Associate, Securities Resume Samples

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E Grady

Estevan

Grady

2001 Cremin Cliff

New York

+1 (555) 262 0185

2001 Cremin Cliff

New York

Phone

p +1 (555) 262 0185

Experience Experience

Boston, MA

Securities Lending Associate

Boston, MA

Wilkinson, Keeling and Schiller

Boston, MA

Securities Lending Associate

Act as a subject matter expert with regards to securities lending accounting and billing to work jointly with the Securities Lending and Finance team to drive revenue opportunity and maintain the business’ competitive advantage
Create and execute custom swap products to help portfolio managers effectively hedge risk
Compiling and distributing securities lending market color to execution traders and portfolio managers
Support the continued evolution of the Securities Lending technology platform and global process model. Participate in projects as they relate to broader business product and system development, as well as process re-design and improvement
Participate directly in the due diligence performed by SLF for new lending opportunities and changes to the existing product, analyzing the operating model and options associated with the contemplated activity
Develop and maintain close relationships and partnerships with Securities Lending and other BlackRock colleagues (traders, product managers, technology teams, etc.), as well as with external service providers, partners and counterparties
Identify and direct activities related to key change event items related to the SLF business to ensure all areas are engaged in a well-controlled and client-focused manner

Dallas, TX

Securities Financing Associate

Dallas, TX

Tillman, Schaden and Kutch

Dallas, TX

Securities Financing Associate

A consistent top performer with a ‘can do’ attitude, embraces the team’s established performance culture
Taking responsibility for progressing matters, working with multiple stakeholders to resolve issues and progressing matters to a conclusion
Self-motivated with a strong team ethic, creative and can bring new ideas to existing workflows and processes
Flexible and hard-working with a high level of accuracy and attention to detail
Working collaboratively as part of a team of Negotiators in Birmingham
Taking responsibility for the achievement of agreed individual targets
Drafting and negotiating complex master documentation including global master securities lending agreements, global master repurchase agreements, commission sharing agreements and any other relevant documentation and subsequent amendments

present

Detroit, MI

Associate Securities Processing Analyst

Detroit, MI

Ernser-Bailey

present

Detroit, MI

Associate Securities Processing Analyst

present

Develop strong working relationships with outside Deal Administrators to ensure accurate execution of trades
Identify process or procedural improvements within the Ops group with both internal and external partners to create efficiencies
Provide feedback to management of any potential client or control issues within the Operations
Provide management with daily updates on activities, review issues within the assigned portfolio, and dimension solutions to achieve client satisfaction
Manage processing of daily loan activity within highly demanding timelines and competing priorities
Work closely with credit and legal
Provide excellent customer service to clients

Education Education

Bachelor’s Degree in Finance

Quinnipiac University

Bachelor’s Degree in Finance

Skills Skills

Hard working, detail-oriented and committed to producing great end results
Excellent interpersonal skills including the ability to communicate clearly and concisely with all levels of management
A self-teacher and quick learner able to pick up the technical skills necessary for any project
Demonstrated ability to prioritize work and manage time
Ability to work autonomously or as a member of a team
Excellent written and verbal communication skills
Ability to thrive in a fast-paced, rapidly changing work environment
This job operates in a professional office environment
Proficiency in Word, Outlook, and PowerPoint (Microsoft Office Suite)
Strong analytical and financial modeling skills

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15 Associate, Securities resume templates

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Associate Securities Processing Analyst Resume Examples & Samples

Bachelor’s degree or years experience equivalent
3 years of security/settlements related experience
Previous international experience with LATAM markets preferred
100% Bilingual — Fluent English /Spanish
Proficient PC skills (MS Office Suite, Word, Excel, Access a plus)
A proven ability to learn new processes and introduce change
Proven success as a team player

Associate Securities Processing Analyst Resume Examples & Samples

Bachelor’s Degree or years experience equivalent
2 years or more finance background with minimum 2 years reconciliation experience
Demonstrated ability to lead, motivate and influence others
Ability to multitask and prioritize
Ability to exercise good judgment
Proficient in Microsoft office skills, including v-lookup, pivot tables, etc

Associate Securities Processing Analyst Resume Examples & Samples

3 years of securities experience Strong PC skills: MS word and Excel
Ability to interact positively with clients
Ability to work with high profile and demanding clients
Ability to meet deliverables on a timely basis
Ability to work productively in a continuously evolving, complex and fast pace environment

Associate Securities Processing Analyst Resume Examples & Samples

Ability to meet daily deadlines
Ability to work in a collaborative team environmen
Flexible/sense of urgency and the ability to multi-task
Must have a good working knowledge of Excel
Word and must be PC literate
Familiarity of Depository Trust Corporation clearance and settlement processes is helpful
Knowledge and experience in Financial Markets products is a critical
1-2 years of financial services experience is preferred

Securities Division Ficcs European Special Situations Group Strats Associate Resume Examples & Samples

Developing ALM framework
Developing macro risk management strategies
Developing capital allocation framework
Developing portfolio management system and risk reports
Strong academic background in a relevant field - Computer Science, Applied Mathematics, Physics, Engineering
Strong programming background in a structured language (For example, C++)
Strong quantitative and mathematical skills
An understanding of financing markets or the Prime Brokerage business would be beneficial

Associate Securities Processing Analyst Resume Examples & Samples

Send outgoing and answer incoming margin calls in timely manner
Determine eligibility of collateral
Book entries for collateral movements
Monitor credit risk of all clients
Provide excellent customer service to clients
Work closely with credit and legal
Track movements in mark to market on open positions
Settle interest in a timely manner
Monitor and resolve collateral balance breaks and fails
Knowledge of Microsoft Excel
Ability to quickly learn in a fast paced environment
Strong planning, organization and process management skills
Strong focus on control
Must be comfortable with and able to manage complex systems and environments
Flexibility with a sense of urgency
A proven solution driven approach to problem solving
Must have strong interpersonal skills, including strong oral and written communication skills
Customer orientation (internal and external) with a commitment to quality

Associate Securities Processing Analyst Resume Examples & Samples

Bachelor's Degree or Equivalent in related experience
2+ years of Tax or related experience
Knowledge of FATCA regulation
Strong PC skills, Microsoft Excel, Access (Macros & Database development a plus)
Market/product/securities/Tax reporting knowledge
Control minded Individual who comprehends Risk
Ability to work with high profile and demanding institutional clients
Ability to work productively in a continuously evolving, complex, high risk and fast pace environment
Managing Work (organization/prioritization abilities/multi-task)
Quality Orientation/attention to detail / Follow up skills
Team-oriented/team player

Associate Securities Processing Analyst Resume Examples & Samples

3+ years of security/settlements related experience
100% Bilingual — Fluent English /Portuguese
Excellent client service skills, Proficient PC skills (MS Office Suite, Word, Excel, Access a plus)

Associate Securities Processing Analyst Resume Examples & Samples

2 years of business experience
1 year financial experience
Experience in the maintenance of international securities lending trades a plus
The candidate must be well versed in the Microsoft Office Suite
Particular emphasis is on XL and using spreadsheets for balancing and reporting. Macros a plus
The candidate must be extremely well organized
Must function in an environment in which planning and organization are key factors in success
High value is based on teamwork and communications
Able to work extra hours when business need dictates and may work US Holidays

Associate Securities Processing Analyst Resume Examples & Samples

3+ years of securities experience
Strong PC skills: MS word and Excel Ability to Multi task
Strong time management skills Ability to interact positively with clients
Strong organizational skills Ability to work with high profile and demanding clients

Associate Securities Processing Analyst Resume Examples & Samples

Recent college graduate
Previous international experience with Latam markets preferred
Bilingual - Fluent English / Portuguese or Spanish required

Valuation Associate, Securities Resume Examples & Samples

Bachelors degree in Finance, Economics, or quantitative-related subject
2-5 years of experience in Asset Valuation/Product Control/or Investment Support
Knowledge of financial securities valuation principles and practices
Advanced Excel modeling, data manipulation and PowerPoint skills

Associate Securities Processing Analyst Resume Examples & Samples

Develop and maintain strong relationships with internal clients to ensure delivery of Private Bank products to Citi clients
Ensure daily processing of all loan activity including utilization of the Flexcube/Credit Platform/WINS product processors
Responsible for ensuring all activity is conducted in accordance with audit policy, procedure and appropriate controls
Maintain or exceed key performance identifiers at or above published expectations
Manage processing of daily loan activity within highly demanding timelines and competing priorities
Ensure compliance of all activity within the terms of applicable credit agreement
Provide feedback to management of any potential client or control issues within the Operations
Identify process or procedural improvements within the Ops group with both internal and external partners to create efficiencies
Customer/client facing experience in a Financial Institution or related industry a plus
Previous experience with Flexcube product processor is a plus
Experience with accounting and reconciliation a plus
Bachelor’s degree or equivalent job experience
Excellent organizational and time management skills a must
Superb written and verbal communication
Proficient in Microsoft Office with focus on Word and Excel
Able to effectively analyze legal documentation such as credit agreements

Associate Securities Processing Analyst Resume Examples & Samples

Bachelor's Degree and/or commensurate amount of accounting/commercial banking experience
Knowledge of Generally Accepted Accounting Procedures
Knowledge of the corporate loan product and/or Syndication, Origination businesses is preferred
Strong PC skills with advanced knowledge of Microsoft Office, specifically Excel
Strong interpersonal, communication and customer service skills
Ability and willingness to work in a structured, high paced environment, with daily routine operations

Associate Securities Processing Analyst Resume Examples & Samples

Self manage trade closing through communication with custodians, admin agents , counterparties, and fund administrators while maintaining minimal operational risk
Operate and understand proprietary trading systems as well as external trading platforms such as TSI & ClearPar as it pertains to the loan trading function
Interact with the Par Loan Trading desk, Legal, Sales and Operations groups in order to deliver solutions for Citi’s clients
Develop strong working relationships with outside Deal Administrators to ensure accurate execution of trades
Provide management with daily updates on activities, review issues within the assigned portfolio, and dimension solutions to achieve client satisfaction
Gain a strong understanding of Loan Syndication and Trading Association (LSTA) documents and develop a thorough understanding of the mechanisms which govern the corporate loan market
Generate loan documentation such as loan confirmations, loan assignments, and pricing memos in accordance with LSTA guidelines
Actively converse with internal and external legal counsel to generate loan documentation and accelerate the closing process while ensuring Citi’s legal risk is mitigated
Candidate must be pro-active to independently identify and work to resolve potential risk, profit and loss, and legal issues while communicating pending concerns to the desk
Bachelors degree in finance/ operation management and/or commensurate amount of commercial banking experience is preferable
Knowledge and understanding of LSTA & LMA standards as well as basic accounting principles is preferred
Familiarity with Par loan trading market convention is preferred
Very strong customer service skills with exceptional written and verbal communication skills
Strong problem solving, research and analytical skills with the ability and willingness to work in a structured, high paced environment, with daily routine operations
Self driven and highly motivated team player
Demonstrates leadership skills
Strong knowledge of Microsoft Office with focus on Word and Excel

Foreign Securities Associate Resume Examples & Samples

Bachelor’s degree or equivalent analytical and communication training or work experience
Three or more years of directly related experience in financial services or mutual fund compliance with a medium to large legal or financial services firm
Previous job duties and training should demonstrate
Knowledge of current market regulations
Excellent research, comprehension and analytical skills
Excellent interpersonal skills; proven ability to inform and influence decision making
Excellent communication skills; in-depth experience in drafting, editing and proofreading detailed documents
Professional skills necessary to independently manage multiple complex projects involving confidential and detailed information, including all forms and types of foreign filings and related reporting and audits
Able to prioritize, initiate and complete complex assignments to meet multiple regulatory or corporate deadlines; able to remain flexible and work under pressure and to seek appropriate guidance as needed
Gather, comprehend, evaluate, and summarize detailed information; recognize with whom to consult and collaborate to obtain timely, reliable information
Maintain updated understanding of relevant regulations, policies, procedures applicable to area of expertise; consistently create, maintain and identify reliable research resources
Write, read, speak and listen effectively; explain complex issues to others based on analysis of specific fact situations relevant to applicable regulations, policies
Strong attention to detail; excellent analytical skills and ability to perform mathematical calculations and analysis
Professionally and confidently interact with all levels of internal and external contacts; establish and maintain productive working relationships, resolving conflicts and exchanging pertinent information to meet common objectives
Productively use industry standard legal and business software applications and research tools (eg: OneTIS, GlobalMax, Bloomberg, Windows Office and Outlook; Internet, Compliance Passport and other FTI applications)

Associate Securities Processing Analyst Resume Examples & Samples

Associates Degree in Finance, Accounting or Business Management
1 Year of Relevant Experience related to US Tax laws- Reg 1441
Basic Understanding of U.S. tax information rules applicable to U.S. Persons and non U.S. Persons
Basic Understanding and knowledge of IRS Forms W9 and W8 and their associated requirements
Strong PC skills; Microsoft Excel and/or Access (Macros & Database development a plus)
Basic knowledge of Securities
Basic knowledge of 1042/1099 reportable income

Agency Securities Lending, Associate Resume Examples & Samples

Builds strong and effective client relationships
Responsible for ensuring the timeliness and completeness of the team’s daily, weekly, monthly processes and deliverables
Remains cognizant of the point of origination of risks and takes action to make team members aware of risk or to make non-threatening
Utilizes expertise and knowledge to contribute to significant improvements in operational processes and policies
Applies all internal and external policies/guidelines and requirements of GTO and alerts the leadership team of potential risks of breaches
Where appropriate, builds and maintains relationships with front office clients to provide a point of contact for time critical, complex or regulated tasks
Responsible for the renewal and testing of the Business Continuity Plan
Provides input, as appropriate, to product / function development to ensure a superior offering in the face of changing client needs and market trends
Ensures the escalation of operational, regulatory and other risks to his leadership team and functional leads as appropriate; contributes to the development and implementation of mitigation or control solutions
Works effectively within own team, providing support and guidance to colleagues to create and foster an environment of continuous improvement
Relevant experience in one or more specific technical areas
Knowledge of securities lending and settlement services to institutional clients including DTC, Loanet and Fed
Knowledge of STARC requirements and/or general risk principals
Ability to devise solutions to complex tasks
Ability to write documentation around systemic processing controls
Product and system knowledge in the product line
Exceptional analytical skills, flexible regarding production problem solving
Ability to work in virtual teams and in a matrix reporting structure
Ability to work in fast paced environment, keep pace with technical innovation and maintain a broad understanding of the GTO offering
Open minded, able to share information, transfer knowledge and expertise to others

BB&T Securities IRA Associate Resume Examples & Samples

Monitor all IRA documentation to ensure accuracy. Process documentation by coding system that the documentation was received. Scan documentation into optical storage system
Review and process all Automated Clearing House (ACH) agreements signed by the client for setup on the IRA
Review and process all IRA distribution requests by ensuring that proper documentation is received and is accurately completed by the client. Ensure the distribution is in accordance with IRS rules and regulations and that the proper distribution code is used for appropriate tax reporting
Review and process all incoming and outgoing non-Automated Customer Account Transfer (ACAT) and rollover requests. Responsible for ensuring the transfer or rollover is in accordance with IRS rules and regulations. For incoming transfers or rollovers, responsible for following up on the request with other firms to ensure timely completion and receipt of assets
Review and process all rollover deposits. Ensure proper completion of Rollover Certification Form from the client
Review and process IRA to Roth conversion, recharacterization, and excess contribution removal requests. Ensure proper completion of conversion form from the client. Calculate any gain or loss for recharacterization and excess contribution removal requests
Review and process annuity ownership change request forms and annuity liquidations. Follow up with the annuity carrier to ensure requests are processed timely
Review, interpret, and code Power of Attorney (POA), Qualified Domestic Relation Order (QDRO), Divorce Decree, and Separation Agreement documents
Process tax reporting corrections (e.g. 1099R, 5498)
Review exception reports and process correction entries as needed. Notify financial advisors and client service associates about corrections
Sort, open, and review mail received
Responsible for staying abreast of new or updated IRS rules and regulations for IRAs
Assist financial advisors and client service associates by researching and responding to inquiries and requests for information
Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
One year of brokerage industry experience
One year of IRA or qualified plan experience

Mortgage Backed Securities, Associate Resume Examples & Samples

3-5 years in the financial industry
Ability to work productively and collectively with others
Strong understanding of trade lifecycle
Mortgage pool / EPN product knowledge preferred

BB&T Securities Dividend Associate Resume Examples & Samples

Process the dividend record date report daily by comparing rates, positions and pay date. Make updates to dividend worksheets when there are differences
Review and reconcile dividend suspense accounts to include researching and resolving outages
Set up and maintain dividend reinvestment files for clients
Oversee the system’s reinvestment of all dividends
Process fractional share liquidations upon request
Process litigations by retrieving client data and forwarding to litigation agent
Process optional and foreign dividends by reviewing agent paperwork and retrieving client data to vote favorable or unfavorable withholding
Process stock splits and spinoffs
Associate’s degree in a business-related field or equivalent education and related training/experience

Securities, Equities, Pipg Strats, Associate Resume Examples & Samples

Strong analytical and programming skills
Ability to self- motivate, multi task and work independently
Work experience in related field

Securities Lending Associate Resume Examples & Samples

Locating hard to borrow securities with the firm’s prime brokers
Monitoring financing levels for equity and equity swap positions
Compiling and distributing securities lending market color to execution traders and portfolio managers
Create and execute custom swap products to help portfolio managers effectively hedge risk
Maintain and utilize securities lending relationships with the firm’s prime brokers
Work with internal Tax group to understand firm’s tax risk and exposure
Work with internal Compliance group to make sure firm is complaint with regard to firm’s short selling activity at all times
Work with Technology group to create transparent reporting for portfolio managers to accurately monitor financing levels for equity and equity swap
Minimum 5 years large hedge fund or sell-side securities lending experience
Strong knowledge of the securities lending industry with specific emphasis on the intricacies of the European markets
Superior communication and presentation skills in order to effectively communicate securities lending color to traders and portfolio managers
Must have strong math and analytical skills to understand equity trading strategies
Exposure to and understanding of various hedge fund investment strategies (Long/Short Equity, Event Driven, Statistical Arb)
Strong understanding of operations role within the firm and the trade settlement process
Attention to detail and organization skills a must
Strong knowledge of Microsoft Office (Excel, Word, Outlook)
Experience using Bloomberg

Securities Lending Associate Resume Examples & Samples

Coordination and oversight of Business Operations Securities Lending accounting and billing to ensure timely settlement of billing within established policies and market convention
Prepare rebate and fee statements and settle with counter-parties
Prepare and process journal entries
Analyze, research and reconcile accrual variances
Prepare and distribute relevant management reporting analytics
Engage in various revenue-related accounting and analysis projects
Document, maintain, and update policies and procedures
Partner with APG and other Business Operations teams to identify opportunities to enhance the controls and processes related to accounting and billing process and prioritize / drive the completion of any related deliverables
Act as a subject matter expert with regards to securities lending accounting and billing to work jointly with the Securities Lending and Finance team to drive revenue opportunity and maintain the business’ competitive advantage
Participate directly in the due diligence performed by SLF for new lending opportunities and changes to the existing product, analyzing the operating model and options associated with the contemplated activity
Identify and direct activities related to key change event items related to the SLF business to ensure all areas are engaged in a well-controlled and client-focused manner
Create and maintain metrics to provide transparency to management and business partners around results and performance
Provide ongoing communication within Business Operations on priorities/changes, open items, upcoming deliverables, and any issues or concerns
Demonstrable experience in finance/accounting field preferred
College degree (BS/BA) preferably in Finance/Accounting/Business
Systematic thinking, efficiency, attention to detail, quality control, and striving for constant improvement
Strong time management skills with the ability to multi-task and prioritize own work
Knowledge of the financial services industry preferred
Highly detail oriented and risk focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results
Proficient with Excel and other MS Office applications, and able to quickly learn proprietary systems
Reliable and trusted team player with strong integrity and ethics. Driven to be a productive part of a highly functioning, collegial team, and to work in a high expectation and high impact environment

Securities Lending Associate Resume Examples & Samples

Follow established procedures and perform appropriate controls (including cash, security and collateral reconciliations), while exercising good judgment in managing risk and following company escalation procedures
Develop expertise in local market practices through experience, training, classes and outside research, to ensure best of class service
Bachelor’s degree required. Master’s degree or other certifications/achievements desirable
Strong demonstrated aptitude and interest in finance required
Self-motivated, confident and proactive problem solver. Positive, “can-do” attitude and willingness to stretch self-outside comfort zone and grow
Highly detail oriented and customer focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results

Securities, Ficc Algo Strat, Associate, Tokyo Resume Examples & Samples

Technology: experience building large-scale distributed systems, implementing fundamental algorithms and working with different programming languages - C / C++ / Java
Finance: understanding of market dynamics and conventions, and of different products’ behaviours and specifications
Mathematics: understanding of time series analysis, statistics, data mining and numerical techniques
Knowledge of financial markets, particularly fixed income, currencies, and commodities
Experience in electronic trading
Good understanding of probability and statistics

BB&T Securities Reorganization Associate Resume Examples & Samples

Process all voluntary and mandatory corporate actions for client accounts through the DTCC and BoNY
Process physical exchanges (deposits) and survivor option (death puts) through DTCC and the transfer agent
Process bond redemptions through BoNY and DTCC
Process survivor options (death puts) through DTCC and the transfer agent
Review and reconcile Corporate Action suspense reports. Research and resolve outages
Prepare and send notices to financial advisors and client services associates for redemptions, voluntary and mandatory offers

Associate, Securities Resume Examples & Samples

Perform discounted cashflow analyses under different credit scenarios, financing structures and other assumptions
Monitor portfolio positions by maintaining data on purchases, sales and actual vs projected cashflows
Coordinate with the Trading team including support for BWICs
Calculate valuations for portfolio hedge positions
Strong Excel and Power Point skills a must
Ability to work autonomously or as a member of a team
A self-teacher and quick learner able to pick up the technical skills necessary for any project
Excellent interpersonal skills including the ability to communicate clearly and concisely with all levels of management
3-5 years of experience at a financial institution; ideally in the mortgage or structured products sector
Proficiency in Word, Outlook, and PowerPoint (Microsoft Office Suite)
Strong Excel skills required; knowledge of macros a plus
Detailed knowledge of Intex required
Understanding of Bloomberg, 1010 data and LP database a plus
Accountability - Demonstrates a commitment to and responsibility for accomplishing individual, team and business objectives
Drive - Consistently achieves challenging goals/objectives, and demonstrates an ability to create value and maximize results
Teamwork - Fosters collaboration among team members and business partners, and uses capabilities to achieve team goals

Associate, Public Securities Resume Examples & Samples

Set-up client account documentation
Responsible for ensuring the accuracy of all data and transactions recorded in the portfolio accounting system
Preparation of monthly and quarterly reports for distribution to clients and/or their trustees
Responsible for the accuracy of the Accounting data contained within client reports
Manage client billing and reporting
Oversight of custodial reconciliation
Various Fund oversight
BA in accounting, finance or related field
Minimum 1-3 yrs. experience
Knowledge of GIPS Standards highly desired
Knowledge of equities and derivative experience a plus
Knowledge of Eagle Star/PaceAdvent Axys a plus

Securities Financing Associate Resume Examples & Samples

Negotiating documents within the Global Prime Finance (GPF) Legal team, reporting to the Head of Global Prime Finance, Birmingham
Drafting and negotiating complex master documentation including global master securities lending agreements, global master repurchase agreements, commission sharing agreements and any other relevant documentation and subsequent amendments
Undertaking due diligence on counterparties and assessing whether master agreements are eligible for regulatory netting
Working collaboratively as part of a team of Negotiators in Birmingham
Taking responsibility for the achievement of agreed individual targets
Taking responsibility for progressing matters, working with multiple stakeholders to resolve issues and progressing matters to a conclusion
An excellent communicator with a proven ability to convey complex legal issues in plain English
Self-motivated with a strong team ethic, creative and can bring new ideas to existing workflows and processes
Excellent time and workflow management skills
Flexible and hard-working with a high level of accuracy and attention to detail
Ability to work under pressure in a fast paced environment
Ability to identify issues and develop successful solutions
Qualified as a Solicitor ( or international equivalent)
Previous experience of negotiating English law governed finance documentation which may include some of the above mentioned documents (beneficial)
Previous experience at a leading law firm, financial services organisation, hedge fund or asset management company (beneficial)

Derivatives & Securities Financing Associate Resume Examples & Samples

Drafting and negotiating, amongst others; OTC Clearing documentation including the International Swaps & Derivatives Association (ISDA)/ Futures & Options Association (FOA) Clearing Addendum, Addendum Annex and Supplement; Listed Futures & Options (F&O) Agreements; Foreign Exchange (FX) Prime Brokerage Documentation
Providing general support, training and mentoring of more junior negotiators from Birmingham and Mumbai, where appropriate
Drafting contractual provisions as and when required by your clients
Progressing matters and resolving negotiation deadlocks, coordinating multiple stakeholders to resolve issues and progress matters to conclusion
Advising other internal departments on the legal implications of proposed deviations from the Bank’s templates
Managing internal and external clients’ expectations at all times especially with regard to the Bank policy and key operating procedures
Updating the status of negotiations in the bank's systems as required
Completing closing form upon the execution of the agreement and giving instructions to the administrative support team in order to update the Bank’s record and Information Technology (IT) systems
Assisting the Manager with identification, development and implementation of process improvements
A qualified solicitor (or international equivalent)
Previous experience in drafting and negotiating OTC Clearing documentation including the ISDA, FOA Clearing Addendum, Addendum Annex and Supplement; F&O Agreements and FX Prime Brokerage Documentation
Previous experience in financial services
Experience in advising internal stakeholders on the legal implications of amendments to agreements proposed by clients
Ability to read complex legal documentation
An excellent communicator with a proven ability to convey complex legal issues in plain English and provide comprehensive legal analysis
A consistent top performer with a ‘can do’ attitude, embraces the team’s established performance culture
Excellent time and workflow management skills with the ability to work under pressure in a fast paced environment
Self-motivated with a flexible and hard-working approach, a high level of accuracy and attention to detail
The ability to identify issues and develop successful solutions
The ability to act as a technical point of contact for others in the team
Previous experience in exposure to senior management or clients (beneficial)
Fluent in English (written and oral)
Ability to assist with the training of new starters and with on-going training needs to up-skill the team
Educated to Bachelor’s degree level (or equivalent qualification / work experience)

Securities, Ficc, Fast Strat, Associate Resume Examples & Samples

Strong academic record with Bachelor?s level or above in Mathematics, Physics, Engineering, Computer Science or a related quantitative discipline required
Quantitative background including an understanding of probability (includes modelling) and statistics required
Programming background in compiled or scripting languages - C/C++, Python, Java required
Familiarity with statistical computing languages or packages ? Numpy/Scipy/Sklean, Git, Matla required
Must have interest and desire to learn about financial markets
Knowledge of distributed computing required
Ability to solve problems and explain the ideas that underlie them
Confidence to work in a high-pressure environment and deliver results

Securities Senior Associate Resume Examples & Samples

Establishing American Depositary Receipt programs
Rule 144A and Section 4(a)(2)/Reg. D private placements as part of Australian IPOs and secondary offers
Initial public offerings in the United States
Rule 144A debt offers (investment grade and high yield)
Private placements of debt; and
Securities law aspects of M&A transactions
US qualified lawyer with 5 - 10 years experience in US capital markets
Experience across debt or equity transactions is essential and experience across both areas would be preferred
Experience ideally gained in a similar firm environment
Strong technical, drafting and commercial skills
Strong client service ethic
Ability to work well as part of a team

Associate, Securities Standards Resume Examples & Samples

Minimum of 5-7 years operational risk experience in Asset/Wealth Management
Series 7 and 66 preferred or must be attained within 6 months
Experience with Sungard Protegent PTA system a plus
Self-motivated and able to multi-task and work independently
Must be able to have intermediate discussions about various products including brokerage (NYLIFE Securities) vs advisory(Eagle)

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