Securities Operations Resume Sample
Ima Emard
172 Botsford Freeway,
Phoenix,
AZ
+1 (555) 381 0761
Work Experience
Securities Operations Specialist
11/2016
-
PRESENT
San Francisco, CA
- Working experience in related fields e.g. Securities House or Int'l Custodian or Fund House Ops
- Experience of risk controls & procedures set up
- Senior Securities Personnel License is required
- CSD;s, ICSD’s and Global Custodians: authorized signors at CDS, DTC, BNYM, Clearstream Banking, Euroclear Bank, BNP, Deutsche Bank,
- Thorough knowledge of the Bank’s Securities Operations, Global Cash management, Credit / Risk Management, Regulatory and Legal areas
- Thorough knowledge of the Securities Operation’s services, policies, procedures, and related regulatory requirements
- Develop and maintain a co-operative relationship with other departments of the Bank, other banks/ correspondents / global custodians / depositories, etc.
Securities Operations Analyst
08/2012
-
05/2016
Dallas, TX
- Build and maintain a strong control & risk management environment. Ensure all risks, issues and control gaps are escalated appropriately as per daily procedures ensuring accountability is maintained until resolution
- Work experience preferably from middle or back office work. Operative experience from derivatives is meriting
- Position Job reports to: MD, Regional Head of SSO
- Communicate with internal and external partners. Ownership of outstanding items requiring follow-up and resolution
- Verify that the security masters on derivative holdings are accurate and reconcile against various sources
- Ensure that all income and position based transactions are booked accurately and timely
- Perform time-critical functions daily, which require gathering and verifying information from various sources in a fast-paced and high volume environment
Securities Operations Income Processing
04/2006
-
06/2012
New York, NY
- Review, analyze, and resolve any pricing exceptions on a daily basis to ensure accuracy and completeness in the security valuation process in a timely manner
- Differentiating, processing, and reconciling transactions
- Performing a variety of balancing tasks
- Able to handle critical production or escalation issues
- Act as liaison to other internal departments, including technology groups and external sources
- Provides department level reporting using multiple sources
- Create or revise departmental procedures
Education
California State University, San Bernardino - Palm Desert Campus
2000 - 2005
Bachelor's Degree in Finance
Professional Skills
- Strong organizational skills, attention to detail, and problem solving skills
- Excellent interpersonal, verbal and writing skills to effectively interact with people in and outside the Firm
- Excellent presentation, communication (orally and written) & influencing skills to all senior levels
- Possesses strong time management, organizational and relationship building skills
- Strong computer skills, with ability to learn and easily adapt to new applications
- Strong problem solving skills and a can-do attitude required
- Strong analytical, numerical and time management skills
How to write Securities Operations Resume
Securities Operations role is responsible for organizational, business, languages, microsoft, english, database, computer, cms, brokerage, python.
To write great resume for securities operations job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Securities Operations Resume
The section contact information is important in your securities 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 Securities Operations Resume
The section work experience is an essential part of your securities 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 securities 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 securities operations position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Securities Operations resume experience can include:
- Good communication skills, ability to interact efficiently with clients and effectively manage expectations
- Language skills: Excellent English language skills, knowledge of Nordic languages would be an advantage
- Nordic language skills would be a strong advantage
- Strong Excel and other Microsoft application skills
- Excellent English skills. Knowledge of Nordic languages is an advantage
- Planning and project management skills with a high attention to detail
Education on a Securities Operations Resume
Make sure to make education a priority on your securities operations resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your securities 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 Securities Operations Resume
When listing skills on your securities 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 securities operations skills:
- Solid organizational skills with the ability to work on multiple business demands, prioritize and deliver in a timely manner with high standards
- Team skills, including the ability to establish and maintain effective working relationships with employees, clients and
- People management experience / skills
- Strong sense of ownership and ability to work effectively across global teams
- Strong written communication and phone skills
- Strong customer service skills and values
List of Typical Experience For a Securities Operations Resume
1
Experience For Securities Operations Specialist Resume
- Computer skills: Sufficient user of MS Office applications, VBA or Python is meriting
- Computer skills: Sufficient user of MS Office applications, VBA or Python is considered as an advantage
- Financial services experience
- Collaborate with business partners on a frequent basis with strong emphasis on process improvements and customer service
- Operative experience from derivatives would be a meriting
- Previous experience in corporate actions / proxy or operations environment is helpful but not necessary
2
Experience For Securities Operations Associate Resume
- Utilizing Bloomberg, knowledge to avoid risk in settlements and gain control on allocations from counterparties
- Ensure daily balancing of clearing systems: Bancomer, BONY, DTC and Clearstream
- Respond to departmental inquiries resolving questions and concerns regarding OTC and Cleared Derivatives
- Participates with other team members in reviewing and assessing current practices and procedures
- Basic/moderate understanding of the different systems required to perform qualitative system testing and support all types of customer requests
- Build reporting mechanisms designed to evaluate overall volume, exception processing and trade reject trends
- Provides training or work direction for staff
- Ensure all processes and procedures are up to date and SLA’s are being met on a daily/ monthly basis
3
Experience For Securities Operations Analyst Resume
- Maintain status and key dates of all projects within a central reporting tool
- Regularly produce a scorecard highlighting key accomplishments, risks, assumptions, issues, dependencies, and decisions needed
- Ensure the timely processing of cash movements between MS, its clients and agent
- Obtains administrative and client response to voluntary action memorandum, voting them appropriately at the depository
- Processes capital change transactions on Addvantage according to internal standards
4
Experience For CIB Securities Operations Resume
- Reconciles Custodian positions to Addvantage positions following a reorganization
- Distributes proxy coding errors to Administrator and ensures daily record date files are returned to the vendor
- Fluency in English. Knowledge of Nordic language is meriting
- Work closely with Private Debt / Equity Groups to ensure support is provided and received in order to keep processes running efficiently
- Calculation and reconciliation of mortgage backed securities payment and ensuring the timely and accurate payment and disclosure of Freddie Mac Securities
- Serve as a resource and provide training and guidance to other colleagues on the team
- Assist monitoring the performance of services from Broadridge (outsourced provider)
- Assist resolving issues and/or disagreements
5
Experience For Securities Operations Income Processing Resume
- Cross training with other team members
- Assist with defining BBVA Operations’ Policies and Procedures
- Assist in monthly meetings between Broadridge and BSI. Prepare monthly reporting of service level agreement performance and metrics
- Works actively to improve processes and services by identifying improvements and implements changes with small impact on own area
- Involvement in projects, initiatives and systems’ testing
- Ensure operational control reporting is completed accurately, review and signed off accordingly
- Processes capital change transactions on according to internal standards
- Reconciles Custodian positions to positions following a reorganization
- Creates daily blotters to balance posting activity
6
Experience For Securities Operations Branch Manager Resume
- Project Management – Develop understanding of Project Management principles and ability to deliver components of projects independently
- Flexible with working hours and available for overtime as required
- Server - Core Java, JEE, Spring , Apache CXF
- Sound decision-making abilities
- Travel regularly between our West Los Angeles and Irvine offices, for the first 6 to 12 months for training and team integration purposes
- Thorough operational understanding of assigned trust departments
- Support & adopt within a changing environment
- Works in conjunction with individuals on the team as well as other support teams to ensure seamless processing per procedure
- Comprehension of derivatives including, but not limited to options, swaps, and futures
7
Experience For Securities Operations Manager Resume
- Thoroughness with accuracy and timing of tasks asked of them
- Communicate daily collateral movements to Cash Forecasting team
- Basic/moderate understanding of the overall goal and contribution of own focus area
- Assist auditors during examinations
- Responsible for dividend reinvestment plan accounting
- Provide trade settlement balancing and reconciliation
- Communicate with all levels, verbally and in writing
- Identify, research and resolve problems, and take necessary actions to balance monthly differences on the RDMS system to the Trust Accounting System
- Knowledgeable in the monitoring and control process of outsourced operational activities
8
Experience For Senior Global Securities Operations Associate Resume
- Proficient in Client Accounting Systems and SGX systems are added advantages
- Flexibility to travel regularly between our West Los Angeles and Irvine offices, for the first 6 to 12 months for training and team integration purposes
- Knowledge of Financial Services industry, including products and services
- Standard working hours
- Provides back-up for numerous department functions
- Support the project lifecycle for all budgeted projects
- Ensure all project requirements are documented fully, appropriately, and sign-off is obtained from all stakeholders
- Ensure technology remains on target for delivery of projects to a successful User environment
9
Experience For Securities Operations Manager for FIS Reliance Trust Resume
- Ensure post implementation sign-off is received from all stakeholders
- Maintain the program documentation library
- Focus, communicate and document the baseline benefits associated with Change execution capturing where possible the $ benefits, FTE saves, revenue potential or other risks associated
- Strong team player and trade processing experience
- Exceptional analytical skills as well as a dynamic, fast learning and service-oriented personality
- Working experience within the financial industry, favourably in the Securities Services or Operations sector
- Guarantee the effective migration of new products and operations of the COE Markets from/to Latam countries
- Excellent ability to communicate in German and English, spoken and written
- Strong reactivity to meet short deadlines
10
Experience For Global Securities Operations Analyst Resume
- Knowledge of the global regulatory landscape impacting the financial services industry
- Proactively keep up with changes or new requirement in clients and in the industry
- Translate regulatory and business requirements into functional requirements and processes
- Knowledge in MS Office products – especially Excel, PowerPoint and Visio
- Support client service associates and operational personnel
- Strong written and verbal communication skills, strong working knowledge and proficiency in the appropriate computer programs such as MS Word and database input is essential, knowledge of financial services field
List of Typical Skills For a Securities Operations Resume
1
Skills For Securities Operations Specialist Resume
- Possesses critical thinking, problem solving and decision making skills
- Relevant experience in Mutual Funds, Private Placements or Banking Operations; with an additional 2 to 3 years of leadership experience required
- Demonstrate a strong understanding of Securities and required operational support to process and account for such instruments
- Basic MS Office skills with the ability to incorporate technology in day-to-day processes
- Manage time effectively and thrive in environment with multiple deadlines.
- Fluent English language skills (Swedish language knowledge would be considered as an advantage)
- Having related experience, preferably from middle or back office work
- Good analytical and problem solving abilities. Can quickly adapt strategies and processes to changing conditions
- Good analytical and problem-solving abilities. Can quickly adapt strategies and processes to changing conditions
2
Skills For Securities Operations Associate Resume
- Adaptable to work in an ever-changing multi-tasked environment with high priorities, varying workloads and strict deadlines
- Fluency in English. Knowledge of Nordic language as well as having related experience, preferably from middle or back office work, are meriting
- Experience in working with projects, operational set up and service improvement processes is meriting
- Organize, prioritize and manage personal work against competing demands
- Maintains strong working relationships with peers, supervisors, project leaders, and internal/external clients
- Experience from project based work and testing would be regarded as a merit
- Prioritize new demand items raised by Operations stakeholders, ensuring impacted projects are communicated and agreed by all stakeholders
- Accounting, finance, or industry experience
3
Skills For Securities Operations Analyst Resume
- Accounting, finance, or industry experience
- Posts trades in a timely manner to ensuring delivery prior to stated cutoffs
- Develop strong working relationships with other operational managers and client service leads
- Understand how our clients operate to fully support collaboration between our company and investment partners
- Considered and effective under pressure
- Proven record of dependability
- Strong ability to work productively and efficiently in a time sensitive, deadline driven environment
4
Skills For CIB Securities Operations Resume
- Knowledge and experience with SQL - ability to read/write SQL
- Strong proficiency with IMPACT (Back Office System) and Cognos systems required
- Strong proficiency with eGUARD system
- Strong knowledge in the Latin American Markets especially in Mexican, Argentinean and Peruvian Bonds
- Experience in operations or related field
- Provide effective coordination and delivery of action to mitigate project risks and solve issues
- Experience in similar function / role in and Investment Bank environment
5
Skills For Securities Operations Income Processing Resume
- Good knowledge in securities products, process and industry requirements
- Operation management experience
- Typically has 2 to 4 years related work experience
- Experience in analytics
- Reviews and validates all daily activity in an accurate and timely manner, and maintains all required controls to ensure overall accuracy and timeliness
- Typically has one year related work experience
- Experience Required: At least 8 years
- Related/required work experience
- Experience with business process analysis and project management
6
Skills For Securities Operations Branch Manager Resume
- Related work experience
- Create and maintain good relations with Nasdaq members, partners and internal customers
- Experience in financial services (preferably 3+ years in a management capacity)
- Notating all activities on the account, and submitting accurate forms for final processing to service center
- Working knowledge of equity and fixed income trading/accounting
7
Skills For Securities Operations Manager Resume
- Funding custodians and maintain balance of main operating account
- Being attentive to details and thorough
- Understanding revolver type loans as well as Libor rates and how they adjust over the lifespan of an investment
- Working knowledge of Microsoft Office
- Checking inbound client documents for accuracy
8
Skills For Senior Global Securities Operations Associate Resume
- Liaising with internal/external counterparties to resolve any issues
- Ensuring all manual trades are processed correctly
- Communicating cash and position discrepancies to both internal and external partners such as finance
- Assisting in the development of guidelines and procedures for the function
- Listing of fixed income cash and derivatives, commodity and equity/index derivatives products
- Capturing all process steps, systems and effort using standard descriptions
9
Skills For Securities Operations Manager for FIS Reliance Trust Resume
- Entrepreneurial thinking and acting at all times, taking ownership for instigating and executing initiative
- Assist with breaks reporting and understanding of all breaks owned by processing team via daily control processes and assist with commentary on breaks
- Matches broker confirms to trade ticket on trust accounting system identifying/escalating all exceptions
- Basic/moderate understanding of different types of securities and how trading and/or clearing and settlement is conducted
- Efficient with income forecasting, amortization schedules, and due / accrued monitoring
10
Skills For Global Securities Operations Analyst Resume
- Nasdaq exchange and clearing members’ technical setup request handling
- Ensure budget is tracked highlighting risks to projects coming in over budget
- Opportunity for direct supervision & involvement in project work related to improving efficiency and/or reducing risk
- End of day balancing, journals and wires processing
- Primary supporting MLPF&S Funding, Treasury and Agencies, Collateral Management
- Corporate action monitoring and reporting for all Nordic markets from press releases
- Provide customer onboarding and account management services including
List of Typical Responsibilities For a Securities Operations Resume
1
Responsibilities For Securities Operations Specialist Resume
- Proven effective project manager
- Very good command of English,any additional language would be an advantage
- Prioritize and multi-task in a deadline-driven environment
- Related work experience in mortgage, banking, and/or finance
- Financial services experience
- Previous experience with the Repo product in a supervisory role is desirable however not essential
2
Responsibilities For Securities Operations Associate Resume
- Corporate Actions experience essential
- Experience in financial services in operations, data management, technology
- Participate and assist supervisor as needed in troubleshooting and problem resolution activities.-Coordinate testing of FundLINX releases
- Understand P&I processing for FED products and ensure timely accurate payments to Trading Desks, Clients and Counterparties
- The role provides a key function in supporting the daily business of the group
3
Responsibilities For Securities Operations Analyst Resume
- To become a contact for operations for other interacting areas including Trading, Sales, Finance, IT and supporting teams such as settlements and client service functions
- Experience working within a broker dealer or the securities industry
- Microsoft Office suite, including a proficiency in Excel and a sound knowledge of Access
- Fund accounting software; familiarity with FIS’s InvestOne, AddVantage, and TrustDesk
- Operation of exchange, collateral management and clearing systems on Genium INET platform
- Technical implementation of different types of Member Events (onboarding, membership change, termination etc.)
- Interact with other financial institutions, various business units and other department members regarding reconciliation of unclaimed funds
4
Responsibilities For CIB Securities Operations Resume
- Work with the vendor to enhance delivery, notably in meeting cost targets set out
- Develop staff at the vendor to increase their understanding of the product area
- Perform and monitor the following day-to-day tasks
- Approve key tasks initiated within the processing team eg. conversions, corporate action event approval
- Take ownership of HOB (Halt of Business- Customer credit monitoring) process for Securities
- Occasional travelling later
5
Responsibilities For Securities Operations Income Processing Resume
- Reviews Xcitek file and DTC RIPS screen daily for all corporate actions, distributes via email to all affected institutions and records all new and updated Xcitek notifications in Sharepoint for tracking purposes
- Submits reorganization information to appropriate administrator, client or investment manager
- Prepares and distributes voluntary action notifications
- For internal control and audit purposes, documents and creates checklists for each action
- Delivers assets for exchange to the agent bank
6
Responsibilities For Securities Operations Branch Manager Resume
- Updates bankruptcy and worthless securities files
- Posts class action proceeds upon receipt and reconciles litigation accounts
- Conducts research and follows up on all open files to ensure deadlines and expirations are met
- Monitors internal accounts and cash exceptions
- Knowledge of SWIFT would be an advantage
- Appropriately prepare folders for next day’s workload
7
Responsibilities For Securities Operations Manager Resume
- Attend to internal and external customers’ queries received from internal Business Units
- Communicate with external business partners to complete bond administration
- Education Required: Recent graduate of Business Administration/ Economics
- Monitor cash transfers, outgoing wires, income / principal payments within the Private Placement portfolios. This process includes domestic and international transactions
- Identify any potential exposure to the company, relay the information to senior management and take or recommend corrective action
- Monitor suspense, payables and receivables to ensure items are cleared in a timely and accurate manner
- Current FINRA Series 7 and Series 63 or 66, or obtain within 120 days of hire
8
Responsibilities For Senior Global Securities Operations Associate Resume
- Work on issues where analysis of situations or data requires and in depth knowledge of organizational objects
- Work with brokers to confirm fixed income and derivative trade details (includes security price, settlement date, settlement details, etc.), process trades in the accounting system, and send settlement instructions to custodian banks
- Partner with colleagues in London and Los Angeles to analyze and coordinate the timely research and resolution of trade issues, to ensure time sensitive internal deadlines are met and urgent trades are handled timely
- Research and make adjustments to trade financials based on internal processing requirements, evaluate and process currency decisions for fixed income trades
- Participate in team, departmental, or cross-function projects and initiatives
- Support Front Office and Middle Office as necessary
- Balance and control of cash accounts in all currencies within the different custodians (BONY, DTC, Clearstream, Citibank)
- Run and analyze reports from IMPACT to solve position inquiries
9
Responsibilities For Securities Operations Manager for FIS Reliance Trust Resume
- Improve and optimize layouts to satisfy new projects
- Upload layouts as per BBVA requirements to Latin American custodians
- Reconciliations and investigations on claims, coupons, commissions, financial costs
- Follow up on all failing trades, updating reasons, creating a Fail Report to send to traders, Compliance and interested parties. Strong Knowledge of Cognos system is required
- Monitor and reconcile RAD, CNS, Obligation Warehouse, GSCC, GSTRRP, GLYRRP, DOP
- Review and compile daily reports and reconciliations to / from Broadridge
- Ad Hoc projects/assist co-workers
- Liaise with local LATAM desk for settlement issues
- Assist with internal and external audit, as well as regulatory requests for information
10
Responsibilities For Global Securities Operations Analyst Resume
- Execute Test Business Continuity Recourse
- Review daily prospectus and 10B10 reconcilations
- Review and deliver daily BONY Position to BBVA Madrid
- Provide weekly and monthly statements to Finance Department
- Daily Review of 15A6 reconciliation
- Perform root cause analysis of issues to prevent re-occurrence. Escalate issues and remediation actions immediately to direct supervisor and outsourced vendor
- Initiates wires for daily net settlement and makes appropriate entries to internal accounts
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