Securities Analyst Resume Sample
Phyllis Hauck
573 Myah Station,
Philadelphia,
PA
+1 (555) 632 1201
Work Experience
Securities Analyst Senior
11/2015
-
PRESENT
Houston, TX
- The developers on the team gather the requirement for automation of any manual processes followed by the various teams in the CHFS
- The developers analyze the requirements and suggest implementation of solutions in the requisite technology depending on the usage structure of the application, database or the EUC
- Once the end user confirms the implementation the users develop the solution, test the same and roll out the same for UAT
- Once the end users confirm testing of the solution the same are moved into production
- All the EUCs and solutions have a version control system built into them to ensure proper entitlement and tracking of the same
- The team also handle any change or update requests that are received for the EUCs built by the onshore or offshore team
- Assists with the preparation of annual investment and treasury reports
- Purchases securities in accordance with the County's investment policy
- Assists in the maintenance of investments within policy guidelines
Securities Processing Analyst
05/2013
-
07/2015
Detroit, MI
- Maintains detailed records of regular reports
- Provides analysis and recommendations with the investment of County, schools, and special district money
- Assists in the assembly of cash flow estimates
- Compiles and analyzes data for investment reports and financial statements and risk reports
- Recommends interpretations and applications of governmental codes and regulations, and of County investment policy guidelines pertaining to the investment of public funds, as well as, ways to control risk exposure
- Assists in the preparation of investment transaction reports and maintenance of quarterly investment reports
- Performs analysis and makes recommendations on a broad spectrum of specialized administrative and program-related problems
- Performs management analysis work in the development and improvement of management policies and plans, and other management functions
Securities Analyst, Structured Securities
09/2009
-
03/2013
Boston, MA
- Presents verbal and written reports to departments and County management and boards and commissions as necessary
- Directs, coordinates, and reviews the work of subordinate staff
- Preparation of reversals / corrections Control on future trades that have already been booked (pre-matching)
- Process reversals / corrections
- Check & reconciliation of open items
- Conducting projects and UAT tests related to the unit’s process
- Preparing monthly KPI and MCA results
- Engage in updating written procedures for all of the team’s responsibilities and actively monitor that these are adhered to
Education
Globe University / Minnesota School of Business
2004 - 2008
Bachelor's Degree in Accounting
Professional Skills
- Prior experience in corporate security-collateral management / Strong experience of credit analysis in a global bank
- Communication skills – good communication skills
- Excellent analytical and problem solving skills; ability to identify, research, and resolve issues involving data, processes and systems
- Possess strong analytical, problem solving and decision making skills
- Excellent computer skills including all Microsoft applications, mainframe applications, and web based programs
- Excellent written and verbal communication and good interpersonal skills
- Having prior working experience in VBA and SQL
How to write Securities Analyst Resume
Securities Analyst role is responsible for mainframe, credit, finance, securities, security, equities, reporting, research, modeling, insurance.
To write great resume for securities analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Securities Analyst Resume
The section contact information is important in your securities analyst 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 Securities Analyst Resume
The section work experience is an essential part of your securities analyst 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 securities analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular securities analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Securities Analyst resume experience can include:
- Opportunity for self development within a growing area with a strong pipeline of growth across both new and existing clients
- Relevant working experience in Securities & Funds Services Operations role within a Bank
- Good knowledge of securities administration and clearing for International Markets as an additional asset
- Good understanding of various instruments of a capital market as an additional asset
- Work under pressure and multitask with excellent attention to detail
- Analyze robustness and effectiveness of current models and make recommendations for improvements in methods or factors
Education on a Securities Analyst Resume
Make sure to make education a priority on your securities analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your securities analyst 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 Securities Analyst Resume
When listing skills on your securities analyst 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 securities analyst skills:
- Experience in accounting, preferably Private Equity fund accounting or fresh qualified account (CA, CPA, CWA, ACCA)
- Excellent understanding of the end-to-end Equities Securities Flows particularly Finance and P&L
- Work experience in a financial processing environment is required
- Working experience in Operations role within a Bank
- Good business judgement, knowing when to escalate, who to keep informed, ability to identify appropriate next steps/resolution
- Cooperate with financial market stakolders aimed at accurate and timely matching and settlement of clients’ trade instructions
List of Typical Experience For a Securities Analyst Resume
1
Experience For Securities Processing Analyst Resume
- Working knowledge of trade processing flow
- Understanding of or interest in US financial markets
- Timely updating of the pending records as well as maintaining audit trails for all follow-ups done on cases is a very important part of this function
- High level of integrity and commitment to working in a changing and challenging environment
- Assist in monitoring all investment, accounting, and communications systems for consistency in reflecting firm wide decisions
- This role presents an opportunity to join Citigroup’s growing fund services business in Edinburgh
- To provide the vendors’ invoices check for further processing. To maintain the vendors documentation related to SFS business up to date
- Assist in implementing the company’s investment goals & strategies
- Settlement of clients’ orders placed with Fund Houses
2
Experience For Credit Risk & Securities Analyst Resume
- Nostro & depot breaks investigation and resolution
- Immediate follow-ups on failed trades are crucial to the success of our business
- The independent work requires a responsible and persistent character
- Securities transaction process in accordance with
- Accumulate and summarize investor activity from the funds’ investor services agent
- Attend to and follow up promptly on queries from front office and internal stakeholders – build on existing relationships with internal and external clients to provide an efficient and high quality service
- Participate and be involved in projects/initiatives to improve efficiency - contribute to strategic development of new systems and processes. Assist with testing and implementation of any relevant new systems, including migration of trades into strategic platforms
- Pro-active and highly motivated
- Co-ordinate provision of settlement information provided to customers by DCC Operations team in response to clients’ settlement related query
3
Experience For Securities Analyst, Structured Securities Resume
- Opportunity to work within a dynamic business in a large, varied and international operations environment
- Analyse and process credit security information, including making recommendation for renewal/replacement of appropriate security requirements, including LOC’s, Personal Guarantees, and Insurance
- Global settlements, global markets, or ADR product knowledge
- Work overtime occasionally as required to handle spikes in volume
- Analyze and maintain monthly quantitative equity models, buylists, and asset allocation programs
- Review and monitor current and prospective securities holdings, and assist Portfolio Managers with account management & perform ad hoc analysis as needed
- Assist Portfolio Managers with research, reports, and packages for use in client presentations
- Comprehend and apply statistical and quantitative methods
- Spreadsheet and presentation proficiency
4
Experience For HCM, Business Partner, Securities Analyst Resume
- Supervise ad hoc analysis and problem resolution for disclosure-related inquiries from securities investors, data vendors, and internal stakeholders
- Manage the production workflow for pool change requests. Analyze complex PCRs to ensure compliance with securitization policy and trust agreements
- Stay abreast of MBS compliance policy/SEC requirements. Work with management to adjust compliance operations as necessary. Develop a solid understanding of the business drivers and processes. Increase knowledge, competence and scope of responsibility to contribute to the goals of the MBS Program Office
- Supervise the ongoing evaluation, documentation, and improvement in the control environment. Implement changes to address risk and control gaps. Ensure that processes, policies, and procedures are current, documented, followed, maintained, and stored
- Collaborate with internal cross-functional teams; excellent written and verbal skills
5
Experience For Cib-scpp-institutional Equities Securities Analyst Resume
- A good understanding of a Market Data team’s internal and external customers
- 1-3 years work experience from areas like custody, investment funds, securities, brokerage and similar
- Process and validate of gain/loss vouchers and general ledger entries
- Working from reports, establish clients secured lending position
- Coordinate UAT testing and support platform development and technology enhancements for settlement functions
6
Experience For Securities Analyst Senior Resume
- Responsible for timely and accurate recording of case information
- Relationship Building
- Provide general customer service activities in support of Private Bank business, providing swift issue resolution and guidance in trade and settlement activities
- Liaise with Relationship Directors/Barclays Business Managers and Business Lending Telephony Team to ensure customer requirements are taken into account
- Monitor for responses from Coverage to determine next course of action
7
Experience For Trust Securities Analyst Resume
- Document action accurately and consistently to ensure automated processes endure
- Understand and apply operational rigor in accordance with Aide Memoire and documented procedures
- Cyber-security and Risk Management frameworks generally, with a specific focus on financial-related regulatory requirements and best practices
- Cyber-security risk metrics and measurement methodologies; and
- Business case and strategic plan development
- Analyzes financial viability and security attractiveness. Recommends specific security positions to portfolio managers
8
Experience For ADR Securities Analyst Resume
- Analyzes financial statements of individual securities and makes effective recommendations based on results. Runs securities analysis models and generates reports to support portfolio management and independently draws conclusions. Makes recommendations on valuations of specific securities within the sector or industry
- Highly motivated, hard-working
- Reviews industries and sectors with portfolio managers on relative valuation and makes generally accepted recommendations
- Investment policy guidelines
- Openness to new ideas
- Flexibility to work across a diverse range of projects (i.e. strong quantitative skills combined with aptitude for talent management initiatives) with different stakeholders (HCM and Technology teams across the firm’s global offices)
9
Experience For Intermediate Securities Analyst Resume
- Innovative thinker
- Project Management
- Supervise disclosure operations staff to ensure that daily and periodic at-issuance and ongoing disclosure activites are performed timely, accurately, and completely, and meet service-level agreements with investors. Train team members. Analyze discrepancies to determine root causes and report on issues that have significant impact to the corporation
- Supervise testing and data analysis for enhancements to the disclosure-related product and system initiatives. Develop project scope and requirements documents in accordance with Software Development Life Cycle requirements. Conduct project reviews to trace the scope and requirements through to technology solutions, schedules, and quality management plans
List of Typical Skills For a Securities Analyst Resume
1
Skills For Securities Processing Analyst Resume
- Possibility to acquire new skills and competences via participation in multiple trainings,
- Partner with functional HCM colleagues to ensure effective delivery of recruiting, training, global mobility and employee relation issues
- Service orientated, professional, proactive and strong client/business focus and accountability
- Accounting for and processing of client check deposits and other general cash processing activities
- Providing Level1 Support for EUCs existing/new EUCs
- Pursuing/completed CIPM (Preference – not mandatory)
2
Skills For Credit Risk & Securities Analyst Resume
- Ensuring the proper set up and receipt of physical securities with vault
- Knowledge of Corporate Banking and secured lending products
- Communication techniques required for gathering, evaluation, and transmitting information
- Support the HR Business Partner for one of the global sub-divisions within Securities, including responding to client requests
- Ability think strategically and assist is designing the architecture
- Knowledge of Business Banking Coverage function and teams
- Applicable requirements of state and federal laws, including regulations related to securities and investments
- Various fixed income instruments, including corporates, asset-backed securities, municipals, and bonds with embedded options
- Principles of employee supervision, training, and development
3
Skills For Securities Analyst, Structured Securities Resume
- Chance for a career evolution within SFE Processing Department
- Possibility to be a part of interesting projects and improvement initiatives apart from a daily process
- Proficiency using tools such as Access, Excel, and SQL
- Staunch ability and desire to deliver under pressure
- Awareness of various business scenarios and motivations
- Preferably MBA (any discipline), Post graduation
- Analyse information and determine best course of action
- Follow guidelines/Aide Memoires
4
Skills For HCM, Business Partner, Securities Analyst Resume
- Appreciation of customer service and operational support
- Tools and techniques used to measure and monitor risk and to understand relative value between alternative investment choices
- Personal computers, common office applications and financial software
- Economic issues which impact the price and yield of various investments
- Purchase and sale of securities at favorable market prices
- Analyzes financial viability and security attractiveness. Makes recommendations for specific security positions to portfolio managers. Serves as a subject matter expert in specific industries and/or sectors
5
Skills For Cib-scpp-institutional Equities Securities Analyst Resume
- Analyzes financial statements of individual securities and makes effective recommendations based on results. Designs and runs securities analysis models and generates reports to support the portfolio management effort and independently draws conclusions. Makes recommendations on valuations of specific securities within the sector or industry
- Deal effectively with staff, other departments and organizations, and the general public
- Reviews industries and sectors with portfolio managers on relative valuation. Directs special projects as needed
- Communicates research and performance of industries, sectors and securities to internal business partners and external clients
- Work under limited time constraints with daily responsibility for completion of tasks
- Reason logically and creatively and utilize a variety of analytical techniques to resolve complex and specialized problems
- Gain and maintain the confidence and cooperation of those contacted during the course of work especially in sensitive relationships with representatives of departments and other outside groups
6
Skills For Securities Analyst Senior Resume
- Plan, organize, and direct the work of subordinate staff
- Prepare and present logical oral and written reports
- Opportunity to use and acquire knowledge on Capital Markets and Financial Instruments such as Bonds, Derivatives, Money Markets, Equities,Opportunity to use technical knowledge of various investment instruments and markets (stock exchanges) and there effect on the portfolio's valuation,
- Possibility to be a part of interesting projects and improvement initiatives apart from a daily process,
- Opportunity to learn how day and night process looks like,
- Possibility to become a member of an international team,
7
Skills For Trust Securities Analyst Resume
- Opportunity to use and acquire knowledge on Capital Markets and Financial Instruments such as Bonds, Derivatives, Money Markets, Equities
- Opportunity to use technical knowledge of various investment instruments and markets (stock exchanges) and there effect on the portfolio's valuation
- Opportunity to learn how day and night process looks like
- Possibility to become a member of an international team
- Opportunity to use and acquire knowledge on Capital Markets and Financial Instruments such as Bonds, Derivatives, Money Markets, Equities,
- Opportunity to use technical knowledge of various investment instruments and markets (stock exchanges) and there effect on the portfolio's valuation,
- Work as part of a team, and also work independently
8
Skills For ADR Securities Analyst Resume
- Global mindset and ability to 'manage the matrix'
- Preference for action (a self-starter/shows initiative)
- Lead and provide oversight functions to junior team members
- Knowledge of the mortgage-backed-securities value stream(desirable)
- Knowledge of the mortgage-backed-securities value stream (desirable)
9
Skills For Intermediate Securities Analyst Resume
- Partner with the Business Partner team for Securities to facilitate and drive key people development processes for the division
- Help execute against all people development processes for the aligned sub-division including leadership pipeline, talent management, promotions, performance management, diversity, reporting and analytics on people related metrics and trends, year-end compensation, and organization reviews
- Help sub-division management team on key priorities, initiatives and day to day issues for the group
- Support initiatives relating to the Securities Americas region (e.g. region specific diversity initiatives, affinity network liaison)
- Partner closely with Employee Relations and the Employment Law Group as needed
10
Skills For Securities Analyst Resume
- Provide daily oversight of securities trade settlement functions handled though our various global and domestic trade teams handling trade settlement, transfer activities, monitor of OFAC, and risk mitigation
- Monitor and oversight of cost basis receive and remittance on asset receives and delivers
- Monitoring of trade settlement and asset receive and deliver fails and work closely with Private Bank Business partners with complex trade and transfer scenarios and provide guidance and solutions
- ADR and Mutual Fund Fee processing
- Process and validation of abandoned property requests and ensure the timely filing of unclaimed assets to respective states, work with partners in ICG to satisfy inquiries and requests for asset remittance
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