Collateral Operations Resume Samples

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A Flatley

Arielle

Flatley

5351 Maxime Vista

Chicago

+1 (555) 758 6602

5351 Maxime Vista

Chicago

Phone

p +1 (555) 758 6602

Experience Experience

Boston, MA

Financing & Collateral Operations Analyst

Boston, MA

Leffler-Grady

Boston, MA

Financing & Collateral Operations Analyst

Ensuring controls on collateral management process are monitored and exceptions resolved in a timely manner
Work closely with third party vendors, including Equilend, Loanet, and Pirum, for business initiatives and escalation on day to day processes
Maintain a clear focus on enhancing control and continuously improving and reducing operational risks
Collateral processing and reconciliation
Interaction with clients daily regarding the OTC collateral process
Troubleshoot problems arising on an ad-hoc basis and react to BU and Client driven demands
Trade Processing/Allocation

Houston, TX

Financing & Collateral Operations Associate

Houston, TX

Schmeler, Thiel and Morar

Houston, TX

Financing & Collateral Operations Associate

Provide funding projections to cash management and BRM to ensure correct funding across Morgan Stanley's bank accounts
Assist with and initiate projects to make current processes more effective and efficient
Managing client relationships on a day-to-day basis providing service to hedge funds and financial institutions
Provide daily financing projection to the business unit
Exposure Management for Morgan Stanley
Exposure management for Morgan Stanley
Work with multiple units in operations, BU and technology on projects and initiatives

present

Chicago, IL

Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager

Chicago, IL

Thompson and Sons

present

Chicago, IL

Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager

present

Design and implement improved MIS and communications for Credit/Capital Advisory to provide early alerts for risk areas within the portfolio
Perform risk management reporting
Lead projects for work process automation, system integrations/development, etc. for the PB in concert with other PB disciplines and/or corporate project teams
Manage to efficiency and strategy location targets each year
Manage inquiries from Credit, Lenders, Client Services and Loan Operations on control, collateral and compliance related topics
Create and maintain collateral terms in the Collateral Monitoring System (lending values, pledges, special comments)
Build, manage and maintain off-line monitoring arrangements as necessary to support PB credit product and/or collateral-related covenants

Education Education

Bachelor’s Degree

University of Massachusetts Amherst

Bachelor’s Degree

Skills Skills

Strong Team player and commitment to support team objectives
Knowledge/experience of TriOptima vendor platform
Specific product, process and systems knowledge relevant to the role
Strong client service appreciation with a focus on delivering excellence
Awareness of regulations impacting the OTC derivative market
Understanding of the OTC Derivatives front to back trade life cycle
Previous investment Banking experience

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8 Collateral Operations resume templates

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Sec Processing Rep \ Collateral Operations Resume Examples & Samples

Assisting team to ensure daily collateral service is provided to our clients e.g. margin call, trade settlements, client queries, MIS
Ensure adherence to key processes and control requirements with a focus on complying with Citi risk and controls framework in a timely manner
Timely resolution of margin call disputes in the event of calculation discrepancies
Assist with daily, weekly and monthly reconciliations
Building relationships with existing and new clients to ensure smooth transition of new business incremental business change in client requirements
Participation in the implementation of strategic projects e.g. straight through processing, data management
Assisting with preparing the team for various audit/risk and due diligence reviews
Communicate with external parties e.g. counter parties, clients, custodians
Assist training panel to roll out cross training in the team
Working with team leaders and Section Manager to ensure goals are met
Have a general understanding of securities markets, payments, settlements
Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps / resolution Educational Level: Business qualification desirable

Sec Processing Rep \collateral Operations Resume Examples & Samples

Have a general understanding of securities markets payments settlements
Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps / resolution
Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success

Collateral Operations Junior Specialist Resume Examples & Samples

Exposure/understanding of Collateral Management desirable but not essential
Be able to work independently and able to deliver under time constraints
Effective Team player
Ability to put forward constructive feedback on cases and issues

Head of Collateral Operations Resume Examples & Samples

The incumbent will be responsible for management of BAU activities ensuring delivery of accurate, controlled and efficient processing and reporting to our clients
The candidate must be able to communicate effectively at all levels and be able to represent Northern Trust at client presentations, various industry and business forums
This individual must also be a lead driver of the overall Collateral Management vision, ensure that consistent standards and best practices are utilized and drive key initiatives and issues to conclusion
Managing the Collateral Management group
Conducting the performance management process, identifying training and development needs, and establishing performance standards
Determining staffing needs, making hiring and firing decisions, handling salary administration and ensuring resources are available to accomplish priorities
Participating in developing the business unit strategic plan, and sets goals and priorities based on the direction set for the unit. Follows through to ensure objectives are met
Providing input into the budget management process and manages expenses
Providing leadership and guidance to staff, fostering an environment which encourages employee participation, teamwork, and communication
Managing the relationships with Investment Managers and Clients to ensure that all Collateral processing and control requirements are met and be responsible for ensuring that functions (i.e., margin processing, reconciliation, dispute resolution, reporting, etc.) therein deliver
Proven track record within financial service operations, including managerial responsibilities in a fast-paced, client-focused, deadline-oriented environment. Collateral Management experience is preferred. Derivative product knowledge and derivative operations experience is required
High appreciation of the current strategic direction of Collateral Management and any industry or regulatory initiatives (i.e., EMIR, T2S ) which may affect it
Proven ability to lead teams towards meeting client expectations, but to also be a team player with a track record of building strong networks and relationships

Gpc-open Collateral Operations Resume Examples & Samples

2-3 years experience in financial services sector and has a general understanding of securities markets/payments/settlements
Accuracy and high attention to detail
Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps/resolution

Gpc-open Collateral Operations Resume Examples & Samples

Have a general understanding of securities markets/payments/settlements
Ability to organize workload to meet various settlement cut-off times
Good business judgment, knowing when to escalate, and who to keep informed to identify appropriate next steps/resolution

Asset Management Private Bank Credit Risk Management Team-collateral Operations Manager Resume Examples & Samples

Design and recommend improvements to procedures/workflow to align practices across AM where possible. Targeted areas for review: Margin Call process, Overdraft management, Account Control, Pre-Trade Approvals (for FX/Deriv), Collateral Verification
Design and implement improved MIS and communications for Credit/Capital Advisory to provide early alerts for risk areas within the portfolio
Work closely with Program and Technology resources to ensure success of the funded collateral priorities and identify, outline and prioritize initiatives for Credit related to collateral and risk management for funding consideration
Work with collateral managers to adapt to changing infrastructure, introducing process enhancements, updating procedures, managing risks and maintaining controls throughout the migration to new technologies
Manage to efficiency and strategy location targets each year
Minimum of 10 years working in a collateral, credit administration, operations, or trading support group within the Financial Services
Strong Operational disciplines and control mindset
Service Oriented
Outstanding Communication skills / Team orientation
Interest in the Financial Markets and risk measures
Experience in providing business requirements for technology
Series 99 or equivalent required within 120 days
Reg T experience a plus

Financing & Collateral Operations Associate Resume Examples & Samples

Monitor, communicate, and agree all client daily activity in over 30 International markets for multiple Morgan Stanley entities
Agree and exchange collateral with lenders for securities lending movements
Ensure settlement of all trades and proactively chase failing and failed trades via liaising with the Securities Lending desk, external clients, and internal operations teams
Assist with and initiate projects to make current processes more effective and efficient
Serve as key point of contact for external lender population
Provide various types of ad hoc and regulatory reporting

OTC Collateral Operations Resume Examples & Samples

Computer literate, including Word, Excel, and Powerpoint
Handle various ad-hoc requests with minimal supervision
Pro-active, detail-oriented and able to work in a fast learning environment
Strong interpersonal, communication and partnering skills. A “team-player”
Ability to prioritize and work in a dynamic, deadline-focused environment
Minimum of a college degree
No more than 8 years of business experience
Experience in ISDA documentation / OTC operations / collateral / repo / finance / investment banking

Financing & Collateral Operations Analyst Resume Examples & Samples

Trade Processing/Allocation
Exposure Management for Morgan Stanley
Trade Reconciliation
Maintain a clear focus on enhancing control and continuously improving and reducing operational risk
Troubleshoot problems arising on an ad-hoc basis and react to BU and Client driven demands

Fixed Income Collateral Operations Analyst Resume Examples & Samples

Knowledge of fixed income securities including repo and collateral management
Ability to handle high pressure situations
Organizational skills with special emphasis on the ability to prioritize responsibilities
Detail orientated, ability to recognize unusual flows/triggers for collateral in agreements and new trade structures

Collateral Operations Analyst Resume Examples & Samples

Analysing regulatory and market change, and the potential impact on the department, and working with Change and other Operations team to implement necessary change
Leading investigations into process breaks to determine remediation opportunities and highlight process weaknesses, and drive process improvements
Identifying issues within the business processes and monitor action taken
Building great relationships across Technology, Front Office, Finance and Operational Risk
Supporting Front office in driving the operational capability

Financing & Collateral Operations Associate Resume Examples & Samples

Responsible for margining Institutional and Hedge Fund clients under the provisions of ISDA Credit Support documentation. The products supported are predominately Fixed Income and Equity derivatives, with some Repo and expansion into Commodities derivatives as well
With increased product complexity and expanding volumes the collateral team faces a number of challenges in ensuring the scalability of the department's functions whilst maintaining optimal control and efficiency. As such, in addition to the margining function there is continual focus on actively managing disputes and their reconciliation, maintaining an oversight of controls and ensuring an on-going review of the procedures and processes in place
A core focus of management is ensuring that analysts and managers alike are collateral experts capable of engaging with business stakeholders on all aspects of the collateral function at their level. This is reflected in the scope of functions and responsibilities as well as the skill sets required
Initially, the successful candidate will be working in our collateral team. This role can be broken down into

Open Collateral Operations VP Resume Examples & Samples

Strong understanding of Collateral Management
Expertise at challenging current processes, working independently but also as part of a wider team supporting global and regional objectives under time constraints
Expertise at identifying risk and providing enhanced mitigating solutions
Ability to organize workload to meet client deliverables and internal deliverables
Able to create a strong team spirit
Strong skills in Microsoft Office
Knowledge of Collateral systems
Extensive years financial services experience required

Fixed Income Collateral Operations Specialist Resume Examples & Samples

Extensive knowledge of fixed income securities including repo and collateral management
Complete understanding of relational databases and/or process flows
Ability to meet and set deadlines
Ability to delegate tasks
Ability to make complex decisions in high pressure scenarios
Strong organizational skills with special emphasis on the ability to prioritize responsibilities
Complete understanding of financial markets (securities, equities, foreign exchange, interest rates, commodities) and derivative products (caps, floors, collars, FRAs, swaps, swaptions, structured)
Complete understanding of financial markets documentation (ISDA, IFEMA, PSA, GMRA, MSFTA)
Capability to analyze and interpret legal trading agreements

Financing & Collateral Operations Manager Resume Examples & Samples

Supervisory oversight of the Vendor Oversight and Regulatory Control team
Responsible for the monthly regulatory FOCUS reporting, yearly audit exams, as well as other regulatory requests and initiatives impacting financing operations
Prior people and process oversight management

Financing & Collateral Operations Analyst Resume Examples & Samples

Oversight and control of our third party vendor and ensuring daily checks and reviews are completed per legal agreements
Work closely with third party vendors, including Equilend, Loanet, and Pirum, for business initiatives and escalation on day to day processes
Experience in a vendor oversight or control team capacity
Ability to ask questions and think critically in high risk situations

Global Collateral Operations Data Specialist Resume Examples & Samples

Work closely with OPUS team throughout the lifecycle of new feature development as well as issue/bug resolution and testing
Develop tactical automated MIS reporting
Transitions all tactical development into strategic BRD and see through to production implementation
Perform in-depth analysis on sleeper collateral situations and separately on dispute impact to Margin Period of Risk to assist in risk assessment, MIS development, control and workflow recommendations
7 - 10 years of experience in providing business analysis e.g. for audit, compliance, and metrics reporting
Ability to analyze and provide insights on large volumes of data (2+ million rows)
Strong technical skills including

Senior Analyst, Collateral Operations Resume Examples & Samples

Complete all daily processes to ensure the production and delivery of margin alls /statements/reconciliations. Respond to enquiries and requests in a timely and accurate manner. Resolve all daily exceptions and discrepancies, working collaboratively with front office and internal teams
Identify and escalate risks and control gaps according to RACA and Process Control Self-Assessment document
Ensure all relevant policies are adhered and attested to within required timeframes
Ensure adheres to the market regulatory requirements and ISDA best practices
Where appropriate, contribute on projects, initiatives and programmes of work. Ensure regular progress updates are held with supervisors
Understand the specific TMO and the wider Services strategy and how the role supports business objectives
Perform effectively and act according to the RBS, Values and People Standards. Know and understand all compliance policies associated with the role and responsibilities
Previous investment Banking experience
Knowledge/experience of TriOptima vendor platform
Understanding of the OTC Derivatives front to back trade life cycle
Awareness of regulations impacting the OTC derivative market
Strong client service appreciation with a focus on delivering excellence
Specific product, process and systems knowledge relevant to the role
No mandatory qualifications required for this role
Require good attention to detail
Strong Team player and commitment to support team objectives

Global Collateral Operations Operations Analyst Resume Examples & Samples

Prepare reports of collateral transactions or balances to satisfy the following requirements
Tax knowledge
Strong understanding of financial markets with preferably more than 5 years of experience in any of the following disciplines
Graduate degree and/or CPA certification
Regulatory Reporting exposure

Financing & Collateral Operations Associate Resume Examples & Samples

Process Tri-party and bilateral funding forecasting and funding
Liaise closely with both BRM, TSY and Cash Management around funding obligations and discrepancies
Ensuring the efficient and timely processing of the Equity and FID financing book including recalls, substitutions, restrictions, pledging, exposure management and projections of future requirements and book breakdown
To advise the BRM on the freedoms/limitations of collateral management in Tri-Party, including the ability of Tri-Party to enforce stipulations applicable to a bilateral trade
To become a contact for BRM operations for other interacting areas including Trading, Sales, Finance, IT and supporting teams such as settlements and client service functions
Position reconciliation between Agent and Morgan Stanley
Provide daily financing projection to the business unit
Collate and distribute key metric data to stakeholders such as collateral schedules and haircuts
Collate and distribute collateral availability to Bank Resource Management
Ensure the timely processing of cash movements between Morgan Stanley, its clients and agents
Provide funding projections to cash management and BRM to ensure correct funding across Morgan Stanley's bank accounts
More than three years of experience in financial/banking industry