacity and ensure proper cross training and job rotation is being completed
  • Manage and ensure proper oversight of all post trade activity for equity and fixed income teams including confirmation, trade entry, settlements, claims, reconciliation, collateral movements and escalations. Ensure items are completed in a timely manner and the team is maintaining proactive responses to issues and inquiries
  • Maintain and improve the control environment and ensure compliance with SOX requirements and Operational Risk Framework at all times
  • Provide regular MIS metrics for review by senior management. Identify trends and escalate issues via the Risk Management process. Document risk activities in the appropriate systems including near misses and errors
  • Monitor and manage relationships with custodians and brokers
  • Act as senior escalation point for any post trade related queries or issues arising from internal and external clients
  • Facilitate onboarding of new accounts and ensure setup is completed in the relevant trade support systems. Partner with the Transitions team to review new clients and instrument types to ensure proper processes are in place to support new business operationally
  • Drive major change projects within the team to ensure seamless implementation. Provide the leadership for process driven improvements to gain efficiency using Six Sigma (or similar types) practices
  • Ensure life cycle events related to Trade Support are processed and actioned appropriately including corporate actions on trades with pending settlement, process mortgage factor updates, process monthly mortgage pool deliveries, and cash wire netting payments for repurchase agreements and mortgage TBA trades. Ensure manual inputs are reviewed through a four eye check and proper controls are in place to ensure accuracy
  • Perform daily reviews of reconciliation exceptions for cash, transactions and holdings as they pertain to the trade support team. Liaise with the custodians, brokers and reconciliations team to ensure reconciliation breaks are resolved immediately
  • Document detailed procedures and review and enhance support guides to share with team members
  • Drive and Commitment
  • Strategic perspective and global awareness
  • Strong organization and time management skills
  • Excellent technical skills in Microsoft Office products including Excel, Word, PowerPoint and Office. Knowledge of Excel at the macro level and SQL is a plus
  • Strong project management skills
  • Prior experience with Bloomberg, Easy Pool (EPN), Omgeo OASYS and ALERT, GIM2, Longview, TradeFlow, etc. a plus
  • Highly skilled and analytical problem solver with logical thought processes and quantitative aptitude
50

Trade Support Manager Resume Examples & Samples

  • Risk oversight of verification and confirmation drafting of UK & European Gas & Power, Emissions, Uranium and Securities trades to ensure risk systems match all incoming and outgoing documentation
  • Primary escalation contact for clients, brokers and the Sales and Trading division
  • Working with both the local and global Trade Support teams to drive identification and implementation of improvements in operational processes from a control or efficiency perspective
  • Transition clients/products from Paper confirmations to Electronic Matching
  • Increase STP rates for Paper Confirmations
  • Working with senior management to develop KPIs/MIS
  • Previous experience as an Operations Team Leader or Team Manager
  • Recruitment and strategic team building/development
  • Strong technical ability to learn and teach the representation of complex OTC trades
  • Comfortable in dealing with clients who expect a platinum service and building relationships with them
  • Able to prioritise competing demands & manage internal/external client expectations
  • Proven track record of driving change initiatives, for efficiency or control
  • Enjoy working in and fostering a team environment
  • Enthusiastic, Proactive and Flexible (Does Macquarie look for specific attributes in leaders?)
  • Ability to work well under pressure in a high paced environment
  • Strong OTC Commodities experience, preferably a subject matter expert on UK & European Gas and Power Products
  • Experience of drafting ISDA/EFET/GTMA confirmations for Vanilla and Exotic FICC products
  • Knowledge of how the Operations team interacts with other areas of the Bank
  • Understand the importance of controls & procedures within the Operations Division
  • Awareness of the regulatory environment and its current/potential impact on financial institutions, specifically on an operational level
51

Associate Equity Trade Support Mumbai Resume Examples & Samples

  • Certain trade booking / amendments
  • Settlement fails monitoring
  • Improve business processes to strengthen controls, communications, and improve efficiency
  • Product and operational knowledge in global cash equities (primarily), corporate actions, FX, listed derivatives, commodities, bonds, loans, swaps, derivatives, principal investments
  • Risk awareness, willingness and propensity to probe, question, and escalate
52

Trade Support Manager Resume Examples & Samples

  • In relation to ongoing regulatory initiatives
  • Previous investment banking experience required
  • Experience of OTC derivative processing/lifecycle, in one or multiple asset classes desirable
  • Experience in managing initiatives/ projects
  • Client interaction in a previous role
  • Understanding of client reference data desirable
  • Excellent delivery record in previous roles, ability to manage changing priorities & high volume processes
  • Strong influencing & negotiation skills
  • Good organisational/ project management skills
  • Have a proactive, focussed approach, looking at continuous ways to improve the control & operational environment
  • Strong PC skills e.g. Excel, PowerPoint
53

CIB Ops Trade Support Manager Resume Examples & Samples

  • Prior experience managing a team required
  • Strong Client Service skills: The team is extremely Client Service focused and has a great deal of interaction with Clients and every internal team that is involved in the booking of a trade globally, thus requiring a high level of professionalism
  • Technical Skills: Advanced Microsoft Excel
  • Previous experience of Client Service, Valuations, Reconciliations is very beneficial, given the organic nature of the role
  • Ability to prioritize and organize workload, react swiftly especially under pressure at peak periods, with demanding internal and external clients
54

Trade Support Supervisor Resume Examples & Samples

  • Reviewing and releasing trade instructions to custodians and clients
  • Investment confirmation and settlement monitoring
  • Unmatched or failed trade monitoring and resolution
  • Reconciliation review and clearing of items
  • Implementing ideas which will increase the efficiency and accuracy of the team
55

Credit Trade Support Resume Examples & Samples

  • BA/BS degree required
  • PC Literate and proficient in Microsoft Excel, Word and Access
  • Basic accounting knowledge is required
  • Able to identify and resolve issues with minimum supervision
  • Self motivated with good interpersonal skills
  • Able to work under pressure and meet deadlines
  • Self starting team player who is creative and reliable
  • Extremely detail oriented and controls focused
  • Analytical and quantitative aptitude
  • Adaptability to learn new tasks & demonstrate willingness to understand the detail of a process
  • Understanding of the transaction flow: Ability to look at the overall process and explain it to others
  • Strong time management: organization skills and prioritization of tasks, setting own deadlines and working to defined targets
56

Cib-rates Trade Support Resume Examples & Samples

  • Keep yourself up-to-date with the firms policies and standards
  • Ensure that serious problems are escalated in a timely manner and to the correct level within J.P.Morgan
  • Delegation of questions and problems to the correct departments
  • Pro-actively seek training opportunities within and beyond his/her field of expertise
  • Continuously strive towards more efficient and robust processes in joint cooperation with his/her manager and other departments
57

Listed Derivatives Trade Support Group ISG Product Group Operations Resume Examples & Samples

  • Structure ? effectively able to manage individual to-dos while incorporating Team duties and requirements
  • Quick study with respect to new technology and system applications
  • Esprit du Corps mentality ? continuity across the team for servicing our constituents
58

Trade Support Senior Associate, Securities Resume Examples & Samples

  • Synthetic product verification and settlement
  • ETF, Equity Finance, SBL trade support tasks
  • Booking of margin payments/receipts, Futures, FXs and Bonds
  • Escalation of failed and disputes trades
  • Index Arbitrage bookings and verifications
  • Management of daily reconciliations owned by the group, ensuring all breaks are cleared
  • Management of daily checklist
  • Compiling MIS and reporting to senior management
  • 2 to 3 years prior experience working in support functions
  • A strong understanding of Equities and Derivatives, product lifecycles and settlement markets
  • A proven track record in Operational Risk & Control
  • Strong Technical ability for complex issue resolution and the aptitude to learn system flows
  • Ability to appropriately prioritize competing demands
  • High accuracy rates and a high standard of attention to detail
  • Working well in a team environment
  • Enthusiastic, Proactive and Flexible attitude
  • Excellent PC skills with good understanding of MS Word & Excel
59

Trade Support Resume Examples & Samples

  • Handling the confirmation processes for the MMA business, to ensure
  • Economic & non-economic terms are accurately represented on all outgoing confirmations
  • All regulatory eligible confirmations are dispatched within ESMA/CFTC deadlines and non-regularly eligible trades are dispatched in a timely fashion
  • All executed Macquarie confirmations accurately reflect our Risk Management systems and are processed in line with our compliance, audit and legal policies
  • Liaising with clients and the CFM Sales & Trading division on technical queries
  • Working with Legal to draft pre-trade and bespoke confirmation templates
  • Producing/reviewing Standard Operating Procedures
  • Working with both the local and global Trade Support group to drive identification and implementation of improvements in operational processes, from a control or efficiency perspective
  • Transitioning clients/products from paper confirmation processes to electronic matching platforms
  • Increasing Straight-through Processing (STP) rates for paper confirmations
  • Strong problem solving skills and the aptitude to learn system flows
  • Ability to appropriately prioritise competing demands
  • High accuracy rates and a high standard of attention to detail
  • Working well in a team environment
  • Enthusiastic, Proactive and Flexible attitude
  • Ability to work well under pressure in a high paced environment
  • Strong organisational, communication and prioritisation skills
  • Excellent PC skills with good understanding of MS Word & Excel
  • At least 1 years prior experience at an Investment Bank or similar institution
  • Client Service for internal and external clients in the Financial Services industry
  • Working knowledge of trade bookings in Risk Management systems
60

Cib-credit Trade Support Resume Examples & Samples

  • Investigating trade break queries raised by Operations, analyzing trade booking /recaps, amending trades in risk management & working with Front Office to assess PNL impact
  • Strong product knowledge; thorough understanding of the end to end transaction cycle for Credit derivative products
  • Flexibility to work global hours and willing to travel
61

Cib-credit Trade Support Resume Examples & Samples

  • Drive firm wide & industry projects (Dodd Frank, Clearing etc) by partnering with project leads
  • Manage day-to-day processes across staff members including providing regular feedback, performance reviews and career development opportunities
  • Partnering with global & local partners on projects, efficiency and business change (new products, industry change)
  • Ability to negotiate & influence at appropriate levels
62

TK Ops, Equity Trade Support Resume Examples & Samples

  • Leadership and people management skill
  • Equity market/products knowledge - experiences on working in the middle office team is preferred
  • Good communication skills, able to interact and communicate effectively across divisions
  • Adaptable and flexible to changes and new challenges
  • Ability to multitask and take ownership of complex issues
  • Demonstrated problem solving and business analysis skills
  • Ability to develop solutions that add value to the firm and our clients
  • Self-motivated with positive working attitude
  • English and Japanese - Fluent in written and spoken communication
  • Comprehensive understanding of Microsoft Office (Excel, Word, and PowerPoint)
63

Trade Support Manager Resume Examples & Samples

  • Responsible for providing technical guidance to Trade Service Professionals and other Trade Service groups
  • Support the ongoing development and growth of the Trade Department
  • Provide effective ongoing communication to the team and the business
  • Provide support and training for the team to maximise productivity and effectiveness, setting clear objectives for improvement
  • Assist in the creation of Personal Development Plans for the team and support development-training activities including on the job training, coaching, internal / external training courses
  • Ensure the attendance, punctuality and conduct of all employees is appropriate and professional, ensuring adherence to all codes of practice, policies and procedures within the group
  • Provide support and guidance to the respective team members, monitoring and appraising them accordingly
  • Management of robust MIS process and regional coordination of metrics
  • Develop and review metrics, and monitor mechanisms to ensure accurate and comprehensive reporting
  • Customer trend analysis and preventative action planning
  • Root cause analysis to be performed on all inquiries and investigations
  • Reporting of key metrics and project milestones to management
  • Manage relationships with internal departments including Product, Sales, relationship and other operational areas
  • Work closely with Processing, Product Service-and Account Managers, Sales and Relationship Managers
  • Assist on client visits as required
  • Responsible for core process improvements
  • Escalate customer feedback, processing delays and errors appropriately
  • Enable EMEA Trade to provide our clients with a "best in class" service through streamlined operations delivery, innovative client solutions, clear, concise and timely responses to queries, Trade related issues and timely escalation of any issues to operations managers
  • Maintain pristine controls for all aspects of the function to ensure effective risk management for EMEA Trade
  • Drive Service Delivery in line with agreed Key Performance Indicators thus ensuring customer and relationship expectations are met
  • Set and Monitor SMART performance and development for the TSP team
  • Ensure exceptional levels of customer service are achieved through close monitoring of call / email /overall service quality. Ensure that Platinum / Gold customers receive the appropriate service levels
  • New Client on-boarding and management. Work in partnership with Implementations; Sales; Product and Technical Partners
  • Maintain pristine controls for all aspects of the TSP function to ensure effective risk management for EMEA Trade
  • Handling escalations
  • Participate and take ownership of project work, particularly the Benecare and TSP Projects, driving business improvements through innovation and new initiatives
  • Review of pended files and reports, ensuring smooth and quick processing of transactions, involving TA / Seniors as appropriate
  • Ensure compliance of all environments and adherence to process
  • Identify and develop key talent
  • Continually find ways to enhance Service Standards for clients
  • A team player with excellent leadership and interpersonal skills
  • Strong experience of successfully supervising / coaching employees
  • Well-developed influencing and negotiating skills
  • Proven experience in building effective relationships
  • Track record of delivering innovative customer solutions in a time-critical environment
  • Strong ability to interact with a demanding customer-base
  • Experience of a financial services environment, preferably within Trade Finance / Services
  • Proven ability of influencing teams and senior managers where working in a heavily control-focussed environment
  • Extensive years of experience in a customer service type role preferred but not essential
  • Extensive years of experience in people management
  • Good macro knowledge of trade flows would be desirable
  • Excellent communication skills: able to deal with internal departments at all levels within the organisation
  • Ability to manage functions across geographies
  • Excellent communication skills (written and verbal) at all organisational levels
  • Excellent working knowledge of MS Office
  • Ability to prioritise and organise own workload
  • Excellent customer service skills - ability to empathise with customers
  • Ability to work well within team environment displaying willingness to help colleagues when required
  • Proactive approach to problem solving and ability to use own initiative
  • Strong organisational and follow-up skills and the ability to multi-task effectively in a high volume environment
  • Customer and people orientated
  • Strong problem-solving skills and analytical approach
  • Certified Documentary Credit Specialist preferred but not essential
64

Cib-rates Trade Support Resume Examples & Samples

  • Generate daily / weekly/ monthly reports and circulate to stakeholders of the Global Recipient
  • Investigations
  • Execute the T+1 control reconciliations associated with the process and resolve discrepancies, if any
  • Investigate, reach out to respective Marketers, Marketing Support teams, Risk Management teams and amend Risk Management systems for external business conduct Ids found through the investigation
  • Bachelor’s Degree (at least 70% marks) with 3-4 years of relevant banking experience
  • Further education, Masters. (Commerce/ Accounts preferred)
  • Derivatives Systems knowledge (JPMC or Banking Systems)
  • PC Literate MS Excel/ Word/ Access required
  • Proficiency in written & spoken English
  • Process –
65

Operations & Trade Support Specialist Resume Examples & Samples

  • Knowledge and understanding of industry regulations & standards
  • Ability to manage stress and risk – would make large trades (over $1,000,000)
  • Broad knowledge and understanding of BMO InvestorLine Inc. products and services
  • Exceptional telephone and communication skills
  • Great ability to seek, recognize and act upon opportunities to expand business relationships with clients
  • At least 1 year of experience with BMO InvestorLine or equivalent
  • Successful completion of Canadian Securities Course, Conduct and Practices Handbook, Derivatives Fundamentals & Option Licensing Course is a must
  • University or Community College diploma/degree or equivalent experience
  • Strong math skills – ability to calculate margin requirements
  • Goal and achievement oriented
  • Ability to work in a high stress environment
  • Ability to adapt in a fast-paced, changing environment
  • Must show initiative to take on additional tasks and learn new skillsets
  • Must be resourceful, patient and resilient
  • The incumbent should be self-motivated and have the ability to work independently
  • Language skills as per regional requirements
  • Operates in multiple working relationships/partnerships/environments
  • General computer knowledge (Word, Excel, Windows)
  • Advanced knowledge of required programs (RIS, ADP, Thompson One) and ability to troubleshoot website issues
66

Equity Derivatives Trade Support Specialist Resume Examples & Samples

  • Independent decision making qualities, while being mindful of associated risks and engaging Manager/Senior Manager when necessary
  • Minimum of 3 years experience of Equity Derivatives Operations
  • Participate in UAT testing and system implementations
67

Cog-trade Support, Utilities, Executive Resume Examples & Samples

  • Verification of UK & European Gas & Power, Emissions, Uranium and Fixed Income trades to ensure the risk system data matches all trade documentation
  • Drafting confirmations for the above-mentioned trade types
  • Checking & processing incoming confirmations received from clients
  • Primary contact for clients, brokers and the Sales and Trading division
  • Working with both the local and global Trade Support teams to identify and implement improvements in operational processes from a control or efficiency perspective
  • Increase levels of straight-through-processing (STP) within the confirmation workflow
  • Working with management to produce KPIs/MIS
  • Ability to prioritise competing demands & manage client expectations
  • A high degree of accuracy and meticulous attention to detail
  • Enjoy working in a team environment
  • Enthusiastic, proactive and flexible
  • Ability to work well under pressure in a high paced environment
  • Good organisation and communication skills
  • Excellent PC skills with a good understanding of MS Word & Excel
68

CIB Ops-na Rates Trade Support Resume Examples & Samples

  • Monitor risk portfolios for trading desk, ensuring that risk and P&L data are always accurate
  • Timely trade entry and confirmation for off screen broker trades
  • Ensure all verbally executed sales trades are booked correctly and quickly by sales staff
  • Assist in Treasury Auction process by collecting bids and submitting to the Treasury
  • Perform basic reconciliations between front end risk system and back end settlement systems
  • Field post-execution inquires from settlements and sales support with regard to any discrepancies between what we’ve booked and what the counterparty claims was executed
  • Observe price action in the market to monitor foreign customers’ orders
69

Gcg-trade Support Representative Resume Examples & Samples

  • Answer phones, take messages, and respond to calls when appropriate
  • Give clients market quotes
  • Utilize support information available through Firm training
  • Type correspondence for Financial Advisor, following Firm guidelines
  • Maintain files for Financial Advisors on clients and products
  • Provide follow-up with clients and operations staff
  • Obtain investment and product information for Financial Advisor
  • Perform other duties, as assigned by Management
  • At least 3 years of financial industry experience
  • Minimum diploma qualifications
  • Ability to communicate effectively with co-workers and clients
  • Independent and yet a strong team player
70

Trade Support Manager Resume Examples & Samples

  • Manage, review, monitor and take action on daily fail reports and daily break items for various security types including equity, fixed income, derivative, mutual fund and currency related security types
  • Direct and participate in the facilitation of daily resolution of trade exceptions and breaks. Research root causes, and take appropriate action to communicate and resolve trade exceptions and breaks with internal and external counterparties
  • Responsible for the oversight and maintenance of the firm’s collateral management process
  • Supervise and oversee the daily trade notification process with brokers, custodians and interested third parties
  • Oversee the affirmation of DTC confirms including communication and management of discrepancies with brokers
  • Coordinate priorities, proactively investigate business processes, conduct procedural due diligence and implement improvements in collaboration with other groups, including, but not limited to, Portfolio Management, Client Service, Trading and Operations
  • Institute, evaluate and communicate daily workflow through quantitative metrics and management reporting
  • Continuously analyze key work drivers and identify opportunities to reduce manual exception rate through various methods, including automation and other technologies
  • Create and implement new team processes and procedures based on business requirements
  • Lead, implement and document value-add projects to improve team infrastructure
  • Liaise with other functional groups to determine opportunities to streamline process
  • Develop and maintain positive relationships with the firm’s custodians
  • Attend industry functions for the purpose of evaluation of best practices and serve as a subject matter expert on Trading Support processes
  • Maintain compliance with regulatory and audit related requirements and guidelines
  • Oversee the group’s KACE ticket queue and prioritize ad-hoc internal inquiries
  • Develop and guide staff; conduct regular check-in meetings and reviews
71

Trade Support Manager Resume Examples & Samples

  • Managing a team of 8 people to ensure high quality performance, engagement and retention
  • Ensuring the timely delivery of deliverables in accordance with KPI's and client agreements
  • Building and maintaining a high level of engagement with key internal stakeholders, such as traders, product managers, fund accounting, compliance and investment operations teams
  • Development and maintenance of strong relationships with external counterparties including brokers and custodians
  • Effective involvement and coordination of compliance, audit and risk reviews
72

Cib-credit Trade Support Resume Examples & Samples

  • New regulatory reporting implementation & on going remediation
  • Establish the end to end control processes
  • Review & improve the end to end control process around the Regulatory Reporting agenda in Credit / Rates / Equities
  • Come up with process and system enhancement recommendations
  • Perform cost benefit analysis to propose optimum future process to the business
  • Ensure all controls and checks are completed on End of Day
  • Previous experience in the Financial Services industry with strong understanding of Credit / Rates / Equity Derivatives products
  • Strong understanding of Dodd Frank CFTC Trade Reporting and EMIR Trade Reporting
  • Excellent Business Analysis skills to drill down the complex Regulatory Reporting requirements for multiple jurisdictions
  • Strong communication skills, both written and verbal, including the ability to develop relationships across the various stakeholders including Senior Business executives
  • A self motivated individual who is able to deliver with minimal supervision, whilst also working effectively as part of a team
  • Ability to work in a high pressure environment with time critical deliveries
  • Ability to influence team and provide a vision
  • Effective stake-holder management
  • Graduate with 10+ years of experience, with alteast 5+ years in an investment banking environment, preferably in Middle Office / Trade Support
73

Team Member, Trade Support Team Resume Examples & Samples

  • To process corporate action related client or advisory requests in an effective timely manner
  • Provide quality client service consistent with our firm's standards and business values
  • Action requests received by applying standard procedures and escalating non standard requests
  • Build an expert knowledge of the Team's Processes and Procedures
  • To pass entries to receipt income earned as the result of a distribution into clients accounts
  • Perform Daily Quality Assurance testing, to assist in quality control
  • Handle incoming internal advisor and external (accounting & fund manager) inquiries, resolving these inquiries in an efficient and accurate manner
  • Monthly pricing of non listed securities
  • Ensuring consistent compliance with internal and external regulators, policies and procedures
  • Quick learner and exceptional communication skills
  • Ability to plan, prioritise and organise to meet deadlines
  • Highly motivated and role models the firm's values
  • Work as a team player who can work autonomously and is self managing
  • Is adaptable and resilient
  • Advanced computer literacy skills
  • Strong judgement & problem solving skills
  • Up to 3 years experience in a preferred industry related experience
  • Degree and /or professional industry related course
  • Experience within a Corporate Actions or Income processing environment would be an advantage
74

Investments Product Desk Trade Support Resume Examples & Samples

  • Degree in Finance/Economics preferred
  • Must have knowledge/experience in the securities marketplace primarily in FX/Commodities & Derivatives as well as other asset class: equity, listed option, fixed income, structured products, syndicates, and alternative assets
  • Prior experience with supporting trading desks, trading applications, and trading controls
  • In-depth knowledge of Excel, PowerPoint and Internet technologies
  • Taking ownership, ensuring the accurate and timely escalation and resolution of all inquiries
  • Must be highly disciplined, a self-starter, have the ability to work under high-pressure and execute on assignments independently
  • A team player who demonstrates work ethic and consistently demonstrates a high level of professionalism
  • Attention to detail with superior written, verbal, and excellent problem solving skills
  • Ability to communicate with all levels within the Line of Business
  • Strong capacity for operating in a flexible, dynamic environment where creative and strategic thinking is required
  • Project Management Skills: candidate must have ability to create practical and comprehensive implementation plan and partner with all levels of management and stakeholders to gain consensus
  • FINRA Series 7 & 63 will be required
75

Team Lead Trade Support Resume Examples & Samples

  • Excellent verbal and written communication skills. Computer skills
  • Proficiency in Microsoft Word and Excel required
  • Attention to detail and the ability to work under pressure within set deadlines
  • Works well in a team environment and individually
  • Ability to manage and supervise the team s workflow
  • This role could be captured by BNY Mellon's Training and Competence (TC) scheme which requires the individual to attain competence in the role within 24 months and maintain competence thereafter
  • They must comply with the Company's policies and procedures in place to ensure compliance with such requirements
  • Reasonable experience in financial services required
  • Experience in middle office services preferred
76

Trade Support Manager Resume Examples & Samples

  • The role entails significant interaction with a variety of business partners (Accounting, Finance, FO, Marketers, Credit, Settlements, Confirms, Technology) in order to manage the operations front to back
  • Strong product knowledge on interest rate swaps, cross currency swaps, FRA, and other rates derivative products, trade support experience is a plus
  • Display strong drive and enthusiasm, highly numerate and have strong analytical skillStrong technical skills, such as Excel, VBA, Access
77

Trade Support Resume Examples & Samples

  • Work closely with trade support, operations & technology as functions migrate during the murex - Sophis transition
  • Prompt investigation and resolution of errors/queries from trading, operations or finance
  • Trade entry / amendment in Sophis
  • Analysis and trouble shooting of trades
  • Assist with reconciliations between Sophis & desk clearing/trading systems
  • Assist with resolving settlement issues
  • Assist the front office to manage market data feeds and generation of market data
  • Generation of term sheets and coordination of confirmation signing
78

Associate, Trade Support Resume Examples & Samples

  • Troubleshoot/ resolve issues independently as per Letter of Authority/ authority levels following established guidelines and procedures. Maintain appropriate audit trails
  • Problem-solve escalated issues, including more complex exceptions referred from others
  • Escalate all unresolved processing issues to the appropriate level, as per guidelines, including system, software and hardware failures
  • Prioritize work in accordance with policy and severity of service impact to minimize financial/ customer impacts
  • Act as SME for area of expertise. Provide advice in the completion of processes within established guidelines and procedures
  • Ensure receipt of appropriate approvals/ authorizations in accordance with P&Ps and controls
  • Manage and monitor a complex portfolio of work representing a significant amount of risk
  • Monitor compliance requirements. Ensure adherence to directives, policies & procedures and regulatory/ government requirements
  • 2 to 3 years of related experience
  • Good knowledge of standard desktop applications used by the business unit
  • Good 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
  • Good understanding of the business unit’s risk and regulatory requirements
  • Good knowledge of departmental systems and applications; previous experience with Fidessa, Imagine and /or ADP would be desirable
  • Knowledge of back-office operations including trade settlements is an asset
  • Good understanding of internal business partners’ business, services and organization
  • Good knowledge of departmental systems and applications
  • Basic accounting and financial reporting background is an asset
  • Strong organizational skills and attention to details
  • Good decision-making skills
  • Strong teamwork skills, with the ability to work independently as well as collaboratively
79

FX Trade Support Group Resume Examples & Samples

  • Regulatory Functions
  • Client Services
  • Trade Support & Controls
  • FX Cash and Options
  • Local FX markets
  • Develop and maintain Firm-wide stakeholder relationships. These relationships are fundamental in order to be able to perform data analysis and interpret in real time
  • People development we place significant emphasis on continuity planning, the success of which is dependent upon actively developing our people
  • Supervision of daily functions to ensure all issues are resolved and escalated in a timely manner
  • Risk ownership a comprehensive suite of risk management tools are used to identify and actively manage risk across our business. The successful candidate will be required to demonstrate commitment to our risk management agenda
  • Proven senior operations management experience
  • A methodical approach to analysing/interpreting data and problem solving
  • An intrinsic ability to identify priorities and deliver outputs on time to a consistently high standard
  • A proven ability to manage people and motivate teams, having regard to both local and remote management skills
  • The ability to prepare written reports to a high professional standard alongside effective verbal communication skills. The ability to communicate clearly and decisively to colleagues and senior stakeholders will be a key candidate attribute
  • An ability to think strategically, to challenge the status quo and to develop solutions to support the business towards delivering its agenda
  • Experience working with Regulators, for example in the interpretation and analysis of information requests, data mining, report preparation and presentations
  • A desire to develop their career at Morgan Stanley by demonstrating willingness over time, to develop their role and acquire new responsibilities
  • Skills Proficiency: Senior/Advanced
80

Trade Support Manager Resume Examples & Samples

  • Day to day operational management responsibilities for the Trade Support Team in Manila
  • Providing timely reporting status on the team's deliverables (KPIs)
  • Development and training of local staff in Manila office
  • Serve as a local operational escalation point to Trade Support stakeholder management
  • Lead the integration of processes into the Trade Support Manila team, ensuring that each migration occurs in a controlled manner and that the team is adequately resourced
  • Provide supervisory oversight of the following activities
  • Foreign Exchange and Commodities transactions are verified to deal source documentation in a timely manner
  • Verification, pre-matching and settlement of cash and fixed income/securities
  • Escalation of trade discrepancies to the Front Office for resolution as soon as they are identified with follow up until resolved
  • Follow up of trade breaks identified through reconciliation processes
  • Monitor matching state of deals confirmed via SWIFTNet, CLS, eConfirm and other matching platforms as required
  • Monitor unconfirmed trades reports and identify trades requiring chasing or escalation in accordance with procedures
  • Provide oversight of internal batch processes that update/enrich confirmation state
  • A minimum of 5 years experience in a managing high performing operational teams in the Banking industry
  • Knowledge in FX, Commodities and Fixed Income products
  • Experience in Trade Support including documentations and/or settlements
  • High level of accuracy & attention to detail
  • Ability to prioritize and problem solve, and consistently deliver a high level of service to clients under tight time frames
  • Experience in managing tasks and operations and ensuring these adhere to Risk and Governance principles and frameworks
  • Confidence in the learning of new functions and processes and be able to question current procedures with a focus on continuous process improvement and operational excellence
  • An understanding the importance of controls, escalation & adherence to procedures
  • An ability to identify and effectively manage risks
  • Proven ability to work across all levels of stakeholders and handle competing priorities
  • Successful track record in developing others through guidance, feedback and mentoring
81

Manager, Trade Support Resume Examples & Samples

  • Supervises the booking of all Fixed Income Security transactions are properly recorded in the back office systems
  • Ensure FOBO reconciliations are completed and reconciled on a daily basis
  • Supervise the client communications between Client Service and external customers for allocations, fail confirmations and trade dispute resolution
  • Manage the relationship and work load between Client Service and Front Office
  • Identify operational risk and inefficiencies, develop and implement efficient Ops processes and controls, and work-arounds
  • Direct staff recruitment and cross training
  • Responsible for creating and commenting on MI that reflects the activities supported
  • Designing workflows for new products, IT fixes and enhancements
  • Managing resources and cross-training
  • Negotiate workflow with the front office
  • Minimum 5-10 years experience in financial markets and operations; strong management experience
  • Good understanding of operational risk and controls
  • Adaptable, proactive, able to lead change
  • Ability to prioritize and work within time constraints and deadlines, ability to communicate clearly and concisely
82

Rates Derivatives Trade Support Resume Examples & Samples

  • Booking trades accurately and in a timely manner
  • Communicating across MO colleagues, internal stakeholders across business lines, and control teams
  • Providing trade support across all areas of Rates business and clients
  • Maintain Middle Office controls in accurate manner across fast-paced environment
  • Escalate issues appropriately and proactively
  • Participate in necessary project involvements
  • Experience within or strong understanding of financial services
  • Good communication skills to face off with members of business
  • Proactive and ambitious mindset to learn new skills
  • Strong attention to details
  • Able to work well in a team and independently
  • Fast learner to pick up new systems and concepts
83

Cib-trade Support Resume Examples & Samples

  • Investigating trade break queries raised by Operations, analyzing trade booking /recaps, amending trades in risk management & working with Front Office to assess PNL impact
  • Performing various control functions to ensure trade values in risk management are in sync with Risk, PNL & downstream applications
  • Drive firm wide & industry projects (Dodd Frank, Clearing etc) by partnering with project leads
  • Review key metrics to measure controls, workflow capacity, system & team efficiency
  • Generate efficiencies by reviewing existing processes, improving STP & increasing capacity
  • Manage day-to-day processes across staff members including providing regular feedback, performance reviews and career development opportunities
  • 4-5 years in a Derivative Operations (Middle Office / Back Office) role
  • Strong product knowledge; thorough understanding of the end to end transaction cycle for Rates derivative products
  • Strong communications skills both verbal and written
  • Build strong working relationships across global cross functional teams, including Front Office
  • Partnering with global & local partners on projects, efficiency and business change (new products, industry change)
  • Ability to drive results through a "hands-on" approach
  • Ability to manage a team of high achievers with diverse experience and skill sets. Successful in team environments with matrix reporting structures
  • Skilled in identifying talent, recruiting, coaching, mentoring, and developing team members
  • Can operate effectively in a dynamic environment with tight deadlines
  • Control mindset to identify process control gaps, prioritize & mitigate operational risk
  • Analytical mindset and high attention to detail
  • Ability to multi-task effectively to met tight dead lines
  • Ability to negotiate & influence at appropriate levels
  • Ability to manage internal clients & stake holders
  • Problem solving skills and ensure quick resolution by coordinating with relevant groups
  • Flexibility to work global hours and willing to travel
84

Trade Support Middle Office Associate Resume Examples & Samples

  • Provide operational support for Corporate, Public Finance, and Securitized Product Group Syndicates primarily in the deal process from announcement to expense closeout
  • Product coverage includes Municipal, Corporate and Asset-Backed securities
  • Understand Fees & Expenses involved with a Syndicate new issue, including the accounting and settlement procedures with co-managers
  • Understand system flow and front to back operations of trade processing including settlements, PnL, front office and other middle office groups
  • Understand trade reporting rules to regulatory bodies including the MSRB and FINRA
  • Metrics reporting for upper management and control teams within the Middle Office
  • Ensures all issues are dealt with effectively and resolved accordingly in a timely manner
  • Drives Middle Office change management in coordination with Technology to increase automation and controls
  • PC Literate and proficient in Microsoft Excel, Word and Access
  • Able to identify and resolve issues with minimum supervision
  • Self motivated with good interpersonal skills
  • Extremely detail oriented and controls focused
  • Strong time management: organization skills and prioritization of tasks, setting own deadlines and working to defined targets
85

Operations Trade Support Resume Examples & Samples

  • Daily cash and positions reconciliations
  • Daily management of trade settlement and issue resolution
  • Resolution of trade breaks and day to day dealings with the brokers
  • Trade booking and trade affirmation
  • Active monitoring of pricing and profit and loss
  • Reconciliation of realised swap pnl and related cash flows
  • Monitoring of corporate actions
  • The incumbent may be required to cover ad hoc project work as required by the business
86

Integrated Middle Office Specialist SBL Trade Support Resume Examples & Samples

  • Interface with internal and external clients and vendors to provide operational and administrative support as needed
  • Supervise Offshore teams to ensure their activities achieve performance targets, service level agreements and act as a point of escalation
  • Drive change and enhance quality and performance by promoting a customer focused and continuous improvement culture
  • Partner with the Front Office and Business management to support Change and new business processes
  • Develop the knowledge and skills of existing and new team members
87

CIB Operations Asia Repo Trade Support Resume Examples & Samples

  • Close coordination with other support groups, such as front office and sales support and settlement groups to resolve potential settlement issues
  • Ensure all trading reports are ready London AM (Fails, shorts reports etc)
  • Excellent communication – Much of the role requires dialogue with Trading desks, operations and 3rd parties on a local and regional level
  • Ability to work well under pressure is essential as there are significant operational losses associated with non completion of daily processes
  • 2 years+ Fixed Income experience ideally in an investment bank environment
  • Intermediate excel – Comfortable with basic macros and pivot tables
88

Trade Support Resume Examples & Samples

  • Structured & Flow OTC trade capture and validation in Front Office system
  • Daily control execution, reporting and break resolution
  • Query Resolution
  • Lifecycle event monitoring and action
  • Lead role in current drive to automate trading flows and allocations
  • Involvement in other projects and ad-hoc task
  • EA License No: 11C5502
89

Senior Associate, Mortgage Trade Support Resume Examples & Samples

  • Book/Amend/Verify Mortgage trades in TOMS, manage block allocation process
  • Assist FO in T+0 P/L reconciliation and T+1 with P/L group
  • Assist FO in T+0 Risk reconciliation & issue resolution
  • Intraday risk checks (Eg. MarketAxess, TradeWeb, X-trader, eSpeed, Bloomberg FIT)
  • Broker & Client Trade affirmation using Omgeo platforms e.g. CTM
  • Client On-boarding assistance (TOMS, other FO Trading Systems) & new account setup
  • Blotter checks (EOD)
  • Booking internal trades when necessary and back-to-backs (TOMS)
  • Monitor TRACE reporting, to ensure adherence to regulatory requirements
  • Help resolve Settlement issues and follow up with clients & Operations
  • System enhancements / Ad hoc FO reporting requests
  • Coordinate with new products (NPAPs, ISAPs, IAPs)
  • Coordinate EOD
  • Work with other regional front office desk and MO teams to improve processes, to increase STP and scalability
  • Senior management reporting around trade capture issues
  • Write procedures to document end to end Mortgage Trade Support process
  • Establish and manage client relationships in respect to trade related inquiries
  • Participate in industry initiatives
  • 5 to 10 years of business related experience in the financial services industry
  • Knowledge of Financial Markets and Regulatory oversight bodies
  • Highly developed written and oral communication skills
  • Advanced problem solving skills, analytical thinking and sound judgement
  • Strong leadership and organizational skills, detail oriented, highly motivated and adaptable to a changing business environment
  • Strong understanding of internal business partner’s business, services and organization
90

Senior Analyst, Trade Support Resume Examples & Samples

  • Completion of University/CFA designation with 2-4 years of experience in the financial services industry related to interest rate derivatives
  • Demonstrated interest & knowledge of Capital Markets, products and processes
  • Knowledge of Calypso, MarkitWire, Bloomberg, TraderEh, Mortgage Hub a plus
  • Understanding of and experience with CAD Mortgage Products
  • Understanding of and experience with Interest Rate Derivative Products
  • Strong organizational skills, detailed oriented, highly motivated and adaptable
  • Ability to multi-task and prioritize work load
  • Ability to hadle pressure
91

Cib-credit Trade Support Resume Examples & Samples

  • Manage end-to-end trade settlement process in investment management
  • Perform daily pre-matching of Equity trades for Cash and EDG before settlement date
  • Overseeing the data gathering process, analyze the data and report MIS utilizing the various data source
  • Daily reporting of the fail trades to the management and Traders
  • Provide detailed business metrics to management on a daily basis
  • Action business as usual (BAU) tasks and execute root cause analyses on new issues
  • Take ownership of work, problems, clarify issues / objections, and ensure data integrity, accuracy and completeness
  • Build and maintain strong working relationships with all EDG teams and be an expert on Securities Operations
  • Handle adhoc projects for the team
  • 3-5 years of experience in an investment banking environment, preferably in operations management
  • Attentive to details and strong interpersonal skills
  • Sound knowledge in Equity products
  • Basic project management skills
  • Can operate effectively in a dynamic environment with tight deadlines, and can prioritize one’s own work to achieve them
  • Degree holder in Finance / Economics or other related disciplines
  • Fluent English language skills (both verbal and written)
92

Trade Support Resume Examples & Samples

  • Monitoring of all Fixed Income trades
  • Responsible for LCH
  • To be responsible for maintaining and contributing to the improvement of the front to back deal processing
  • To ensure that all daily tasks as outlined in the Deal Processing Team London procedures document are completed efficiently and on a timely basis and that procedures are comprehensive and up to date in Orus
  • To ensure Trax , LCH and other main tasks have been checked and checklist/orus has been signed off end of day
  • Proficient in Calypso, and improving process and following up on Jiras,
  • Responsible for Reporting to ICMA + Gilts {GEMM} reporting to LSE
  • To be pro-active and answer and resolve all queries arising from clients, traders, salespersons, other middle office departments , settlements, client service Globally and dealt with in a timely manner
  • Dealing with high volume mails /bloombergs - queries from all global locations
  • To investigate and clear inter-system reconciliation breaks
  • Responsible for London-Paris trades and positions/settlement queries
  • Responsible for Italian trades and positions/settlement queries
  • Repo/Eonia rate process, and Eurex collateral management
  • To contribute towards ensuring all bond redemption trades /corporate action trades are booked
  • To be flexible in cross training all areas of the department
  • Provide ad-hoc management reporting when requested
  • Keeping full KPI are up to date and delivering management reports
93

FX Trade Support Resume Examples & Samples

  • Trade verification to ensure accurate trade execution for FX and FX option through the whole life cycle
  • Perform reconciliation of trades between internal-systems confirm accuracy of firm's books and records
  • Coordinate well and maintain a good relationship with FX desk and sales team as well as other department where necessary regionally as well as globally, to ensure high quality service
  • Work and become involved in projects and new initiatives related to the FX function to improve the firm performance as a whole
  • Communicate with counterparts within and across the region to enhance firm processes and minimize operational risks
  • Manage junior staff within the team. Performance management and reviews
  • Experience in Financial Institution, preferably dealing with FX products
  • Willingness to learn the system flow ,structured transaction, as well as FX derivatives where necessary
  • Self motivated with potential to manage team with little supervision
  • Strong attention to detail
  • Good team player
  • Able to adapt and deal flexibly with any changes
94

Cib-fx Trade Support Resume Examples & Samples

  • Investigating trade break queries raised by Operations, analyzing trade booking /recaps, amending trades in risk management & working with Front Office to assess PNL impact
  • Performing various control functions to ensure trade values in risk management are in sync with Risk, PNL & downstream applications
  • Drive firm wide & industry projects (Dodd Frank, Clearing etc) by partnering with project leads
  • Review key metrics to measure controls, workflow capacity, system & team efficiency
  • Generate efficiencies by reviewing existing processes, improving STP & increasing capacity
  • Manage day-to-day processes across staff members including providing regular feedback, performance reviews and career development opportunities
  • 7-8 years in a Derivative Operations (Middle Office / Back Office) role
  • Strong product knowledge; thorough understanding of the end to end transaction cycle for Rates derivative products
  • Strong communications skills both verbal and written
  • Build strong working relationships across global cross functional teams, including Front Office
  • Partnering with global & local partners on projects, efficiency and business change (new products, industry change)
  • Ability to drive results through a "hands-on" approach
  • Ability to manage a team of high achievers with diverse experience and skill sets. Successful in team environments with matrix reporting structures
  • Skilled in identifying talent, recruiting, coaching, mentoring, and developing team members
  • Can operate effectively in a dynamic environment with tight deadlines
  • Control mindset to identify process control gaps, prioritize & mitigate operational risk
  • Analytical mindset and high attention to detail
  • Ability to multi-task effectively to met tight dead lines
  • Ability to negotiate & influence at appropriate levels
  • Ability to manage internal clients & stake holders
  • Problem solving skills and ensure quick resolution by coordinating with relevant groups
  • Flexibility to work global hours and willing to travel
95

CIB Operations Asia Structured Credit Trade Support Resume Examples & Samples

  • Ensure accurate capture of structured credit transactions and trade events into risk management and processing systems
  • Promote a control culture to ensure the team accurately captures all transactions into the risk management and processing systems
  • Understand key risks and associated control points on the transaction lifecycle
  • Build and maintain relationships with Front Office, Risk Management and other Middle Offices
  • Understanding and experience in Credit Financing and Structured Credit products
  • Management of complex deals with multiple stake holders
  • Understanding and experience of Credit Derivatives, Bond and Repo
  • Time management – There are numerous deadlines and processes across the day and the candidate must be able to deal with issues and escalations in a fast paced environment
  • 5 years+ Structured Credit/ Financing support Experience ideally in an investment bank environment
96

GEM Trade Support Middle Office Associate Resume Examples & Samples

  • Provide Middle office /operational support for the Global Financing Desk (GEM); Product coverage focused on emerging markets
  • Trade investigations for bonds booked across Voice and E Traded systems
  • Fails management – Identify all fails reasons and liaise with settlement teams and clients to ensure they are resolved in a timely fashion. Escalate to Front Office teams in accordance with their preferences. Distribute daily fail reports to clients as requested
  • Close coordination with other support groups, such as front office and sales support and settlement groups to resolve potential settlement issues
  • Ensure continuity of daily trade processing to allow for greater STP and exception queue monitoring such as client and issue reference data and cash accruals
  • Ensuring accurate trade capture, pnl and risk representation on T. Ongoing trade lifecycle/maintenance
  • Constant review of end to end process to identify controls gaps and implement remediation plans
  • Engaging partners in technology & execute teams to deliver key tactical and strategic initiatives
  • BA/BS degree required
  • Fixed Income product knowledge preferred
  • Excellent communication – Much of the role requires dialogue with Trading desks, operations and 3rd parties on a local and regional level
  • Self starting team player who is creative and reliable
  • Extremely detail oriented and Controls focused
  • Adaptability to learn new tasks & demonstrate willingness to understand the detail of a process
  • The daily tasks will involve using several applications as well as the standard desktop so must have an aptitude to learn multiple systems
  • Time Management: Organization and prioritization of tasks, setting own deadlines and working to defined targets. Multi-tasking with rigid deadlines
97

CIB Ops-na Linear Rates Trade Support Manager Resume Examples & Samples

  • The ability to communicate complex matters in a clear and concise manner is essential whether dealing with the FO or when dealing with other support groups
  • Experience in P&L and Risk
  • Strong communication skills and attention to details
  • Great team player to work in the pressurized environment
  • Adaptable to changing environment, ability to multi task and prioritize
  • Ability to work in a pressurized environment, able to meet tight deadlines on regular basis
98

Trade Support Administration Resume Examples & Samples

  • Assisting with the Order reconciliation and Trade resolution processes
  • Assisting of the CREST checking/Matching report of trades and transfers
  • Assisting The Department with the settlement process– everything unsettled due for settlement
  • Reviewing of open purchases and sales
  • Safe Custody Management
  • House Account resolution (Corporate Actions and Trade Support errors) – balance, breakdown and resolution
  • Assisting with Deal corrections
  • Assisting with the process of large deals process
  • Non-STP execution monitoring – Open orders, limits,
  • Assisting with Trade amendments and corrections
  • Counterparty risk monitoring
  • Price/Stock file(attribute) differences (configurable)
  • Best execution Market abuse Monitoring
  • Transaction reporting reconciliation to executed trades
  • Assisting with Stamp/SDRT/ FFT monitoring/processing where required
  • Assisting with FX Monitoring
  • Assisting with Settlement Instructions ref Priority setting
  • Helping with some possible Testing
  • Assisting with MI production
  • Understanding of Equity Trade Support
  • Willing to study for the Industry Qualifications – IAQ or IMC or certificate proof if already passed
  • Knowledge of CREST and the CREST GUI would be desirable
  • Understanding of Settlement Knowledge of the following CREST eligible assets Equity/Fixed Income/ETF/Investment Trusts/CDI’s/Gilts
  • Computer literate with strong Excel, Word and Outlook skills
  • Self-starter with a dynamic “can do” attitude
  • Strong attention to detail and be able to work effectively during pressure periods prioritising multiple tasks
  • Strong and effective communicator at all levels
  • Fast learner including systems and gaining knowledge
  • Good team worker effectively and showing a flexible work approach
  • Initiating and adapting to change: Process improvements
  • Work experience within an Investment Management\Stockbrokers environment is desirable
99

Jpms Managed Account Services Trade Support Resume Examples & Samples

  • Participate as a part of an operations team that processes account reconciliation, maintenance, and mutual fund trade facilitation for the various advisory programs
  • Interact with Investment Managers to facilitate requests for account contributions and withdrawals, tax harvesting, and portfolio modifications received from the front office
  • Perform daily custodial account reconciliation and investigate and resolve all discrepancies
  • Investigate trade errors in advisory accounts. Identify root causes and manage resolution
  • Provide support for trade facilitation for the mutual fund wrap program
  • Work with internal and external parties to resolve all types of inquiries related to the advisory program accounts
  • Generate ad hoc reports by gathering client data from internal systems
  • Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint) and ability to learn proprietary software
  • Excellent interpersonal skills, both written and oral
  • Ability to pay strong attention to detail
  • Ability to multi-task and manage priorities effectively
  • Series 99 (Or must obtain within 120 days of hire)
100

Rates Trade Support & Fixed Income Senior Associate Resume Examples & Samples

  • 8+ years of experience in the financial services industry related to Interest Rate Derivatives and Fixed Income
  • Knowledge of Calypso and Bloomberg TOMS a plus
  • Excel skills a must - macros, pivots
  • Basic programming skills an asset
  • Ability to handle pressure
101

IT Trade Support Representative Resume Examples & Samples

  • Assist with the release and deployment of applications, including but not limited to connectivity troubleshooting and testing
  • Log troubleshooting calls, documentation of issues
  • Learn and support complex front end trading applications
  • Knowledge of financial industry , exchange or broker-dealer experience preferred
  • Interest in learning the Equities, Options & Futures Agency Model
  • Comfortable working within technology, proficient in windows workstations troubleshooting
  • FIX and/or Unix knowledge a plus but not required
  • Confident and professional interaction
102

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

  • Provide operational support for the LATAM desk
  • Product coverage includes LATAM Corporate and Sovereign bonds, US Treasuries, FX and Equity transactions
  • Produce ad-hoc scenario based reporting, as requested by Management
103

Team Lead-am IMI Trade Support Resume Examples & Samples

  • MBA/Post Graduation in relevant field
  • Strong Academics background with approx 3-4 years of relevant work experience
  • A thorough understanding of performance measurement techniques
104

Exotic Trade Support Resume Examples & Samples

  • To perform core trade support functions such as booking, validating and amending trades on day to day basis
  • In charge of any trade lifecycle events such as computing and notifying trade events; monitoring & validating barriers crossing & fixing mismatches
  • Adjusting booking in P&L, risk trade repository systems for corporate action events
  • Be the contact person to coordinate information from front to back office to ensure smooth processing and settlement is properly performed
  • Participating in global projects related to trade support processes improvements as well as systems migrations
  • Bachelor or Master Degree with a major in Economics, Finance or Mathematics
  • Minimum 3 years of experience in a trade support function
  • Sounded knowledge of front to back office stream and trade life cycle
  • Knowledge of Exotic option is preferred; Candidate with equity derivatives products knowledge will also be considered
105

Senior Manager International Trade Support Resume Examples & Samples

  • Your strong leadership presence
  • Your ability to delegate but willingness to get your hands dirty when needed
  • Your ability to effectively operate in a 24-hour environment
  • Your thoughtful approach to hiring and team development
  • Your ability to manage trading risks and the escalation process effectively and timely
  • Your in-depth knowledge of brokerage and foreign exchange products
  • Your awareness of project methodologies
  • Your ability to collaborate and gain consensus across multiple business partners
  • Skills (effective communication, able to work with teams, presentation skills) required for the role. These are most likely skills the candidate will come with but also skills that can be learned
106

FX / Emerging Market Trade Support Resume Examples & Samples

  • Support Foreign Exchange and Emerging Markets business. Products that traders and sales people execute include Spot, Forward, Futures, Options and Interest rate products
  • Working with trading and sales to ensure market risk and trade entry is accurate. Coordinate with global colleagues that all aspects of trade processing is completed
  • Affirmation of T0 trades using either sales/trading recap or broker confirmation to ensure proper booking
  • Ownership of life-cycle management of trades including expiries, rests and final settlement
  • Calculate and distribute daily P&L to the Trading Desk, Product Control and Senior Management
  • Motivated, diligent learner that is able to work in a fast paced 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
107

Team Lead, Securities Lending, Trade Support Resume Examples & Samples

  • Settlement of International Fixed Income lending activity
  • Reallocation and recall of loans related to client sales or account restructures for both Equity and Fixed Income assets
  • Management of failing client sales due to lent positions for both Equity and Fixed Income assets
  • Through effective supervision of staff and liaison with the relevant parties, ensure high settlement rates are maintained for loan recalls and client sales
  • Focus on day-to-day operations, monitor work flow distribution, authorise the teams work and ensure team resources are effectively utilised
  • Ensure the team’s daily KPIs are met, escalating potential issues where appropriate
  • Develop working relationships with borrowers and our sub custodian network and manage those relationships to ensure queries are resolved in a timely manner
  • Manage end-of-day account balancing
  • Manage cash, stock, suspense and other exceptions related to Trade Support activity ensuring the team work diligently to resolve such exceptions
  • Ensure appropriate management reporting is produced in a timely manner including reporting on team KPIs
  • Identify potential risk situations, ensuring appropriate management and escalation
  • Recognise process improvement opportunities and make viable suggestions towards achieving efficiencies
  • Assist in establishing goals and objectives for staff. Provide day-to-day feedback on staff performance, and manage the appraisal process
  • Demonstrate leadership in developing a positive team spirit and environment. Hold regular team meetings
  • Aid staff development by providing on-the-job training and coaching
  • Take an active role in the recruitment process for new staff
  • Develop a good working knowledge of the settlement practices for all Lending markets approved by Northern’s lending program
  • Supervisory experience is not essential but preferred
  • Several years experience within a banking / custody operations environment
  • Some experience in a Securities Finance / Securities Lending processing environment is beneficial
  • Good PC skills, in particular, Excel
108

Trading Operations Derivatives Trade Support Specialist Resume Examples & Samples

  • As the lead of team of 3 you will be working closely with the Trading and Sales to provide the first level of control
  • You will be responsible in ensuring that the trade bookings are correctly reflected in the trading risk 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, liaising with Trading, Sales, Brokers or the Counterparty directly
  • 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, manage critical projects or process improvements with IT and Projects Groups
  • You will be able to analyze and break down ambiguous or complex issues into concrete deliverables and takes responsibility for ensuring deliverables are meet
  • Will effectively manages the control environment by balancing risk with commercial opportunities
  • Develops and provides management and supervisory oversight of the processes conducted by the team
  • Provide training and direction to other specialists
  • Strong risk management and control mindset
  • Individual needs to be performance-driven, proactive, with proven ability to take on challenges, set and execute agenda. Candidate should be a dynamic self-starter with the ability to work either on their own initiative as well as be a solid team player with strong problem solving skills
  • Ability to multi-task, prioritize and be flexible to changing priorities and demonstrate good organizational skills
  • Good interpersonal skills to build cross-divisional relationships; gain support and respect from key stakeholders (Business Unit, Operations, FCG , Legal & Compliance)
  • Good project and modelling skills to represent information in graphical forms that enhance decision-making and communications
  • Ability to deliver on plans, complete next steps and resolve issues in a timely manner
109

Cog-energy Operations Trade Support Resume Examples & Samples

  • Verification of UK & European physical Gas & Power, Emissions and Uranium trades to ensure the risk system data matches all trade documentation
  • Draft confirmations for the above-mentioned trade types
  • Check & process queries relating to incoming confirmations received from clients
  • Working with local and global MOD colleagues to identify and implement improvements in operational processes from a control or efficiency perspective
  • Working with management to produce KPIs/MIS
110

MBS Trade Support Resume Examples & Samples

  • Support MBS trading desk manage the full life-cycle of trades encompassing agency MBS/CMO/CMBS and interest rate products
  • Person will need to partner closely with Sales, Trading, Product Control, Settlements and other desks to resolve trade discrepancies in a timely fashion
  • Calculate and provide daily P&L and risk to business partners as well as senior management
  • Use of BBG lookups for factor and static data discrepancies a plus
  • Willingness to go the extra mile
  • Understanding of FINRA TRACE reporting and TMPG marginging for MBS products as it relates to securitized products a plus
  • Analyze and resolve DK�s and fails to minimize risk to firm
  • Good attention to detail
  • BA required
  • Maximum 5 years of experience
  • Series 7 and 63 or willingness to obtain
  • Strong Excel Skills
  • Light VBA a plus
111

Trade Support Manager Resume Examples & Samples

  • 3+ years of professional experience in Finance with leadership/supervisory responsibilities
  • Bachelor's degree in Accounting, Finance, Economics or a business related degree
  • Ability to work overtime
  • Strong analytical, critical and economic thinking to problem solve
  • Superior communication and collaboration skills in a team-oriented, open floor environment
  • Highly motivated and focused to lead a team
  • Solid understanding of commodity markets
  • Committed to financial controls and compliance
  • Advanced technical skills and proficient with Microsoft Office
  • 5+ years of professional experience in natural gas/power markets
  • OpenLink Endur experience
  • Advanced degree with focus on Finance/Trading
112

Equity Trade Support Resume Examples & Samples

  • Ability to meet strict deadlines in a fast-paced environment
  • Ability to think laterally, and recognise opportunities for system/process improvement
  • Good communication/relationship building
  • Confident in speaking to various departments / the front office
  • Familiarity with the front-to-back lifecycle of derivative products
  • Good understanding of derivatives and cash equity products, ideally equity derivative OTC and listed options
113

Analyst, Trade Support Resume Examples & Samples

  • Completion of the day to day responsibilities of the team as outlined in the ‘Role’ above
  • Daily metrics reporting and monitoring the resolution of reconciliation exceptions
  • Work with client facing teams internally to ensure high levels of client service delivery is achieved
  • Liaising with internal and external parties to ensure the timely and accurate settlement of transactions
  • Identify and implement continuous improvement opportunities to enhance the efficiency of the team
  • Working with partners to ensure regulatory requirements and understood and fulfilled
  • Financial services experience is desirable but not required
  • The ideal candidate will have the following competencies, team player, self-motivated, able to use their initiative, good organisational skills, positive attitude and enthusiasm
  • Must be able to work with a wide ranging group of people with different skill sets and abilities
  • Candidate will be expected to learn operational processes and to identify how these can be enhanced and improved
  • Ability to work under pressure and to meet deadlines
114

Trade Support, Market Operations Division Resume Examples & Samples

  • Verification of Agricultural and Commodity Index deals to ensure the risk system accurately reflects what the traders and marketers have executed with counterparties
  • Liaising with Traders and Marketers on mismatches and discrepancies
  • Drafting Agricultural and Commodity Index Confirmations and ensuring all economic terms are accurately represented
  • Completing internal reconciliation processes and investigating and reporting reconciliation breaks to management
  • Assisting with other ad hoc Operation tasks
  • Have 3-5 years experience in the commodities industry
  • Experience of drafting ISDA confirmations for Vanilla and Exotic FICC products
  • Strong Technical ability to learn the representation of complex OTC trades
  • Strong knowledge of the current regulatory environment
  • Experience working in a busy team environment
  • Strong problem solving skills with the ability to prioritize tasks while maintaining a high level of attention to detail and a low tolerance for error
  • Ability to initiate and incorporate updated procedures and processes
  • Understand the importance of controls & procedures within the Operations Division
  • Knowledge of how Operations interact with other areas of the Bank
  • Be highly motivated, professional, and possess a strong attention to detail
  • Excellent communication skills – written, verbal and direct contact
115

Delta One Trade Support Resume Examples & Samples

  • To perform day-to-day core trade support functions to Trading including trade validation, late trade booking, trade amendment and cancellation
  • To handle post trade allocation for SPB Clients
  • To handle any post-trade events such as CA adjustment, secondary event booking and notification
  • To be the middleman to co-ordinate all information from F2B to ensure smooth processing and settlement is properly performed
  • To perform as an independent control team to strengthen all the control within Global Market Operations
  • The team works closely with other Trade Support teams and Trading to ensure timely communication for any breaks identified
  • Main drivers are client service quality, independent control, operational risk safety and cost efficiency
  • Strong Preference to have Bachelor or Master Degree on Economics, Mathematics or Finance
  • Strong Equity derivatives products knowledge including the F2B workflows and the product event management
  • Strong Preference to have MS and programming skills (VBA, Excel, Access) would be a significant plus
  • Analytical mindset: Aptitude to understand the F2B workflows and handle exceptional issues with logical mindsets to communicate with Front Office
  • Organized & good resistance to stress: This is a much faced paced dynamic environment; therefore excellent time management and good positive resistance to stress are compulsory
  • Attention to detail: Ability to ring the bell for any abnormal trade pattern and escalate in timely manner
  • Innovation and initiatives (Think “outside the box”): Demonstrate willingness to constantly improve the status quo. Understand well the processes in place and evaluate if needed, alternative options to do things better with a cost - benefits / ROI approach
  • Self discipline & autonomy: Have a constant “delivery on time” mindset, both on the daily production and on the projects handled. Ability to work on its own with little supervision
  • Adaptability & Change Management: Ability to easily adapt to new situations (new booking systems, new products, new activities to manage…) as this is a constant changing environment
  • Strong Client Focus: Capacity to work with various clients. Need to be sensitive about the rationale of their requests and be proactive when replying to them. Work as partnership while consistently keeping an independent mindset
  • Escalation & Reporting process: Internal rules of reporting and escalation to Ops and Front office need to be known & applied. The team member also needs to report any sensitive information/issues and escalate immediately to their management
116

Bonds Trade Support Resume Examples & Samples

  • Responsible for providing direct assistance and support to Asia-based marketers and traders in Asia Pacific ex Japan in respect of bond and repo products
  • Following up of any trade or settlement details discrepancies for trades done in Asia Pacific ex Japan
  • Reconciling trades between front office pre-confirmations to external clients and deal capture systems monitoring/undertaking trade exceptions processing in global BO (Calypso) system
  • Ensuring prompt and accurate set up and update of client SSIs
  • Assisting various back/middle offices with general queries
  • Assisting clients' queries
  • Responsible for collection, maintenance and update of clients' SSIs and confirmation details for Asia-based marketers and traders under global booking
  • Direct contribution to BNPP operational permanent control framework
  • Update applicable task procedures as and when there are changes
  • Support the Asia Pacific Capital Market ITO Management on the different objectives and projects assigned
  • Propose ideas to improve process and reduce manual tasks as much as possible
  • Responsible to prepare management report and KPI
  • Ensuring appropriate escalation to management and/or Permanent Control (or Compliance as appropriate) as soon as an issue identified
  • Operations are an integral part of the control framework including for AML/FS topics. In that respect, in performing your role you are expected to ensure adherence to AML/FS-related Group Policies and execution of associated operational controls, and to promptly escalate any resulting hit for analysis and decision
  • University graduate in Finance and Economics or related discipline
  • Relevant experience on Bonds & Repo trade processing preferred
117

Analyst, Exotics Trading Trade Support Resume Examples & Samples

  • Equity derivatives product knowledge (vanilla and exotic, payoff understanding, life cycle events)
  • Strong and sharp analytical and problem solving skills
  • Accuracy, swiftness, ability to work under pressure in trading environment
  • Excellent communication skills; required to work with various internal partners (Traders, Engineers, Sales, Other Middle Offices, Product Control teams, Back Offices, IT) in different regions (Asia, Europe, America)
  • English compulsory
  • Knowledge of VBA programming is an advantage
  • Positive mindset
  • Change oriented
118

Analyst FID Trade Support Group Resume Examples & Samples

  • Reconciliation of Trader?s Risk products and positions to Firm books and records and investigation and resolution of breaks
  • Confirming vanilla and complex rate-fixings with external counterparties via fax and email
  • Working with T/As and the Business Unit to resolve pre and post value date queries and trade amendments through communication with settlements teams Globally
  • Working with the financial controllers to resolve pre and post value date breaks between Risk and mainframe
  • Responsibility for delivering a suite of management reports to a global audience and ensuring the breaks within these reports are correctly allocated
  • Project work including the current global re-makes DDI-project
  • Perform the exception management on the external platform and ensure breaks are resolved with the help of the Global team
  • Perform the reconciliation between the internal risk system v/s external systems
  • Knowledge of Morgan Stanley systems and applications
  • Solid understanding of risk management / prioritization
  • Diverse product knowledge, Interest Rate knowledge in particular
  • Self starter, highly motivated
  • Reconciliation experience
  • Metrics reporting experience
  • Training and/or supervisory experience
119

Trade Support Senior Associate Resume Examples & Samples

  • Assisting with the Order reconciliation and Trade resolution processes
  • Assisting of the CREST checking/Matching report of trades and transfers
  • Assisting The Department with the settlement process– everything unsettled due for settlement
  • Reviewing of open purchases and sales
  • Safe Custody Management
  • House Account resolution (Corporate Actions and Trade Support errors) – balance, breakdown and resolution
  • Assisting with Deal corrections
  • Assisting with the process of large deals process
  • Non-STP execution monitoring – Open orders, limits,
  • Assisting with Trade amendments and corrections
  • Counterparty risk monitoring
  • Price/Stock file(attribute) differences (configurable)
  • Best execution Market abuse Monitoring
  • Transaction reporting reconciliation to executed trades
  • Query Management
  • Stamp/SDRT/ FFT monitoring/processing where required
  • FX Monitoring
  • Settlement Instructions ref Priority setting
  • Testing
  • MI production
  • Proven Equity Trade Support experience
  • Possession of Industry Qualifications – IAQ or IMC or proof of “Grandfathering”
  • Knowledge of CREST and the CREST GUI is Essential
  • Settlement Knowledge of the following CREST eligible assets Equity/Fixed Income/ETF/Investment Trusts/CDI’s/Gilts
  • Understanding of Transaction Reporting
  • Dealing Analysis through LiquidMetrix and Market Abuse
  • Computer literate with strong Excel, Word and Outlook skills
  • Self-starter with a dynamic “can do” attitude with a strong desire to make things happen
  • Strong attention to detail and be able to work effectively during pressure periods prioritising multiple tasks
  • Strong and effective communicator at all levels
  • Good team worker sharing knowledge effectively and showing a flexible work approach
  • Experience of participating in projects and procedural enhancements
  • Ability to “think on your feet” and develop innovative and effective solutions to problems
  • Delivers results
  • Problem Analysis
  • Initiating and adapting to change: Process improvements
  • Stakeholder/Customer Management
  • Influencing and Negotiation
  • Work experience within an Investment Management environment is desirable
120

Commodity Trade Support Specialist Resume Examples & Samples

  • Understanding risk implications of Commodity Operations
  • Providing supervisory oversight to ensure 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
  • Managing stakeholder relationships across the business unit
  • Recruiting and developing talent
  • 5+ years of experience in Institutional Securities Operations, ideally including derivatives, exchange cleared products and commodity products
  • 2+ years of team management experience
  • Understanding of Regulatory framework for Commodities
  • Heavy experience with metrics and data analysis
  • Active within industry; understanding of key Commodities organizations and industry working groups
121

CIB Operations Equity Derivatives Trade Support Resume Examples & Samples

  • Strong experience in drafting structured equity ISDA confirmations and basic understanding of Final Terms and Pricing Supplements
  • Strong understanding of the ISDA 2002 Equity Definitions and the ISDA 2006 Definitions
  • Good understanding of standard EMTN program and Euro-medium term note T&Cs
  • Good understanding of the regulatory environment related to confirmations in the US and Europe. Experience with current project(s) and/or roll out of CFTC and EMIR confirmation rules is essential
  • Equity Derivatives product knowledge; and
  • Strong communication and negotiation skills
122

Trade Support, Macquarie Asset Management Resume Examples & Samples

  • Investment confirmation and settlement monitoring
  • Instructing settlement details to custodians and clients
  • Unmatched or failed trade monitoring and resolution
  • Trade entry bookings
  • Reconciliation review and clearing of items
  • Implementing ideas which will increase the efficiency and accuracy of the team
123

Senior Analyst, Trade Support, Nbcn Resume Examples & Samples

  • Bachelor's degree in a related field and four years' relevant experience OR Master's degree in a related field and two years' relevant experience
  • Minimum 2 years of experience in wealth management and/or financial markets
  • Strong knowledge of various securities products, including but not limited to equities, fixed income and options
  • Working knowledge of the Canadian, US and international trade settlement process (CDS, DTC, FED, Euroclear)
  • Strong awareness of security industry’s regulatory and risk environment
  • Successful completion or willingness to enroll in CSC, CPH and DFOL
  • Experience with SSCNet and DTCC/OMGEO is an asset
  • Ability to communicate effectively with clients and colleagues, often in high-pressure and fast-paced environment
  • Advance to expert level in MS Excel is a must-have
  • Working knowledge in VBA, Access and SQL a plus
  • Strong ability to work in a team-oriented environment
  • Ability to read, write and speak French is an asset but not required
124

Senior Analyst, Trade Support Resume Examples & Samples

  • Comprehensive understanding of the Trade Lifecycle
  • Knowledge on Financial Instruments such as Equity, Bonds etc…
  • Good understanding of Custody and Sub Custodian banking network
  • Knowledge of the Asset Servicing Practice would be considered as an advantage
  • Must have an eye for detail and should be able to carry out Quality Checks and report the same
  • Must possess and demonstrate qualities of a team player
  • Should understand the concept of Driving Performance
125

Trade Support Manager Resume Examples & Samples

  • 3+ years of professional experience in Accounting or Finance
  • 3+ years of experience leading and/or supervising a team
  • Mark-to-Market experience
126

CIB Operations Global Clearing Trade Support Resume Examples & Samples

  • Partner with client to understand business and their required service needs. Validate client requirements vs services offered and implement support processes where necessary
  • Management of non-process related client queries
  • Maximize client leverage of self-service tools
  • Review Client specific quality MIS (Critical to Quality, CTQ) and key performance indicators (KPI), feedback to client and resolve issues
  • Builds Customer Loyalty & Confidence: Responsive and value adding. Delivery orientated and closes issues. Sound Judgment Communicates Effectively: Excellent written and verbal skills. Networks to establish effective delivery
  • Demonstrates Stress Management Ability: Has perspective and can see issues and goals from different angles and levels. Composed, listens, and manages the conversation, offers support, Identifies the root causes and takes action
  • Demonstrates Excellent Team Working Skills and Personal Motivation: Quick learner, open approach, respectful energetic, self-motivated and can motivate others. Keen to initiate and try new smart working ideas
  • Reliable, Loyal and Professional: Takes ownership and demonstrates commitment. Etiquette, integrity and understands diversity
127

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

  • Provide operational support for the Credit desk
  • Product coverage includes Corporate and Sovereign bonds, US Treasuries, FX and Equity transactions
  • Trade booking and enrichment
  • Reviews, collaborates and prepares potentially new operational procedures in line with changes and developments in the business
128

Team Leader, Trade Support Resume Examples & Samples

  • Oversee the daily production of the Equity Derivatives Trade Support team in Montreal
  • Build and maintain excellent working relationships with peers in the US
  • Work with Front Office, P&L, Back Office, Third party vendors, and Application Support to resolve operational and booking issues
  • Monitoring of operational risk by providing proper Front Office Support and ensuring the risk of fraud is set to a minimum
  • Ensure accurate trading positions in FO system, the daily goal is to correct all discrepancies originated by system bugs, input mistakes, information loss
  • Manage real-time trade booking exceptions internally between the trading desk and sales force
  • Assist with project initiatives designed to improve and streamline existing processes
  • Mitigate risk by reconciling discrepancies between the trading desk’s positions and the firm’s books and records
  • Participate / assist in event processing and have a full understanding of the life cycle of a trade
  • Collaborate with technology teams on the implementation of process flow improvements and efficiencies
  • Contribute to quick resolution of trade issues by liaising with various groups including Front Office, Back Office, IT Team, P&L Controllers and Client Services
  • Liaise with other Operation functions and other infrastructure groups to support a ‘one team approach
  • Promote an efficient dialog/discussion with our internal and external partners
  • Adhere to deadlines and objectives
  • Where appropriate, ability to maintain and explain own position using logic in the light of differing views
  • Attention to detail and accuracy is imperative
  • Strong academic background required
  • Ability to work as part of a team in a “split team” organization
  • The successful candidate will need to demonstrate a strong desire to learn the processes and products
  • Flexibility to adapt to a new and changing environment
  • Strong sense of risk and critical thinking
  • Rigorous and very organized
  • Maintains high quality of customer service
  • Ability to effectively listen and communicate
  • Display good relationship qualities, team spirit, and ability to work across teams
  • Bilingual English and French
  • Strong qualification level in equity derivative markets. Financial market knowledge of derivatives products including TRS, ETFs, Equity Swaps, Variance products etc
  • Strong Excel/PC skills with proven ability to work with multiple systems
  • 3-5 years experience in a Derivative Middle office environment or prior experience in working with Trading/ Sales in a financial institution
129

Team Leader, Trade Support Resume Examples & Samples

  • Oversee the daily production of the Fixed Income and Commodities Derivatives Trade Support team, in Montreal
  • Ability to work as part of a team in a “split team” organization between different locations
  • Excellent knowledge of financial markets with emphasis on Credit or Rates or Commodities Derivatives
  • 3-5 years experience in a Derivative Middle office environment or prior experience in working with Trading/ Sales in a financial institutionbnpprsr
130

Global Middle Office Swaps & Derivatives Trade Support Specialist Resume Examples & Samples

  • Detailed knowledge of equity swaps and their corresponding lifecycle management functions
  • Knowledge of Excel
  • Ability to work in a high pressured environment and multitask
131

Trade Support, Global Markets Operations Resume Examples & Samples

  • To perform day-to-day core trade support functions to Trading including trade validation, late trade booking, trade amendment and cancellation
  • To handle post trade allocation for SPB Clients
  • To handle any post-trade events such as CA adjustment, secondary event booking and notification
  • To be the middleman to co-ordinate all information from F2B to ensure smooth processing and settlement is properly performed
  • To perform as an independent control team to strengthen all the control within Global Market Operations
  • Analytical mindset: Aptitude to understand the F2B workflows and handle exceptional issues with logical mindsets to communicate with Front Office
  • Organized & good resistance to stress: This is a much faced paced dynamic environment; therefore excellent time management and good positive resistance to stress are compulsory
  • Attention to detail: Ability to ring the bell for any abnormal trade pattern and escalate in timely manner
  • Innovation and initiatives (Think “outside the box”): Demonstrate willingness to constantly improve the status quo. Understand well the processes in place and evaluate if needed, alternative options to do things better with a cost - benefits / ROI approach
  • Self discipline & autonomy: Have a constant “delivery on time” mindset, both on the daily production and on the projects handled. Ability to work on its own with little supervision
  • Adaptability & Change Management: Ability to easily adapt to new situations (new booking systems, new products, new activities to manage…) as this is a constant changing environment
  • Strong Client Focus: Capacity to work with various clients. Need to be sensitive about the rationale of their requests and be proactive when replying to them. Work as partnership while consistently keeping an independent mindset
  • Escalation & Reporting process: Internal rules of reporting and escalation to Ops and FO need to be known & applied. The team member also needs to report any sensitive information/issues and escalate immediately to their management
132

On Trade Support Team Administrator Maternity Cover Resume Examples & Samples

  • Sports Hospitality – liaising with the venue & SDM to ensure all assets are fully utilised with the largest benefit to the business. Tracking these and reporting when necessary
  • Sports Mega Days – organising all aspects of these events from start to finish directly with venues & SDMs to enhance customer loyalty & develop potential new customer relationships
  • Cellar Management Courses – monitoring, tracking and communicating course availability, details, delegate information and results to the sales force, venue, delegates and course trainers
  • Personalised items – liaising with SDMs & suppliers to create personalised designs for customers within strict brand & approval guidelines
  • General admin support – promotions tracking, keeping the team inbox up to date, sorting post, organising stationery for SDM’s, keeping the organisational charts and contact lists up to date
  • Answering all inbound calls in a friendly, efficient and timely manner
  • Covering for other members of the team during holidays and sickness
  • Build strong working relationships with the salesforce and team members
133

VP-equity Trade Support Resume Examples & Samples

  • Trade booking/ amendments
  • Position (trading account) reconciliation
  • Reference data maintenance
  • Providing supervisory oversight to ensure all functions and procedures are performed in a timely and correct manner
  • Partner with the regional Control teams to enhance the service standards and manage stakeholder relationships
  • Manage the daily functions performed by the team, proactively identify potential risk areas and work on minimizing risk exposure for clients and Firm
  • Work with the Change the Bank team and explore strategic development of the support infrastructure to enhance efficiency of operational flow
  • Represent operations on local/ global initiatives and projects
  • Manage the team, hold 1-1's and skip level meetings, conduct career conversations, performance management & recruitment
  • 8 - 10 years' experience in financial industry
  • 4+ years in people management experience
  • Direct experience operating within a similar role
  • Solid understanding of cash equity products
  • Strong risk awareness and orientation
  • Ability to step back from the detail and question processes and control
  • Leads by example ? is a culture carrier for the Firm
134

Equity Derivatives Fund Operations Trade Support Resume Examples & Samples

  • Managing team of 6 people
  • Controlling daily workflow
  • Definition of team member objectives, delivery of midyear and end of year reviews
  • Building relationships with Operation teams, Financial Controllers and Front Office Risk Managers
  • Managing tactical agenda to enhance control framework
  • Help to identify, drive and implement process improvements
  • Weekly and monthly reporting of Key Risk Indicators in relation to the team activities
  • Ad-hoc reporting as and when required
  • Excellent communication / relationship building skills
  • Ability to work alone and use initiative
  • Control focused
  • Strong line management skills
  • Ability to initiate and drive projects to manage risk
  • Familiarity with the Life of Trade concept
  • Knowledge on Corporation Actions
  • Derivative product awareness
  • Good communication/relationship building skills and strong organisational ability
135

Exotic Trade Support Resume Examples & Samples

  • To perform day-to-day core trade support functions to Trading including trade validation, late trade booking, trade amendment and cancelation
  • To handle any post-trade events such as Corporate action adjustment, secondary event booking and notification
  • To be the middleman to co-ordinate all information from Front to Back to ensure smooth processing and settlement is properly performed
  • To perform as an independent control team to strengthen all the control within Global Market Operations
  • Contribute to the Permanent Control framework
  • Bachelor or Master Degree on Economics, Mathematics or Finance
  • Strong Equity derivatives products knowledge including the Front to Back workflows and the product event management
  • Strong Preference to have MS and programming skills (VBA, Excel, Access) would be a significant plus
136

Trade Support & Operational Risk Management Resume Examples & Samples

  • In depth knowledge of some combination of Fixed Income markets and processes, including understanding of trade reporting rules and requirements (e.g., TRACE, large position reporting, market manipulation surveillance)
  • Understanding of electronic trading platforms, algorithmic trading, and derivatives a plus
  • Strong understanding of US and global regulatory environments
  • General understanding of broker dealer operations and back office trade flows
  • Advanced working knowledge of Microsoft Office applications (Excel-Macros & VBA, Word, PowerPoint)
  • Series 3, 7, 24, and 63 preferred
  • 7 - 10 years of experience working in a global financial organization across various products
  • Experience in a similar role – could be leading a similar Front Office team, Operations team, or a Compliance team
  • Experience managing projects and leading groups towards specific business plans
  • Leadership experience representing complex business initiatives, including technology related improvements and process improvements
  • Experience in directly interacting with business line managers and all resource-type functions (including Operation, IT, Legal, Compliance, and Accounting)
  • Degree or U.S. equivalent in Finance, Financial Engineering, Engineering, Economics, Information Systems, or a related field
  • Master's degree or U.S. equivalent in Finance, Financial Engineering, Engineering, Economics, Information Systems, or a related field
137

Trade Support Manager Resume Examples & Samples

  • Review daily reconciliation reports
  • Compile MIS data for management
  • Work on various projects related to Middle Office, administration and operations
  • Strong Excel and PowerPoint skills
  • Must have a control-oriented mindset
138

Associate Listed Derivatives Trade Support Group Resume Examples & Samples

  • Location: Mumbai
  • Timings: Asia hours (Willingness and Flexibility to change in timings as per business requirement is essential )
  • Perform positions reconciliation between exchange versus MS books and follow up to fix the issue the same day. Breaks investigation and resolutions
  • Supporting ongoing business initiatives and Exchange initiatives
  • Independently run and manage multiple Projects in Asia TSG / Listed Derivatives Operations including system enhancement, facilitate increased business and regulatory support
  • Process efficiency, RTB/ CTB enhancement and increased controls ?eg Expiry processing, Focus on reducing Non STP metrics, remediating processing issues including manual bookings, understanding new and complex client allocation models
  • Ensure accurate position management and enhance controls to avoid any impact to regulatory reporting, self-assessment of process gaps and manual touch points
  • Collaboration with Technology, Compliance, Risk teams
  • Data gathering and business analysis
  • Testing in QA providing evidences and various test scenarios
  • Timely escalates breaks, risk issues and follow through until resolution
  • Inherent process risk identification and mitigation
139

VP-equity Swaps Trade Support Team Resume Examples & Samples

  • Reconciliation of Swap Vs Hedge positions
  • Reconciliation of internal interest rate swaps
  • Production and distribution of swap reporting highlighting specific exceptions that require specific actions to resolve
  • Maintaining swap shells, to include and not limited to schedules, profiles, resets
  • Minimum Bachelor Degree
  • 3-5 years of previous trade support role experience with exposure to trade life cycles and process flows, reconciliation and control functions
  • Exposure to equity derivatives (eg equity swaps) preferred
  • Experience of servicing and working for and with a global network of people
140

Trade Support Resume Examples & Samples

  • Client meeting forecast update in Synapse – weekly
  • Client feedback update in synapse – weekly
  • FIC client escalation extract - weekly
  • Core indicator report – monthly
  • KPI packs for two Tier-1 clients – monthly
  • CMT/T2 UK Compliance report – monthly
  • Solid understanding of SG Global Markets (MARK) products and lifecycle processes
141

Senior Analyst, Front Office Trade Support Resume Examples & Samples

  • Evident past experience of having worked in an Rates & Credit Derivatives Middle office/ Support environment will be an advantage
  • Demonstrated experience in financial process design and/or re-engineering
  • Strong work ethic / conscientious
  • Self-motivated and able to work autonomously
142

EDG Flow & Converts Trade Support Resume Examples & Samples

  • To become and integrated and active member of the Flow/Converts TA team and improve and maintain a robust controls.Produce and substantiate trading P&L when needed, including the analysis and extensive discussion with the Front Office to ensure transparency and accuracy in the P&L numbers
  • The Trader Assistant Role is situated alongside the FO on the Trading Floor; the role requires continuous interaction with the trading desk, offering advice and help on any issues which they may have with Risk, P&L, Bookings as well as a number of ad-hoc queries. It is therefore imperative that that candidate has a strong understanding of the various financial products, particularly a range of Equity Derivatives and Convertible Bonds that the desk trades
  • The Trader Assistant are part of the Flow/Converts MO Team, which covers Transaction Management, P&L, Projects and other Operational Controls, there will be the opportunity to cross train across the other functions to increase the breadth of product understanding
  • The FO are trading increased volumes, often in new markets utilising a growing range of Product/Asset Classes, this will present a unique range of challenges which the MO Team will assess and control. The role would suit a strong, dynamic individual who wishes to be part of an integrated MO team
  • Trader Assistant experience is highly beneficial, although we will consider candidates with the correct product experience and the aptitude to become a Trader Assistant
  • Good Knowledge of the range of Equity Derivatives Products, including Option, Equity/Variance Swaps, CDS and Listed Derivatives
  • Experience within a comparable role within the Derivatives Business
  • Strong understanding of Risk and P&L implications inherent when trading derivatives
  • Understanding of the booking flow of products from risk based systems to settlement systems
  • Ability to identify and drive change,
  • Excellent attention to detail is a required skill for this role
  • Good understanding of downstream impact of actions undertaken in MO, particularly the requirement for strong and timely controls around trade capture through to settlement
  • Time Management and ability to prioritize effectively
  • A good team player, capable of building effective business relationships across the organization
  • Pro-active approach to problem solving; root cause analysis, identifying solutions and taking ownership of these through to resolution
143

EDG Flow & Converts Trade Support Resume Examples & Samples

  • Enthusiastic, self-motivated and demonstration of initiative
  • Flexibility, early start times and late finishing times are required with an occasional need for weekend work once a quarter
  • To become and integrated and active member of the Flow/Converts TA team and improve and maintain a robust controls
  • Produce and substantiate trading P&L when needed, including the analysis and extensive discussion with the Front Office to ensure transparency and accuracy in the P&L numbers
  • There will also be the opportunity to cross train onto the other functions provided by the MO team, which include managing trade exceptions and settlement issues throughout the trade lifecycle
144

Team Leader for Trade Support Unit Resume Examples & Samples

  • Very strong knowledge of prime brokerage activities and trade support unit function for Global market activities
  • Extensive cross-product knowledge and operations value chain –8 years minimum experience
  • Very good understanding of regulatory environment and requirements
  • Good experience in team management across region
  • Good team player with ability to drive initiatives cross-departments for a common delivery
  • Flexible and proactive to adapt to a changing environment
  • Strong ability to work under pressure to deliver client and business expectations
  • Very good leadership skills to engage regional team in a sustainable manner
145

Analyst, FX / Emerging Market Trade Support Resume Examples & Samples

  • Support Foreign Exchange and Emerging Markets business. Products that traders and sales people execute include Spot, Forward, Futures, Options and Interest rate products
  • Working with trading and sales to ensure market risk and trade entry is accurate. Coordinate with global colleagues that all aspects of trade processing is completed
  • Affirmation of T0 trades using either sales/trading recap or broker confirmation to ensure proper booking
  • Ownership of life-cycle management of trades including expiries, rests and final settlement
  • Calculate and distribute daily P&L to the Trading Desk, Product Control and Senior Management
  • Motivated, diligent learner that is able to work in a fast paced environment
  • Proficient in excel and ability to quickly learn internal & industry applications
  • Interest in General Financial Markets
146

Middle Office CSD Trade Support Senior Administrator Resume Examples & Samples

  • Trades are processed on the appropriate BNYM and/or Client systems in an accurate and timely manner, liaising with internal and external areas, as necessary. Trade types may include equities, fixed interest, unit trusts, foreign exchange, money markets, repos, stock lending, OTC/ETDs, options, etc
  • Trades are confirmed with the brokers in a timely manner, with exceptions investigated, reported and resolved
  • Timely and accurate transaction instructions are submitted to third party custodians, with exceptions closely monitored and resolved, escalating where appropriate
  • Process of all cash instructions, within the market currency deadlines where possible
  • Monitor trade settlement and proactively resolve any potential fails, with particular focus on high value transactions, short settlement period trades and those in priority markets (i.e. buy-in and high penalty markets). This includes pre-matching trades where possible, with timely resolution sought on all unmatched trades
  • Thorough, accurate and timely investigation of any failing trades, escalating to the Supervisor where appropriate
  • All outstanding queries related to pending corporate actions or cash and stock reconciliation items are actively resolved on a timely basis, documenting investigation steps and recognising and responding appropriately to areas of risk, escalating where necessary
  • Timely and accurate production of reporting, both internal and external, and any special or ad hoc reporting
  • Accurate and timely update and maintenance of broker and client static data
  • Extensive daily liaison with internal operating areas as well as market counterparties, with thorough investigation, prompt resolution and communication of client inquiries and requests, escalating to the Supervisor, as required
147

Equity Derivatives Trade Support Resume Examples & Samples

  • Deal verification of Tradebooking to Term sheets or other sources
  • Processing lifecycle management for both OTC & securitized products
  • Overseeing novation related activity
  • Partnering with stakeholders to specify and deliver business process improvements and efficiencies via changes in procedures and technology
148

Cib-credit Trade Support Mo-VP Resume Examples & Samples

  • Produce time sensitive daily reports with actionable data to Front Office, Middle Office or Back Office for break resolutions
  • Proactive in problem solving and developing solutions
  • Ability to multi task, ensuring the trades are booked correctly, breaks are resolved and MIS being sent to managers on deadlines
  • Good understanding of downstream impact of actions undertaken, particularly the requirement for strong and timely controls throughout the life cycle of the trade
149

Cash Equity Trade Support Group Associate Resume Examples & Samples

  • Position reconciliation
  • Trade booking and reporting
  • Trade flow monitoring: front to back
  • Data collection for New Product Approvals/metrics/projects
  • Escalation of operational exceptions/errors
  • Corporate Action Elections
  • Basic excel knowledge
  • Good communication skills
  • Basic product/system knowledge