Trading Operations Resume Samples
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Trading Operations Resume Samples
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MR
M Robel
Madeline
Robel
44126 Friesen Well
Chicago
IL
+1 (555) 775 1641
44126 Friesen Well
Chicago
IL
Phone
p
+1 (555) 775 1641
Experience
Experience
Philadelphia, PA
Trading Operations Analyst
Philadelphia, PA
Monahan, Howe and Kuhlman
Philadelphia, PA
Trading Operations Analyst
- Establishing electronic connectivity with third party money managers to facilitate STP for execution and allocation of order flow
- Develop, analyse, and distribute risk reports
- Monitor and process certain trades through order management system
- Project Management
- Process improvement
- Exception Management
- Risk Management
Chicago, IL
Trading Operations Associate
Chicago, IL
Kirlin LLC
Chicago, IL
Trading Operations Associate
- Assist on any issues, and provides timely escalation to desk and operations management
- Assisting on any issues, and providing timely escalation to desk and operations management
- Develop a sturdy acquaintance with each system utilized by the team, and learn to perform each of the daily/monthly processes associated with the role
- Project management of process improvement initiatives
- Designating sales credit to internal RR's on both lead and co-managed issues
- Ensuring all functions and procedures are performed in a timely and correct manner, i.e. trade checkout, position reconciliation, wash account reconciliation
- Identification of process improvements, both strategic and tactical
present
Philadelphia, PA
Trading Operations Specialist
Philadelphia, PA
Murray, Lowe and Auer
present
Philadelphia, PA
Trading Operations Specialist
present
- Lead of team of 6; Partnering closely with the Trading and Sales to provide the first level of control and escalation
- Reporting and reconciling intra-company breaks
- Responsible in ensuring that the trade bookings are correctly reflected in the trading risk systems and tie out with the Counterparty
- Guardian for the bank; responsible for monitoring the integrity of the Firm's risk by ensuring that all trades are confirmed promptly
- Announcing deals street wide via telex and publishing an internal calendar of pricings and settlements
- Participating in a formal closing call with the issuer, transfer agent, investment banker, and members of Depository Trust Company on value date
- Successful delivery of enhancements to platforms & system flows to streamline credit approvals and counterparty limit monitoring
Education
Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
University of Oregon
Bachelor’s Degree in Accuracy
Skills
Skills
- Excellent attention to detail
- Strong attention to detail
- Highly organized, with absolute attention to detail
- Ability to handle multiple requests simultaneously and respond quickly
- Team player, collaborative, able to work with and through others
- Excellent problem solving abilities
- Excellent follow-through and communication to team members regarding status of open items
- Ability to recommend procedures and reporting to improve the effectiveness of the team
- Strong organizational and problem solving abilities
- Ability to work independently and establish priorities
15 Trading Operations resume templates
Read our complete resume writing guides
1
Global Equities Trading Operations Representative Resume Examples & Samples
- Provide trade support for the RBC Capital Markets equities trading desk
- Act as point of contact for clients operations teams for all client service related inquiries
- Liaise with client back office personnel to resolve failing trades and DK’s
- Work with RBC back office to actively monitor DTCC settlement exceptions
- Work with NY and Toronto clearing teams as a liaison with the trading desk for street side clearing issues
- 3 + years relevant work experience
- Strong interpersonal skills with the ability to deal effectively with others in a pleasant and professional manner
- Able to act in a time sensitive manner with a strong sense of urgency
- Works well independently as well as in a team environment
- Ability to liaise with other areas of the Bank and develop strong inter-departmental relationships
2
Structured Solutions Trading Operations Analyst Resume Examples & Samples
- Security creation and maintenance through front end systems
- Tracking and maintenance of structured solution securities throughout their lifecycles
- Trade processing, corrections, reconciliation, clearance and settlement
- General ledger and trading account reconciliation
- Corporate action tracking and processing
- Risk management through daily controls task list
- Satisfy regulatory reporting requirements
- Basic understanding of Capital Markets
- Middle office operations experience
3
Trading Operations, Analyst Resume Examples & Samples
- Confirm and affirm transactions with counterparties across all product sectors
- Process MBS TBA pool allocations
- Resolve Trade Prematching enquiries
- Resolve Pre-Settlement & Post-Settlement Factor/Coupon Updates for the MBS(Fixed Income) Securities
- 1 – 3 years experience
- BS/BA in business, finance or related field
- Previous experience of working in a global organization preferred
- Understanding of financial markets and related instruments
- A strong emphasis on time management in addition to being well organized and detail –oriented
- Team player with attention to details, problem solving abilities, and analytical skills
- Ability to multi task
- Proficiency in Microsoft Office and an aptitude for learning new applications
- The ability to perform effectively in an environment of rapid and continual change
4
Operations Securities Trading Operations Associate Seoul Resume Examples & Samples
- Oversight Korea cash equities trading support, client on boarding, settlement and regulatory reporting
- Intra-day control of all client and firm trading activity mainly around the firm's Korean cash equities businesses
- Dealing with Global Cash equities Sales and One Delta trading desks and regional middle office teams to resolve trade-date and post-trade-date execution and settlement issues
- Closely deal with clients to field inquiries around the trading and settlement process
- Participate in projects and implement of new changes to Korea team working closely with regional and global project teams
- Minimum 4 years' experience of Korea Equity Operations
- In-depth knowledge concerning Korea markets, securities products and regulations
- Fluency in written and spoken Korean is mandatory
- Strong English communication and interpersonal skills
- Demonstrated leadership and people management skills
- Profound understanding of risk and control required in Operations
- Ability to prioritize and balance issues and workload across the team and to manage and track multiple tasks and deliverables simultaneously
5
Structured Solutions Trading Operations Analyst Resume Examples & Samples
- Evaluate risk management procedures with a focus on continuous improvement
- Procedure documentation
- Adaptive and flexible
- Professional and detail oriented
- High level customer service and communication skills, both verbal and written
- Recognize and effectively manage risk
- Prioritize multiple issues while delivering within a fast-paced and dynamic environment
- Proficiency in Microsoft Excel preferred
6
GE Trading Operations Representative Resume Examples & Samples
- Allocate daily client orders
- Compare and accept Institutional trades on OASYS / CTM systems
- Process post trade date corrections and cancel/re-bills
- Other projects and duties as necessary
- BA/BS from a 4 year university
- Relevant industry experience required
- Needs a high level of organizational skills to be able to multi-task with a strong attention to detail
- L1-AT1
7
Operations Derivatives & Clearing Gsec Trading Operations Analyst Slc Resume Examples & Samples
- Partner with the Clearing Business Unit to action client requests for new trading flows
- Work with customers & counterparties to finalize details of clearing agreements
- Drive strategic root cause analysis on trade processing exceptions
- Partner with technology teams to build out connectivity and allow for automated transmission of trade records
- Address inbound requests via team hotline or email distribution while delivering a high level of customer service
- Adhere to team's written policies & procedures
- Review and reconcile assigned exception reports
- Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word
- Ability to create and handle complex Microsoft Excel spreadsheets
- Strong client service orientation
- Adapt to new changes and new challenges
- Risk and control-oriented
8
IMG Trading Operations Analyst Resume Examples & Samples
- Trade and Portfolio Administration
- 1-3 years of investment experience required
- Working knowledge of fixed income and equity securities their markets and trading
9
Capital Markets Trading Operations Analyst Resume Examples & Samples
- Precisely execute detail oriented tasks
- Demonstrate outstanding communication and interpersonal skills
- Develop a deep understanding of trading processes and the systems used to execute them
10
Trading Operations Associate Resume Examples & Samples
- Assists advisors in servicing clients
- Collects and inputs data for financial plans, and closes out plans
- Handles all security transactions
- Executes financial transaction instructions and requests, and make appropriate arrangements to ensure the work is carried out efficiently and in line with relevant policies and processes
- Securities order construction and execution
- Order entry of equities, bonds, structured notes, and other securities given by financial advisors and clients
- Portfolio monitoring, review and administration
- Conduct market research on securities and mutual funds
- Assist financial adviser and clients with understanding of different reorganization offers
- Calculate, monitor, and execute Good ‘Til Canceled (GTC) orders
- Accepts and performs other duties as assigned
- Excellent attention to detail
- Ability to work independently and establish priorities
- Ability to handle multiple requests simultaneously and respond quickly
- Highly organized, with absolute attention to detail
- Excellent follow-through and communication to team members regarding status of open items
- Ability to recommend procedures and reporting to improve the effectiveness of the team
- Client-first attitude
- Team player, collaborative, able to work with and through others
11
Loan Closer Credit Derivatives & Loan Trading Operations Resume Examples & Samples
- Prepare and coordinate settlement documentation, execute third party assignments for BNS agented deals, monitor trading limits, and calculate/record trading P&L
- Coordinating and negotiating the funding of loans that have been traded with multiple parties. Advising customers and Loan Administration of all the details. Updating related trading systems with new settlement and loan information
- Accounting for and analyzing financial transactions related to facilities being serviced, including accurate calculation of associated trading fees, reporting and the daily reconciliation of systems to match actual portfolio positions
- Analyzing Limit Monitoring and System Reconciliation Reports to mitigate various risks involved with loan trading. Monitoring counterparty exposure limits, aged trades, borrower limits and ratings discrepancies. Investigate and subsequently escalate valid limit breaches to trading desk and risk group
- Keeping Front Office Loan Sales & Trading staff up to date on any assignment activity through prompt updating of trade blotters
- Assisting with departmental training for new and existing staff
- Monitoring the processing and accounting for financial transactions related to facilities being serviced, including accurate calculation of associated trading fees, reporting and the daily reconciliation of systems
- Facilitating and assisting with audit requests
- Escalating and following up with GWT, Markit and WSO Support for system related issues
- Identifying and escalating exceptions/shortfalls from policies, procedures and practices to team leader with recommendations for corrective action or procedural improvement, as the case may be
- Use of critical analysis to identify opportunities to improve daily processing, accounting and control routines
- Providing ongoing service and support to GLS Loan Sales desk, Credit Derivatives, Book Runners, Marketers, Corporate Bankers and other BNS staff
- Exhibiting professional value added level of service and support to customer base by utilizing strong communication skills both verbal and written
- Working knowledge of Microsoft Office (i.e., word excel, power point) to minimize redundancy, duplication or inefficiency, and integrating complementary tasks now performed by more than one person
- Play key role as subject matter expert and systems expert in management initiatives
- Performing other tasks/functions as directed by Management
- Intermediate knowledge of Syndicated Loan and/or OTC Derivative Market's
- Excellent Customer Service and Communication skills
- Strong Excel/Word skills
- Excellent multi-tasker with ability to thrive in a fast-paced environment
- Excellent Team Work skills
- Professional
12
Trading Operations Specialist Resume Examples & Samples
- Expedite efficient and effective resolution of street side contract trade breaks. Ensure accurate acceptance or rejection of street side trades with Baird’s counterparties using ACT, GEMS, NASDAQ/ORF, and RTTM-CMU. Address x-clearing trade issues prior to settlement date and expedite Fed settlement through netting processes
- Act as liaison between the cashiering department, Baird traders and the contra parties to resolve settlement issues on settlement date
- Perform other duties as required
- Bachelor’s degree preferred and/or 2+ years of experience in a financial services operations role is a plus
- Series 99 within 120 days of hire if role processes cash or security movements
- Experience with Bloomberg/Fidessa for fixed income/equity trade allocations a plus
- Proficiency and experience with Microsoft Office (Word, Excel, Outlook)
- Ability to handle multiple assignments; work under pressure and within deadlines to produce accurate, high-quality results
- Strong organizational skills with the ability to prioritize, monitor, and complete multiple tasks or projects, either independently or collaboratively within a team
- Strong written and verbal communication skills are a must, with the ability to effectively relate to work in a team-oriented setting
- Passion for providing high-value client service
- Ability to stay focused under pressure and to prioritize workload in order to effectively manage time
13
Trading Operations Resume Examples & Samples
- Confirm and affirm & settle transactions with counter parties across all product sectors
- Build relationship with Trading & PM teams to ensure smooth functioning
- Build relationship with Counterparties & Custodians to ensure smooth confirmation & settlement of trades
- 10 – 15 years of relevant experience
14
Agency Trading Operations Manager Resume Examples & Samples
- Work strategically to support the Global Head of Trading to establish long term trading objectives for our key media agency partners
- Take responsibility for deal planning, structuring and budgeting
- Work with internal teams on deal negotiation and contract execution
- Be responsible for day to day deal management and operational efficiency
- Monitor and manage financial analysis and reporting
- Take ownership of stakeholder alignment and relationship management across Facebook's diverse business environment
- Understanding of how agencies work (preferred) from front to back with knowledge of global agency business, trading models
- Experience working with cross functional teams including product, sales, measurement, finance, legal, and business operations
- Experience in developing and implementing processes and tools for effective deal/transaction management
- Excellent consultative and quantitative/analytical skills. Ability to show data and analysis in an interesting and compelling way
- Strong numerical skills with good attention to detail
- Advanced excel skills (e.g. high comfort level consolidating and joining data, creating formulas etc). SQL experience an advantage
15
Trading Operations Analyst Resume Examples & Samples
- Bachelor’s degree and 3+ years related of experience in a financial services operations role is a plus
- Series 99 within 120 days if role processes cash or security movements, otherwise Series 7 a plus
- Experience with Bloomberg, Fidessa, DTCC, ACT, GEMS, NASDAQ/ORF is a plus
- Strong experience with Microsoft Office (Word, Excel, Outlook, PowerPoint, Visio)
- Advanced analytical skills with the ability to perform complex problem solving
- Ability to handle multiple assignments; work under pressure and within deadlines and produce accurate, high quality results
- Strong communication and organizational skills with the ability to prioritize and complete multiple tasks under strict deadlines
- Ability to work independently and effectively, relating to others in order to accomplish work responsibilities and objectives
- Diverse understanding of operational procedures and processes
- Highly motivated individual who has a desire to learn, and an ability to think creatively in a demanding environment
16
Senior Trading Operations Executive Resume Examples & Samples
- Establishing and maintaining appropriate operational procedures to support identified and new businesses
- Ensuring all operations activities are conducted in compliance with relevant HSSE and operating standards, when necessary, revise and update standards
- Interfacing with the Commercial support functions of the JV entities (BP & Sinopec)
- Scheduling the movement of products and efficiently coordinate and optimise supply operation
- Maintaining timely and accurate records in the relevant systems
- Monitoring and verifying payments to ship-owners, ship inspectors and surveyors
- Proactive management and recovery of demurrage and oil loss costs
- Developing, maintaining and enhancing the relationships with third parties / companies / associates, including terminals, shipping companies, surveyors, and marketing businesses
- Providing market intelligence to support analytics, marketer and traders’ understanding of market activity
- Supporting local or group initiatives and projects, as required, that enhance value
- Leading and guiding junior member of the operations team
- Working with trader to managing trading bench’s chartering, freight and demurrage exposure – seek to optimize value for the company
- Product supply and logistics knowledge
- Strong Analytical Skills and Commercial Awareness
- Strong team player, proactive and assertive
- Strong interpersonal skills and able to build and maintain successful relationships across different business culture
- Performed a senior role in guiding junior colleagues
- Ability to implement the compliance & HSSE requirements relating to operations
- Mandarin written and spoken
- Marine fuels supply and logistics knowledge
- Marine industry experience
- Familiar with SS600 and SS524
- Knowledge of the energy trading industry
- A university degree or diploma holder preferred, but specific educational profile is less important than behaviours and a strong track record of high performance and contribution
- Previous operational experience with a proven track record of delivering commercial value
17
Equity Trading Operations Analyst Resume Examples & Samples
- Undertake current state assessment in order to identify control gaps. Work with global counterparts to understand the scope of the issues and identify near term bet practice adjustments
- Perform business analysis needed to create proposals for scalability (VnG analysis), team fungibility, depth and efficiency
- Partner with global counterparts to ensure that initiatives are aligned to regional business needs and ensure that regional business needs are well represented in the global arena
- Work closely with the projects team for continued renovation of TX and related migration efforts
18
Trading Operations, Change The Bank Associate Resume Examples & Samples
- Responsible for leading the analysis and requirements gathering
- Identify and resolve requirement conflicts
- Create and maintain project documentation such as BRDs, test plans and training documentation
- Liaise with technical teams to ensure business objectives are achieved
- Effectively use tools such as Excel, Powerpoint, Visio, and SnagIt to present information and facilitate decision making by project participants
- Conduct Working Groups and Stakeholder Updates as needed
- Previous BA, QA or UAT experience preferred
- Experience gathering requirements, writing and delivering formal documents preferred
- Familiarity with the Fixed Income trade life cycle preferred
- Experience liaising with technology groups to provide feedback on testing issues preferred
- Ability to build relationships and articulate key messages succinctly and effectively through verbal and written communications
- Microsoft Tools: competent in Microsoft Excel, PowerPoint and Visio
19
Trading Operations Specialist Resume Examples & Samples
- Daily monitoring and escalation of Counterparty & Credit Risk generated by the Fixed Income Derivatives Business
- Market risk scenario & limits analysis and tracking
- Counterparty trade control: correct application of credit approval process and independent amount setting on a trade by trade basis
- Monitoring exposure to specific underliers/ countries, or exposure based on portfolio composition versus specific risk parameters (long or short volatility or delta)
- Monitoring counterparties ratings, concentration risks, slides analysis
- Ad hoc Credit analysis and credit exposure calculation & analysis driven by market events
- Methodology development: development of parameter based calculations, competitive analysis
- Ensure smooth & controlled running of daily activities protecting the firm's franchise
- Act as main escalation point to the Business Unit on counterparty and non-market risk related issues
- OTC Derivative products experience a plus
- Strong analytical mindset & strong control focus
- Ability to initiate and drive projects to execution
- Proven ability to manage a complex agenda, in partnership with senior stakeholders
20
Trading Operations Resume Examples & Samples
- Maintain awareness of industry changes and their impact on the confirmation process
- Solid working knowledge and understanding of trade processing, settlement processes and systems, e.g. CTM, Domestic Oasys, MarketAxess, Tradeweb, FXall, FIX, MT300, Bloomberg
- Team player with excellent attention to detail, problem solving / analytical abilities, research skills and willingness to learn
21
Trading Operations Associate Resume Examples & Samples
- Ensures all functions and procedures are preformed in a timely and correct manner
- Work with trading desk, sales, legal, compliance, IT and other operations group to ensure issues/concerns are mitigated
- Cross-training with other team members
- Assist on any issues, and provides timely escalation to desk and operations management
22
Trading Operations Associate Resume Examples & Samples
- Strong analytical thinking, especially when faced with ambiguity
- Confident problem-solving and communication
- Ability to quickly learn new processes and workflows
- Strong priority-setting
- Excellent attention to detail and a high level of reliability
- High level of personal accountability and appreciation of opportunities for innovation
- Proficiency in Microsoft Excel and Access
23
Trading Operations Associate Resume Examples & Samples
- Strong investigative and quantitative problem solving skills
- Ability to communicate and work efficiently in high-pressure situations while meeting deadlines throughout the trading day/settlement cycle
- Strong interpersonal skills and ability to effectively interface with various levels of management
24
Associate / Trading Operations Analyst Resume Examples & Samples
- Responsible for preparing, reviewing and maintaining the data, process information, associated reports and analysis of related energy- retail/trading activities
- Interact with ER&T, Energy Solutions and dedicated support functions to ensure cross functional process, control, and dependencies are documented
- Maintain internal applications, reports, and tools used for the performance of the commercial/retail operations activities such as SharePoint, Aligne (Deal Capture System), third party vendor and/or other related applications
- Work with key internal and external partners
- Assist with special projects that would require implementation, external assessments, and integration of new business activities, etc
- Research regulatory and policy implications, identify problems and proactively resolve and partner with colleagues to seek long term sustainable solutions process
- One year experience in a trading environment, internal auditing, compliance/process improvements, or with regulatory reporting
- Two to five years’ experience in an energy retail organization, trading environment, internal auditing, compliance/ regulatory reporting
- Strong understanding of energy (electric) retail/commercial compliance, physical energy commodity trades
- Self-starter requiring no supervision
- Ability to perform detailed analysis and convert analysis into a meaningful summary
- Excellent organizational skills, ability to prioritize work
- Ability to work effectively on multiple assignments simultaneously. Flexible and able to adjust to changing priorities
- Excellent interpersonal skills and ability to work effectively in a team setting
- Willing and able to perform other duties as required and learn new processes and technologies
- Master’s Degree
- Solid experience of ISO markets for PJM and NYISO
- An understanding of retail compliance requirements (i.e. PJM, NYISO, State & Federal agencies, etc)
- Experience with Internal/External audit
- Advanced Microsoft Office and other business applications
25
B Associate Trading Operations Anl Resume Examples & Samples
- Responsible for preparing, reviewing and maintaining the data, process information, associated reports and analysis of related energy trading activities
- Interact with ER&T and dedicated support functions to ensure cross functional process, control, and dependencies are documented
- Maintain internal applications, reports, and tools used for the performance of Trading Operations activities such as trader limit monitoring tool, SharePoint, Aligne (Deal Capture System), Open Exchange Position tool and/or other related applications
- Work with key internal and external partners. These partners include internal/external audit, senior management, and other group functions outside of ER&T
- Research complex trade issues and identify problem, proactively resolve and partner with colleagues to seek long term sustainable solutions process
- Two to five years’ experience in a trading environment, internal auditing, compliance/process improvements or with regulatory reporting
- Strong understanding of physical and financial energy commodity trades
- Must be a self-starter; possess good planning, organization, and communication skills
- Effectively work with stakeholders with differing opinions and with cross-functional teams to support ER&T business. and operational objectivities
- Solid understanding of front, middle, and back office business and operational risks impacting an energy marketing function
- Proficient in handling multiple concurrent projects and deadlines
- Candidate must foster an inclusive work environment and respect all aspects of diversity
- Successful candidate must demonstrate and value differences in others' strengths, perspectives, approaches, and personal choices
- Experience with FERC EQR and 552 reporting
- An understanding of the ISO markets for PJM, ISONE, and NYISO
- Experience with Internal/External auditing of energy trading organization
26
Trading Operations VP-institutional Securities Group 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
- Working with trading desk, sales, and other operations group to ensure proper trade processing and reporting
- Working with the trading desk, Chief Operations Officer (COO) team and other infrastructure groups to support business initiatives and testing
- Managing stakeholder relationships across the business unit
- Assisting on any issues, and providing timely escalation to desk and operations senior management
- Identification and implementation of continuous improvements to systems and processes to improve efficiency and controls
- Recruiting and developing talent
- Risk awareness, escalation and responsive attitude
- Proven trouble-shooting and problem solving skills
- 7+ years of experience in Institutional Securities Operations, ideally including derivatives, exchange cleared products and commodity products
- 3+ 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
27
Share Trading & Operations Assistant Resume Examples & Samples
- Stock Transfer Administration Tasks. (Start to Finish)
- Stockbroking Corporate actions
- Dividend Posting and Reconciliations
- Middle office reconciliation
- CFD Corporate Actions
- Running Reports
- General Administration Duties
- 12 months experience working within a Financial Services company
- Knowledge of share trading
- Experience of producing reports for management
- Knowledge of Stock Transfer Processes
- Knowledge of Dividends
- Knowledge of Middle Office
- Excellent organisation skills
- Intermediate to Advanced level Microsoft Excel
- Strong accuracy and attention to detail
- Excellent communications skills – particularly written and verbal communication
- Flexible and logical in approach with an ability to remain calm under pressure
- Friendly, outgoing personality who is self motivated, pro-active and communicates effectively at all levels - both in writing and orally
- Works well on their own and is a self-starter
- Works efficiently under pressure, with good organisation and time management skills
28
Trading Operations Specialist Resume Examples & Samples
- Operational and Regulatory Change: Delivery of optimal design solutions via thorough operational business analysis, creating business specification documents for prioritisation and delivery
- Solutions Delivery: Own the implementation of your solutions in partnership with: operations, technology, front office and business support functions. This is a hands-on role where you will own elements of the build yourself and is not limited to project management
- Business Process Modelling: Produce clear and reusable documentation including operational and technological components of Man Group's architecture
29
Trading Operations Associate Resume Examples & Samples
- Overseeing the allocation process for the Swap products on a T0 and T+1 basis
- Resolution of trade and settlement fails
- Validating trade input by the desk and escalating issues appropriately
- Overseeing the trade review processes within the ESTS remit
- Operational Risk Reconciliation
30
Trading Operations Specialist Resume Examples & Samples
- Oversee metrics reporting for across asset class
- Conduct control meetings with line managers to review Aged Breaks, Cancel and Corrects and other elevated KRI reporting
- Host discussions with Silo management to draft the Monthly Trading Ops Risk Pack
- Analyze the reporting process, suggesting solutions for creating efficiencies in producing reporting as well as developing new or additional reporting that may be more relevant as requirements and industry change
- Identify, enhance, and ensure consistency in controls performed by teams thru peer analysis and review of RCSAs annually
- Generate ad-hoc reporting as needs arise, for operational workflow use, management, Regulatory Inquiries, and risk reporting
- Conduct Ad-hoc analysis of specific processes and controls as directed by the Global Risk Manager and present result to Trading Ops management describing current status and relevant mitigating actions
- Ability to manage and coach resources - workloads, training, ad-hoc requests
- Ownership of complex investigations & project roles
- Self-motivated individual who is able to build strong relationships and networks
- Analytical thought process to review output for accuracy
- Ability to challenge seniors when reporting request needs clarification to avoid delays or incorrect metric publication
- Microsoft Word
- Knowledge of Trading Operations and/or Derivatives Products
- Knowledge of MS systems
31
Trading Operations Risk & Metrics Associate Resume Examples & Samples
- Prepare metrics reporting for across asset class
- Review KPR & KRI reporting and conduct discussions of elevated items with senior management in line teams. Gather and present draft data for review prior to submission to end user partners in Audit, Legal & Compliance and the BU
- Engage in control meetings with line managers to review Aged Breaks, Cancel and Corrects and other elevated KRI reporting
- Prepare a draft of the Monthly Trading Ops Risk Pack
- Assist in creating a framework to ensure appropriate oversight and supervision is being conducted across Trading Ops
- Improve risk indicators and metrics, perform incident analysis, address root causes, increase awareness and instill ownership and accountability, developing partnerships and developing best practices within Trading Operations
- Prepare Ad-hoc analysis of specific processes and controls as directed by the Global Risk Manager describing current status and relevant mitigating actions
- Attention to detail while under time pressures
- Strong communication and presentation skills- verbal and written
- A can do attitude to resolve challenges and in times of peak demand
- Ability to establish requirements on reporting request and seek clarification to avoid delays or incorrect metric publication
- Microsoft PowerPoint - Competent creating slides
- Past Risk or Metrics experience
32
Trading Operations Specialist Resume Examples & Samples
- Lead of team of 6; Partnering closely with the Trading and Sales to provide the first level of control and escalation
- Responsible in ensuring that the trade bookings are correctly reflected in the trading risk systems and tie out with the Counterparty
- 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
- Responsible for ensuring current controls are enforced, manage critical projects or process improvements with IT and Projects Groups
- Analyze and break down ambiguous or complex issues into concrete deliverables and takes responsibility for ensuring deliverables are met
- Effectively manage the control environment by balancing risk with commercial opportunities
- Develop and provide management and supervisory oversight of the processes conducted by the team
- 5 + years of experience in the financial industry
- Ability to evaluate and identify areas of risk across the organization. Identify and implement best practices and in some cases help shape the risk and project agenda
- A willingness to engage in a wide range of issues at all levels of detail will be vital
- Ability to communicate effectively and confidently across all levels. Ability to confidently face off to senior management across divisions
- Good project and modeling skills to represent information in graphical forms that enhance decision-making and communications
- Ability to multi-task in a high intensity environment
33
Trading Operations Associate Resume Examples & Samples
- Work with trading desk, sales, and other operations group to ensure trade processing is accurate
- The products supports are Flow and Structured Credit Derivatives
- 2+yrs relevant work experience
- Strong analytical and numerical skills (basic understanding of the Greeks)
- Self-starter and leader
- Multitasking with good attention to detail
- Meet tight deadlines
- Innovative thinker
34
Trading Operations Associate Resume Examples & Samples
- 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
- 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
- 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
- Require 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
- Daily deadlines are inflexible and the candidate should be organized to ensure the team meet all deadlines. The role requires the sharing and discussing of knowledge and information between the Trading, Sales, Settlements and Confirmations groups
- Superior communication skills (verbal and written) required. Role is in constant communication with the front office, clients and many departments within the bank. Be accurate, knowledgeable and professional in all dealings with whomever you may meet
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Trading Operations Analyst Resume Examples & Samples
- Series 7 (or ability to obtain within the first 6 months)
- Complete 3-5 hours of Investing in You Training
- Excellent interpersonal and oral/written communication skills
- Knowledge of Microsoft Office products
- Organizational and well-developed analytical skills
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Trading / Operations Analyst Resume Examples & Samples
- Minimum 2 years' experience with an investment management firm, hedge fund, or Broker Dealer
- Series 7 required (55 required within 90 days)
- Minimum 2 years of experience using Microsoft Office applications
- Bachelor's degree required, (Accounting, Business, Finance preferred)
- LI-KB1
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Trading Operations Manager Resume Examples & Samples
- Develop team members through coaching, career planning, and mentoring
- Strong focus on the clients and client experience
- Effectively operate in a high-risk environment that is deadline driven; ensure department meets all audit and regulatory standards and requirements
- Drive efficiencies and reduce turnaround times through continuous improvement and reduced hand-offs
- Focus on quality and productivity to deliver consistent and optimal results; meet or exceed all SLAs
- Work directly with business partners to identify business development opportunities, platform enhancements, and continuously improve the client experience
- Support and regularly deliver metrics and volume, staffing, trend reporting that is meaningful and helps guide future direction of the team and our business
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Trading Operations Associate Resume Examples & Samples
- Understanding risk implications of fixed income operations role
- Ensuring all functions and procedures are performed in a timely and correct manner, i.e. trade checkout, position reconciliation, wash account reconciliation
- Working with trading desk, sales, and other operations group to ensure trade processing
- Assisting on any issues, and providing timely escalation to desk and operations management
- Strong communication skills, willingness to transfer knowledge is imperative
- 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
- 2-4 years experience within Fixed Income Operations
- Fixed Income Securities Knowledge (Rates, Credit, EM)
- Experience with Metric and Data Analysis
- Understanding of Regulatory framework for Fixed Income Securities
- Active within the industry; Understanding of key Fixed Income Organizations
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Trading Operations Associate Resume Examples & Samples
- Management of Equity Swap and related hedges life cycle events, including trade amendments, corporate action and dividend events and allocations (control and client service)
- Transaction reporting - SEC and CFTC (control)
- Risk to B&R reconciliation and issue resolution (control)
- Responding to trading desk and client requests (client service)
- Previous trade support experience
- Previous experience of OTC derivatives with equity swaps experience preferable
- Previous experience of corporate actions and dividends
- Responsiveness to queries and understanding of escalation requirements
- Understanding of trade settlement
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Trading Operations Analyst Resume Examples & Samples
- Support the activities of Trading Operations team and facilitate the timely and accurate analysis, execution and reporting of daily trades
- Reviews and analyze client portfolios and orders
- Monitor existing positions and identify exceptions to portfolios and orders
- Perform post-trade functions including confirmation and allocations
- Monitor and process certain trades through order management system
- Preparing, validating and organizing investment data using company proprietary databases and financial models
- Coordinate with the Investor Group, Treasury, Accounting and Finance staff responding to information and data requests, facilitating trades, providing input for reporting, validating trading activity
- Facilitate all operational responsibilities associated with Loan / Note transfers
- Other department projects and operational duties as they arise
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Equity Trading Operations Analyst Resume Examples & Samples
- Wash/Omni account reconciliation
- Manage all back office settlement and control processes
- Process end of day trades and run end of day reconciliation
- Confidence
- Knowledge and experience with Compression activity (e.g. Tri-optima exercises) and clearing would be beneficial. The candidate has to be comfortable with moving and modifying large portfolios of risk around accurately and be cognizant of downstream implications too
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Trading Operations VP-institutional Securities Group Resume Examples & Samples
- As the manager of IRD Flow TSG you will be working closely with the Front Office to provide the first level of control for the Interest Rate Derivative Trading desks
- Responsible for offering the first line of defense for the Trading desk's franchise risk and risk in ensuring that the trade bookings are correctly reflected in both Front and Back Office systems and tie out with the Counterpart
- 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 and ensuring that Risk and P&L are good on Trade Date
- Responsible for Run the Bank processes ensuring current controls are enforced and change the bank processes 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
- 7+ years in an investment bank or equivalent financial institution (buy-side)
- You will need diplomacy and accuracy in dealing with Traders, Brokers, Sales people and focus clients
- 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
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Trading Operations VP-institutional Securities Group Resume Examples & Samples
- Supervision of the broader Americas team and BAU processes
- Identification of process improvements, both strategic and tactical
- Involvement in Performing New Product Due Diligence
- Liaising with the Business Unit and New Product groups
- Identifying and mitigating control gaps; popularizing issues globally in order to ensure consistency
- Excellent understanding of the control environment and the ability to escalate issues promptly
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Trading Operations Specialist Resume Examples & Samples
- Supporting the FX Trading and Sales desks (Client base is comprised of Interbank counterparties, Corporate, Hedge Fund, Central Bank and Asset Management businesses located globally)
- Responsible for all FX trades transacted on behalf of other businesses such as Equities, Private Wealth Management, Commodities and Interest Rates
- Supervising a team and ensuring all risk is fully monitored and mitigated throughout the FX trade flow from front to back. This involves working with Sales and Trading on trade capture, allocations, give-ups and amendments
- Interaction with Sales and Trading so the ability to communicate with confidence is essential. Risk is directly touched in front end trading systems so attention to detail is vital
- The position will also involve supporting Regulatory Reporting exception management and reconciliation which is a new industry initiative that was introduced under the recent Dodd Frank legislation. Exceptions will need to be investigated and resolved in a timely manner and in some cases will need to be resolved within 30 minutes to avoid accruing non-compliance fines from the regulators. The current team works closely with Trade Assistant teams in both London and Hong Kong
- Leadership qualities, ability to lead others and keep a high performing team motivated and focused
- Able to manage others by developing them professionally with their job skill and helping them to manage their career development/ goals
- Preferred candidate with Foreign Exchange product knowledge, Options, vanillas and exotics
- Ability to drive automation and improvements
- Superior Client Service skill set
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Equity Trading Operations Associate Resume Examples & Samples
- Transaction reporting - EMIR and CFTC (control)
- Point of contact for the Equity swaps business for other operations areas e.g. Settlements, Corporate actions, Client money, Confirmations, Finance (client Service and control)
- Supporting new trading initiatives. Proposing and implementing new processes and system enhancements, working with the project team and IT as necessary (change management)
- The successful candidate will be expected to prove the majority of the following skills and to be capable of quickly learning the remainder
- Equity swaps product knowledge
- Equities product knowledge
- Knowledge of accounting and books and records
- Good spreadsheet skills
- 1 or more of the following
- Experience of OTC derivatives with equity swaps experience preferable
- Experience of corporate actions and dividends
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Trading Operations Change the Bank VP-institutional Securities Group Resume Examples & Samples
- 7 to10 years of experience in Change Management, Project Management, or Operations project experience in derivatives environment
- Strong analytic and problem solving skills; ability to learn quickly and deal with ambiguity
- Self-starter and highly motivated; ability to work individually and within a team
- Ability to work within tight delivery timeframes
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Trading Operations Analyst Resume Examples & Samples
- Strong communication skills, comfortable working with senior management and trading desks
- Team player, must be able to collaborate across multiple operational areas
- Multi-tasking and time management skills are critical
- Works well in a time sensitive environment
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Trading Operations Associate Resume Examples & Samples
- Strong PC skills (Access, Word and Excel)
- Strong organizational and problem solving abilities
- Ability to work as a team player in a sometimes hectic environment
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Derivative Trading Operations Resume Examples & Samples
- Excellent verbal and written communication skills in Japanese Business Language
- Dedication on getting the job done
- Ability to work through and close out issues
- Strong analytical and interpersonal skills
- Commitment to strong work ethics and significant leadership potential
- Ability to work through and close out problems
- Further education in related financial discipline an advantage
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Trading Operations Specialist Resume Examples & Samples
- Efficiently and accurately verify the settlement calculations for structured Electricity and Natural Gas settlements
- Timely resolution of settlement disputes
- 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
- More than three years of experience in financial industry
- Ability to Multitask
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Global Equity Trading Operations Analyst Resume Examples & Samples
- Determine the amount of rebates to be paid to clients or fees to be charged
- Validate invoices by comparing raw data against similar data generated by the dbCAT system and the SQL database
- Send invoices to the clients for charged fees via email or using the FTP
- Receive, research and respond to all clients email queries
- Interact with various teams on invoices, rebates, payments, postings and DB Equity Pricing and Charges Model
- Latin American market charges and commission revenues processing
- Option exchange allocations
- Work with the DB Cash Management teams to ensure that all payments or client rebates are captured and placed into the appropriate ADP account
- Track all invoice activities via MS Access database
- Provide monthly reconciliations and MIS reporting for all pertinent activities in the invoicing and payment processes
- Provide front line support for all stakeholder inquiries included but not limited to the P&L, BAC, Front Office and Middle Office teams
- Process Payment for Order flow
- Dark Pool Collections and MIS
- Bachelor’s Degree preferred in Business, Finance, Accounting or Economics. Alternatively, 1-2 years of experience in the finance industry is required
- Strong PC skills to include experience with MS Excel
- Thoroughness and attention to detail
- Ability to work in a team environment in order to achieve group targets
- Excellent organizational skills
- Excellent communication skills with external clients and internal contacts
- Good analysis and problem solving, workflow and process re-engineering skills
- Accurate, thorough and highly responsible with good attention to detail
- Understanding the risk behind transactions to be able to escalate to the proper channels for time sensitive resolutions
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Trading Operations Change The Bank-institutional Securities Group Resume Examples & Samples
- Creation of materials for project charters, governance models, workstream structures, key dependencies, risk logs etc
- Management of work plan development, requirements collection, issues, risks and scope changes throughout all phases of the projects
- Working with stakeholders to prioritize work and drive milestones to completion
- Project plan tracking and status reporting
- Develop and execute test plans including documentation, tracking, issues management, status reporting
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Trading Operations Specialist Resume Examples & Samples
- As a member of Equity Derivative Trade Support Group, the individual will be working closely with the Front Office to provide the first level of control for the North America Exotics Derivative Trading desks
- Responsible for offering the first line of defense for the Trading desk's franchise risk and risk in ensuring that the trade bookings are correctly reflected in both Front and Back Office systems and tie out with the Counterparty
- Guardian for the bank; responsible for monitoring the integrity of the Firm's risk by ensuring that all trades are confirmed promptly
- 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
- More than five years of experience in financial/banking industry
- Ability to supervise day to day activities of the team
- Perform business analysis needed to create proposals for scalability, team fungibility, depth and efficiency
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Trading Operations Associate Resume Examples & Samples
- Billing out of pocket expenses on co-managed deals
- Request initial expenses estimate from Banking team
- Recover prior year client written off expenses for each deal and update business development file
- Update each client job in SAFIRE (expense tracking database) with deal information
- Identify Lead/Co-Managers and e-mail out of pocket request with deadline
- Update SAFIRE comments with expense accruals
- Update payable excel files with deal info and payable balance
- Research and obtain copies of receipts for expenses incurred on deals to provide to the issuer for reimbursement of expense. For certain receipts such as legal they can be obtained in Web based application search. Other invoices involves asking the relevant assistant to provide the copies of the receipts
- Input deals information into a new issues mainframe database
- Process daily ad hoc expenses request initiated from GCM or Investment Banking
- Reconcile intra-company and facilitation account balances
- Prepare monthly billable file on 6th business day for both debt capital markets & equity capital markets
- Reverse Safire provision in GL to avoid duped provisioning for same client
- Follow-up with coverage bankers for billing / write off expenses for unsuccessful, on hold, active deals
- Write off expenses in Safire below the line following appropriate BU Risk approvals
- Liaise with billing team in Budapest for invoicing expenses
- Daily monitoring of three sets of cross company accounts used for Morgan Stanley medium term note issuance and redemption; responsibilities include identification of cause of break, chasing the accountable area for resolution and escalation of any aged items
- Understanding of basic accounting principles, specifically regarding payables, receivables and expenses
- Should have a sense of potential risk areas with regard to accounting and expense management
- Superior oral and written skills
- Strong knowledge in MS Word/Excel/Access
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Trading Operations Specialist Resume Examples & Samples
- Minimum of one year of operations experience
- Superior interpersonal and communication skills
- Ability to work as a team player in a fast-paced environment
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Collateral Management Derivatives Trading Operations Resume Examples & Samples
- Experience on ISDA Confirmations and Definitions will be an advantage
- Strong understanding of risk and economic discrepancies
- Ability to work with colleagues in other locations, maintain communication and build rapport with these colleagues
- High level of attention to detail
- Ability to provide high levels of client service (internal & external)
- Ability to multi-task, prioritize and manage daily workflow
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Trading Operations Associate Resume Examples & Samples
- More than three years experience
- Relevant Change Management, Project Management experience in derivatives environment
- Can work well with ambiguity by quickly adapting behavior and work methods to adjust to multiple demands and shifting priorities
- Ability to work within tight delivery deadlines
- Project Management certification preferable
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Trading Operations Associate Resume Examples & Samples
- Overseeing the trade review processes
- Ability to translate existing skills in a new environment
- Lateral thinking; recognizing opportunities for system/process improvement
