Middle Office Operations Resume Sample
Alysson DuBuque
3701 Violette Underpass,
Dallas,
TX
+1 (555) 349 8807
Work Experience
Middle Office Operations Account Manager
08/2015
-
PRESENT
Los Angeles, CA
- Work with projects teams within RBWM and AMCA in relation to product development initiatives and infrastructure changes
- Build strong relationships with HPWS front office, AMCA back office operations, Compliance and Risk to deliver high quality service to all clients
- Able to prioritise and focus on the most urgent and important task
- Interpret monetary requests to determine the correct course of action. This requires an understanding of the high net worth client’s goals and objectives as well an understanding of SEI’s guidelines and procedures
- Develop an in-depth understanding of the IRS retirement account processing rules as they relates to IRA’s and Qualified Plans
- Knowledgeable of Middle Office/Investment Operations’ policies and procedures, including but not limited to: trade support, cash management, transfer agency, MIS reporting and on-balance fund operations
- Build long-term collaborative relationships with key Investor Services clients and act as trusted advisor on operational matters
- Establish appropriate local governance and feedback processes to ensure full transparency around client needs and issues
Middle Office Operations Manager
09/2010
-
02/2015
Boston, MA
- Proactively manage our clients through the provision of excellent customer service taking action to anticipate client needs where appropriate
- Take ownership of complex cross function service issues as it relates to Middle Office Operations
- Be a client advocate within Operations
- Lead client service reviews and Due Diligence Visits with respect to Middle Office operational performance
- Focus on improving and maintaining high client satisfaction scores within Middle Office
- Learn all facets of the Middle Office Operation including new account set-up, distributions, receipts, trade processing, model changes, non-monetary account changes and monetary requests which include detailed multi-step processes. Maintain the highest level of confidentiality, quality and privacy
- Provide customer focused resolution with ‘outside the box’ solutions
- Maintain knowledge of E TRADE policies and procedures
Global Middle Office Operations Manager
06/2007
-
05/2010
Phoenix, AZ
- Superior client service proficiency including excellent communication skills (verbal, written and listening)
- Reconcile international equities, options, CFD’s, fixed income products, Repos, FX and FX Derivative transactions, Futures, and other derivatives on a daily basis prior to the market close
- Assist in reconciling Asian/European FX, Futures, and actively traded swap trades daily
- Verify and reconcile all positions back to the Prime Brokers
- Follow up and ensure settlement of all European trades
- Coordinate between Portfolio Managers/traders and outside counterparties (Prime Brokers, Trading, Sales, Settlements, Client Service, Risk, Treasury, Legal and Compliance) to resolve trade related issues in a timely fashion
- Review and Process European voluntary and mandatory corporate actions and interface between PBs and the Trading desk on position implications
- Help monitor and reduce foreign currency exposure that is attributed to PnL, exposure on ADRs, and dollarized swaps by executing FX transactions
- Middle Office Trade Support - Working with portfolio managers/traders on trade bookings, trade verification, corporate actions, PnL as well as technology and legal related issues
Education
University of Mount Union
2002 - 2007
Bachelor's Degree in Finance
Professional Skills
- Strong time management skills coupled with the ability to efficiently prioritize
- Accounting Skills: Previous experience on NAV’s is essential. Part qualified/qualified accountant would be desirable
- Superior time management and organizational skills. Ability to manage multiple tasks, prioritize work and meet tight deadlines
- Great problem-solving/trouble shooting skills
- Strong knowledge of the direct lending business and experience with Middle Market CLO’s
- Effective project management skills as evidence by successful project implementations
- Two years experience successfully leading/managing a team and providing an engaging, productive work environment
How to write Middle Office Operations Resume
Middle Office Operations role is responsible for finance, credit, securities, trading, equities, reporting, government, software, bloomberg, windows.
To write great resume for middle office operations job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Middle Office Operations Resume
The section contact information is important in your middle office operations resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Middle Office Operations Resume
The section work experience is an essential part of your middle office operations resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous middle office operations responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular middle office operations position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Middle Office Operations resume experience can include:
- Assist clients in daily middle office operations tasks in an effective, timely and accurate manner conforming to SAS 70 requirements
- Ensure effective handoff of data and reconciliations to Fund Administration team and other parties as required
- Experience with revolving loan facilities
- Managing Securities Data Maintenance during European hours including setting up new securities for various asset types
- Confirming processing of corporate actions with client and Prime Brokers
- Confirming positions for our client
Education on a Middle Office Operations Resume
Make sure to make education a priority on your middle office operations resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your middle office operations experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Middle Office Operations Resume
When listing skills on your middle office operations resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical middle office operations skills:
- Actively contribute to Company’s daily workflow and implement changes effectively when required
- Experience with various types of loan facilities, including delayed draw and revolving loan facilities
- Previous experience implementing controls and improving processes
- Experience performing Indenture or 40 Act compliance testing for leverage loan portfolios, preferably in the BDC space
- Strong knowledge of the direct lending business
- Strong knowledge of ABS, CMBS, CLO Equity and/or private asset backed lending
List of Typical Experience For a Middle Office Operations Resume
1
Experience For Middle Office Operations Account Manager Resume
- Working with HFMO teams across globe to leverage expertise/time zones
- Work directly with trade ops, Fund Accounting and Technology in establishing governance and managing deliverables, including T deliverables as required
- Prepare reporting for management and Client relating to middle office activities including
- Manage daily trade flows and reporting around bank loan servicing
- Disseminate transaction details to our clients’ third parties (Fund Administrator, Prime Brokers, matching service providers, clearing houses etc.)
- Handle and record on behalf of our client all communication and queries arising from any third party
- Responsible for operating in a controls environment Manage Client relationships
2
Experience For Middle Office Operations Manager Resume
- Other metrics reporting as required
- Ensure trades load into our middle office platform from client’s front-office system
- Manage securities origination and verify manually created OTC security masters
- Process corporate actions such as: dividends, stock splits, mergers and acquisitions
- Confirm transactions details with counterparties
- Full reconciliation of loan credit activities
- Report and resolve identified breaks and settlement issues as they arise
3
Experience For Middle Office Operations Analyst Resume
- Process and record on behalf of our client the transaction life cycle events and report to our client all such events and each transaction's status
- Development and management of offshore staff to meet key client deliverables
- Position, Cash flow reports, daily profit and loss reports and counterparty reports on a daily basis
- Positions, market values, trade activity, trade breaks, aged items breaks on request
- Working closely with the trading desks, timely input and accuracy of trades to facilitate entry into the Bank’s settlement, accounting and financial reporting applications
4
Experience For Wealth Management Credit Middle Office Operations Resume
- Working with middle office teams across globe to leverage expertise/time zones
- Agree Trade Fees and coupons/cashflows on the trade population with Counterparties by settlement date
- Perform Daily CFD Trade Reconciliations and OTC Position reconciliations
- Work directly with the Middle Office Change team on new fund implementations, change requests and projects
- Ensure trades are reported in line with the European Markets Infrastructure Regulation (EMIR)
List of Typical Skills For a Middle Office Operations Resume
1
Skills For Middle Office Operations Account Manager Resume
- Buy-side operations/trade support experience with one or two asset managers
- Relevant operations experience in the structured credit and loan space
- Relevant operations experience in the bank loan space
- Results: Meet internal and external requirements demonstrating ability to operate on initiative in a controlled environment
- Understanding of product life cycles and how P&L is driven
- Advanced expertise using Microsoft Office Applications
- Familiarity with Rating Agencies (Moody’s, S&P, Fitch)
- Wide product knowledge: corporate and government bonds / equities / options and futures / CDS and CDX / bank debt / Exotic OTC Derivatives / Repo / Interest Rate Swaps and Swaptions / Credit Options / FX / CMBS and RMBS
- Prioritize and escalate out of both their necessity and subjective nature
2
Skills For Middle Office Operations Manager Resume
- Relevant operations experience in the bank loan space
- Demonstrated ability to solve problems and interact directly with investment professionals
- Knowledge of Wall Street Office (WSO), Everest/Black Mountain and/or Geneva
- Knowledge of Wall Street Office (WSO), CDO Suite, Everest/Black Mountain and/or Geneva
- Work independently and creatively, and perform at a high level in a fast-paced, high pressure environment
3
Skills For Middle Office Operations Analyst Resume
- Capable of demonstrating and achieving Janney’s core values of delivering with integrity, being results driven, keeping people at the center, exceeding expectations and meeting the standards required of managers
- Knowledge of Wall Street Office software (Administrator and Reporting Module) and SunGard’s VPM software
- Knowledge of Securities: Need to know basics including: bank debt, equities, fixed income, standard derivatives and where to look for information on others. Knowledge on OTC’s a distinct advantage
- Familiarity with Rating Agencies (Moody’s, S&P, Fitch, DBRS)
- Knowledge of the mutual fund industry
- Knowledge of Securities, specifically OTC derivatives: Need to know basics including:, equities, fixed income, standard derivatives and where to look for information on others. Knowledge on OTC’s a distinct advantage
4
Skills For Wealth Management Credit Middle Office Operations Resume
- Five years of related experience in the financial services industry preferably in the Trading/Operations area with a strong track record of delivering a high level of service to business partners and clients
- Relevant experience in a financial institution or hedge fund
- The Middle Office team has responsibility for all processes relating to middle office services, act in partnership with HPWS PIM ICs and their CRM’s
- GCB 4 – 9 Ensure compliance with operational risk controls in accordance with HSBC and FIM requirements or regulatory standards and policies; and optimize relations with regulators by addressing any issues
- Interview, select and train new associates on Janney and Trading policies and procedures and facilitate and support an open dialogue among the team
- BS or BA in finance, business, math or related fields
5
Skills For Global Middle Office Operations Manager Resume
- Bloomberg or Reuters knowledge is preferable but not required
- Potential exposure to and involvement in Stock Loan functions
- Lead and manage a team of Middle Office Associates that achieve service goals/objectives. Specific supervisory tasks include but are not limited to
- Provide work direction to associates and coordinate workflow within the team
- Provide positive and constructive feedback to associates on their performance and development needs both on a routine basis and through annual performance reviews
- Address and manage performance concerns in conjunction with Operations Management and Human Resources
6
Skills For Middle Office Operations Specialist Resume
- Participate in strategic and operational decision-making related to Capital Markets Operations including the development of short- and long-term goals/objectives to improve overall service to sales and trading personnel
- Proactively recommend innovations and modifications in line with industry requirements and corporate goals/objectives to improve operational processes, systems, policies and procedures
- Organize/execute department projects on time and within budget that includes writing business requirements
- Ensure compliance with all relevant regulations associated with trading functions (FINRA; SEC; MSRB; Janney Policies)
- Review, analyze, and enter client information and transactions into multiple systems including Trust 3000, NxAS, Trust Office and Filenet Imaging Systems in order to fulfill monetary and non-monetary requests for high net worth client accounts
- Learn all facets of the Middle Office Operation including new account set-up, distributions, receipts, trade processing, model changes, non-monetary account changes and monetary requests which include detailed multistep processes
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