Corporate Actions Resume Samples

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T Bailey

Tiara

Bailey

8116 Legros Route

Boston

+1 (555) 176 8644

8116 Legros Route

Boston

Phone

p +1 (555) 176 8644

Experience Experience

Los Angeles, CA

Corporate Actions

Los Angeles, CA

Kunze, Keeling and Treutel

Los Angeles, CA

Corporate Actions

Work closely with the Client Executives and Client Sales Managers to develop client specific service solutions
Be responsible for your own development and work with management to agree goals
Create and reinforce positive working relationships with clients and colleagues
Providing client with constant query feedback until completed
Perform adhoc operational duties as maybe assigned by Team Lead and Head of Section from time to time
Checking the commerciality of clients’ elections
Producing clear SWIFT instructions for our agent banks to pass onto the company that manages the corporate action event market wide

Detroit, MI

Corporate Actions Supervisor

Detroit, MI

Donnelly-Sawayn

Detroit, MI

Corporate Actions Supervisor

Identifying and reporting of any gaps and risks in a process followed by the single-handed preparation and implementation of solutions eliminating these gaps
Evaluating Performance appraisals
Acting on elections and notification of events to custodians & registries
Investigating and resolving discrepancies between the fund accounting books and custodian cash and securities accounts of these funds
Assisting in the daily management of the Team's workflow
Liaising with relevant IT teams to resolve any technical issues that prevent the optimum performance of the processes
Reporting to clients / senior management

present

Chicago, IL

Corporate Actions Administrator

Chicago, IL

Swift Inc

present

Chicago, IL

Corporate Actions Administrator

present

Assist Analyst in managing team daily workload through the creation/dissemination of reports (such as chasing reports, breaks download, UNEXs etc)
Working effectively with the team towards achieving business goals
Perform daily duties in a professional and flexible manner with all internal and external parties
Adhere to deadlines, communicate delays to supervisor and ensure work area is cleared each evening
Responsible for the timely and accurate management of all corporate action events in 39 markets across Europe, Africa and the Middle East, including the UK
Liaising with Portfolio Managers for elections and communicating them to custodian banks
Be pro-active in reporting any operational issues to supervisor and work with team to address them

Education Education

Bachelor’s Degree in Business

Ashford University

Bachelor’s Degree in Business

Skills Skills

Ability to grasp detailed concepts quickly
Possess strong interpersonal skills with an ability to communicate constructively at all levels
Excellent Interpersonal, written and verbal communication skills and the ability to communicate and influence at an appropriate level
Ability to learn quickly
Possess a good understanding of the risks inherent in the corporate actions environment and demonstrate good discipline around control and escalation
Possess the ability to develop good working relationships with various levels of management and external departments
High regard for attention to detail, accuracy & quality
Build and maintain strong relationships that enforce the quality of the Citigroup service
Highly committed & self-motivated with professional outlook
Strong analytical skills with an ability to identify problems and develop solutions

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Corporate Actions Resume Examples & Samples

Understanding the different types of corporate action event and their nuances
Understanding Morgan Stanley’s accounting structure
Developing a strong and trusting relationship with stakeholders
Developing relationships with all of our agent banks, registrars, exchanges and occasionally issuing companies in the various jurisdictions
Managing the firm’s corporate action risk off the back of failing/failed trades
Checking the commerciality of clients’ elections
Collecting any required legal or jurisdictional documentation
Producing clear SWIFT instructions for our agent banks to pass onto the company that manages the corporate action event market wide

Corporate Actions Resume Examples & Samples

Liaise directly with agents and clients to ensure deadlines are researched and processed in an accurate and timely manner for all clients participating in voluntary corporate actions
Reconciliation of Corporate Actions - this requires diligence, accuracy and self-motivation to ensure that risk is controlled and targets are met. Much of the reconciliation work can be complex, of high value and the resolution may require working with other Teams & Business Units to ensure the correct outcome
Risk monitoring & reporting Individuals must work closely with their line manager in order to prioritise key risks and identify potential loss making breaks
Communication with external agents and internal business units another essential component of the role is dealing with ad hoc requests from a variety of different Business Units across Morgan Stanley, e.g. Client Service Groups, Private Wealth Management and Financial Controllers, as and when they arise
Solid track record working within an operations environment
Can deal easily with multiple issues and tasks
Proven management experience. Skills in delegation, organisation and people management to ensure the team can work effectively
Proactive Team Player who actively promotes sharing of knowledge
Prepared to work additional hours to meet deadlines and strong time management skills
High regard for attention to detail, accuracy & quality
Approaches all situations with positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement. Leads by examples working with drive and determination
Is self-confident, demonstrates integrity and business-appropriate behavior
Strong organizational skills, to be able to use time well and prioritise tasks effectively
Ability to adapt to the changing needs of the department
Previous experience of Corporate Actions preferable

O&t-icg-securities Operations Corporate Actions Senior Analyst Resume Examples & Samples

University Graduate or previous and relevant working experience
Strong command in both English and Cantonese written and verbal, Putonghua optional
Abilitiy to identify and escalate relevant issues to supervisor's attention
Team player and strong interpersonal skills
Work effectively under pressure and steep learning curve
Proficiency in Microsoft Office application. Good excel macro skill is a plus

Corporate Actions Event Creation Analyst Resume Examples & Samples

Validating and enriching announcement details
Chasing Companies, agents for missing corporate action information
Preparing reports containing Corporate Action event data
Responsible for creating pre advice notifications for clients and desks
Creation of new files, distributing to supervisors for distribution
Knowledge of Corporate Actions preferred
Suitable for someone moving from a Corporate action vendor provider wanting to move into Investment Banking
A Level standard or equivalent
Good numeric skills
Good Microsoft skills including Excel, Word and Outlook
Must have knowledge of Corporate Actions event
Understanding of Swift MT564/568 an advantage

Corporate Actions Processing Analyst Resume Examples & Samples

Technical understanding of corporate actions
Experience within a custody operation. Exposure to ICSD’s, Crest, Euronext, Sweden, Germanic, Spain or Global markets
Ability to work on own and as part of a team

Corporate Actions Processing Specialist Resume Examples & Samples

Very good command of English (other languages an asset),
PC literacy, mainly MS Excel,
Ability to effectively work on telephone/email with various parties,
Good/basic knowledge of securities operations,
Good/basic understanding of various instruments of a capital market,
Sense of urgency, quick in action,
Exact, accurate,
Flexible, able to spot irregularity and react promptly and adequately,
Persistent, ready to actively follow up and escalate if needed,
Well organized, working to tight deadlines,
Sense for independent work and good team player,
Reliable,

Securities Processing Rep-corporate Actions Resume Examples & Samples

Must have the ability to work proactively, efficiently and effectively, operating under tight deadlines
Must be able to effectively multitask in order to meet demands of heavy volumes as well as department deadlines
A motivated individual who can interact with multiple departments and various levels of managements
Person must be detailed oriented who will adhere to strict processes and controls
Individual must be able to prioritize tasks effectively
Intermediate PC skills are required. Must be able to work with Microsoft Excel, Word, and various other proprietary systems
Must be able to clearly communicate with coworkers, management, clients and others in courteous and professional manner providing superior service

Securities Processing Rep-corporate Actions Resume Examples & Samples

Recent college grad with degree in finance or related field
2 year related business experience, 1 year of financial service experience
Strong written and verbal communication skills in English
Proficient PC skills (MS Office Suite, Word, Excel, Access a plus)
Strong interpersonal, analytical, attention to detail, time management and problem solving skills. Flexibility/Orientation to Change
Follow-up, Quality Orientation
Must be able to clearly communicate with coworkers, management, clients and others in courteous, professional and mature manner
Must demonstrate proven history of timeliness and accuracy
Candidates must be able to perform their duties in a dynamic, fast paced work setting and be able to exercise flexibility under the daily rigors

Corporate Actions Consultant Resume Examples & Samples

General knowledge of the financial markets and functional knowledge of a wide range of asset classes
Proficiency in MS Office (e.g. Excel, Word, Outlook) computer applications
Strong reasoning and organization abilities
3-5 years of experience in financial services
Bachelor’s degree or equivalent experience strongly preferred

Project Analyst Iv-corporate Actions Resume Examples & Samples

Leads the work of others and provides training in project analysis methods and techniques
Coaches and mentors other project analysts and ensures that there is consistency in the application of project management methodology within project teams
Builds project plans based on resource estimates, timelines and budget and other financial information
Creates and maintains internal project management tools, including work breakdown structures, work package planning spreadsheets, Gantt charts, dependencies diagrams, forecasts, actual and variance reports, costs, system changes, risk assessment ratios, templates and related applications
Creates and updates project schedules using automated project management software
Serves as a liaison between project managers and internal customers to define and clarify project requirements and parameters
Develops and summarizes the annual project report summaries
Manages change control and resolves or escalates project issues with management in assigned functional area
Maintains documentation and communications, including status reports, project charters and quality assurance reviews
Consolidates and refines status reports into program level and senior management reports
Develops audio-visual materials and participates in presentations to project stakeholders
Maintains the projects web site
Track expenditures and maintains project financial reports, forecasts and accruals
Ensures post-project reviews are completed in a timely manner
Acts on behalf of project managers, as required
Trains others to use required project management methodologies and provides user support for project management software and templates
Provides administrative support to project management teams and serves as liaison with technical and vendor support
Keeps abreast and maintains working knowledge of current project analysis and management methodologies
Advanced concepts, practices and procedures of project analysis and project management
Investment concepts, practices and procedures used in the securities industry, specifically related to corporate actions
Advanced business case analysis
Advanced project resource planning
Advanced project management concepts and methodologies
Building project plans and creating and maintaining project management tools
Creating and updating project schedules using automated project management software
Defining and clarifying project requirements and parameters
Managing project changes and dealing with project issues
Maintaining project documentation and communications
Preparing management reports
Developing audio-visual materials and presentations
Maintaining a web site
Tracking expenditures and maintaining project financial reports, forecasts and accruals
Lead the work of others and provide training in project management analysis methods and techniques
Partner with other functional areas to accomplish objectives
Incorporate needs, wants and goals from different business unit perspectives into project analysis activities
Read, interpret, analyze and apply information from professional publications
Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes, without organizational authority
Prioritize and support multiple projects and priorities in a fast-paced, dynamically changing environment
Establish and maintain effective working relationships with others at all organizational levels

Corporate Actions Administrator Resume Examples & Samples

Collecting information on event terms and investigating any anomalies
Posting cash and stock transactions for events; calculate and agree cash and holdings
Completing daily and weekly tasks associated with identifying and processing Corporate Actions
Investigating and resolving stock/cash reconciliations
Liaising with Portfolio Managers, client support areas and custodians
Raising/resolving issues when necessary and keeping other team members informed of any changes etc
Conducting regular review and revision of procedures, where necessary
Actively identifying potential areas of risks, suggesting new procedures where possible
Escalating issues and initiating communication to the team leader/team
Carrying out project work alongside day to day tasks

Corporate Actions Associate Resume Examples & Samples

Ensure all corporate action events, including income events, are captured, and validated
Interact with Portfolio Management Groups to ensure all necessary elections are received and acted upon
Manage any queries received from various internal and external parties
Interact with other BlackRock teams and the third parties/custodians as appropriate
Candidates should possess a minimum of 3 years’ experience in a Corporate Action role and have a general understanding of Financial Markets, preferably within the Investment Management or Global Custody environment

Technical Coordinator, Corporate Actions Resume Examples & Samples

9) Perform cash and stock reconciliations between custody and accounting systems. Ensure all breaks are updated within standards
10) Prioritize email inquiries with internal and external parties and escalate when needed
11) Provide coverage for team during absences or as needed
12) Ensure completion of all processing through to share availability
13) Maintain data for collation and provision to management

Corporate Actions Supervisor Resume Examples & Samples

The supervisor will be leading a team of 4 alongside another supervisor and will be responsible for processing Corporate Actions events for all cash equity, Prime finance and structure equity business lines in the EMEA region
The key oversight elements of this role are
Ensure the team have communicated all corporate actions to stakeholders in a timely fashion
Events are elected in a timely and accurate manner
Prioritize and process workflows in accordance with all procedures
The team are also responsible for control and reporting aspects of Asset Services for the markets business. The supervisor will be accountable for overseeing and ensuring all controls are being adhered to, including attendance at weekly Risk & Control meetings, as well as the efficient and effective day to day running of the team
Working in partnership with the manager, the role will entail career and performance management of the team members, working with them to ensure involvement in value added initiatives which create career progression opportunities and conducting regular 121s and appraisal interviews
The successful candidate will be responsible for building and developing the product offering to meet client expectations and adhere to industry best practice
The supervisor will also be expected to actively participate in broader Asset Services projects as and when they occur and ensure delivery is made with good quality
The working environment can be highly pressurized with competing client and processing demands. The candidate will need to work efficiently to prioritize work - demonstrating an ability to think clearly and logically - in order to manage Financial, Operational and Reputational risk
The candidate will be expected to be a strong communicator. Liaison with both internal and external clients, at varying levels of seniority within the organization, will be a regular requirement. The ability to clearly articulate and escalate issues where required is an essential skill for this role
The team is responsible for processing Corporate Actions events across EMEA markets. There is anticipated future growth in business from increased volumes, balances sheet expansion, new products and new trading strategies
The candidate would need extensive working knowledge of managing complex and large inventory positions for corporate action and income events in EMEA markets. It is crucial the candidate has practical and working knowledge and understanding of both voluntary and mandatory corporate actions and the risks associated. Accuracy is of the utmost importance
An understanding of the non EMEA markets Corporate Action and Income processes is beneficial
The candidate would need experience of the intricacies of processing a corporate action for the stock lending world and OTC trades as well as Exchange trades, SWAPs and CFDs
As the role is at a GBM Supervisory level, there is a requirement to have completed all three exam modules of an Investment Operations Certificate (formerly IAQ) and attain the agreed exam requirement within 12 months of commencing the supervisor role. Failure to attain this certificate within 12 months may lead to disciplinary proceedings

Corporate Actions Processing Specialist Resume Examples & Samples

Collect & Distribute Dividend/Coupon/Redemption payment
Corporate Actions announcement & client letter generation
Clients instructions collections & transmission to local custodians
Entitlement collection & distribution
Liaise with Custodians, Counterparties, Brokers, Front and Middle Office teams located all over the world
Investigate and resolve Nostro & depot breaks
Resolve inquiry and problem
Follow-up on discrepancies/issues detected
Update various system tools
Projects UAT
PC literacy, mainly MS Excel
Ability to effectively work on telephone/email with various parties
Good/basic knowledge of securities operations
Good/basic understanding of various instruments of a capital market
Sense of urgency, quick in action
Exact, accurate
Flexible, able to spot irregularity and react promptly and adequately
Persistent, ready to actively follow up and escalate if needed
Organized personality, abilty to work with tight deadlines
Sense for independent work and good team player
Reliable
Interest of enhancement/re-engineering opportunities
Very good command of English (other languages an asset)

Am Corporate Actions Oversight & Control Manager Resume Examples & Samples

Perform departmental audit and control functions
Plan and prioritize tasks in an effective and efficient manner
Coordinate transaction processing related to Corporate Events Securities processing
Ensure that all Service Level Agreements are met on Email and Workstation inquiries
Actively work with internal and external partners such as Client Service, Investors, Custodians and Agents
Research and resolve complex Asset Service issues
Understand key systems
Document and introduce new procedures while ensuring existing procedures are kept current
Document incidents related to errors and escalate to management
Perform project related tasks and meet tight deadlines
Must able to work in fast paced environment
Assist in the development of training materials and deliver training to staff members
Track and report various daily, weekly and monthly business metrics
Work with internal technology partners as well as external vendors
Minimum 1 year Operations experience with some Securities experience preferred
Flexibility – able to work extended hours when necessary
Ability to analyze moderate to complex securities related
Streamlining Processes
Automation Recommendation
Look for opportunities to eliminate redundancies and increase efficiencies
Assist with project and department initiatives
Assist with cross training initiatives
Proficient in Excel and Word

Corporate Actions Administrator Resume Examples & Samples

Responsible for the timely and accurate management of all corporate action events in 39 markets across Europe, Africa and the Middle East, including the UK
Will be required to work in a high risk, high volume and fast paced environment
Responsible for ensuring the successful processing of clients' high value corporate actions instructions within competitive and challenging deadlines
Accurate posting of clients' corporate action entitlements and the reconciliation of market positions versus in house systems

Corporate Actions Supervisor Stock Lending Resume Examples & Samples

Ensuring all Business deliverables are achieved and all DCFC requirements completed on a daily basis
Organise and control the day to day running of the team responsibilities
Acting as an intermediary and escalation point between processing staff and Section Manager
Focusing on versatility, performance and development of Processing staff within the team
Holding regular 121 and team meetings with team
Hold regular meetings with other Team Leaders in the section to discuss weekly planning and staff development
Complete Appraisal reviews and interviews with team members, including goals and development planning
Partake in interview selection process for new recruits to the team
Ensuring all Controls and Procedures are adhered to
Identifying areas of risk and implementing further Controls where necessary
Coordinate RCSA testing and review Manager’s Control Assessment, Flow Charts and Procedures for the team
Verification of teams work, and release of instructions to the Market
Provide support to other Team Leaders in the section and across the department
Monitoring individual and team Overtime and redistributing workloads where relevant
Prepare and complete User Acceptance Testing on enhancements to systems and also regression testing
Maintain individual/team Versatility Matrix
Monitoring holiday requirements to ensure appropriate cover is in place
Monitor and allocate all incoming instructions and advices
Analyse market changes and implement into current process where required
Provide support to Manager on the performance and development of processing staff within the team
Liaise with Trading Desk on problem issues and new processes
Conduct client RFP reviews with Sec Finance Product and assist with new client on-boarding
Work with Sec Finance Product on new products development
Technical understanding of corporate actions, including an in depth knowledge of Stock Lending product
Exposure to ICSD’s, Crest, Euronext, Sweden, Germanic, Spain and Global markets
Strong communication skills in pressurised environment

Prime Brokerage Corporate Actions Supervisor Resume Examples & Samples

Ensure all items on the Supervisor’s checklist are reviewed and signed off on a daily basis
Ensure all files are 4 eye checked and instructions/liabilities released prior to agent deadline
Ensure all Risk Events have a write up completed and suitable preventative action plans are put in place
Ensure all Escalation items, Deadlines and Pay Dates are included on the Escalation spreadsheet in line with criteria and included on EOD Escalation to the business if required
Ensure all breaks/fails on the weekly risk reporting are fully understood and narrated for your team

Corporate Actions, Executive, Executive Resume Examples & Samples

The end-to-end corporate action event life cycle across non-cash and elective events for all equity and fixed income securities traded by the bank
Withholding tax and associated internal reporting obligations
Processing trading desks and clients elections, entitlements and counterparty claims
Provide CA expertise to traders

O&t-corporate Actions Resume Examples & Samples

Proficiency in English (oral, written, reading)
Ability to work in a structured, high volume, time-sensitive and high-risk environment
Attention to detail with strong organisational, analytical, problem-solving and multitasking skills
Positive attitude and a good learning ability and interest in building, sharing and improving their own knowledge base
Possesses team orientation, interpersonal and communication skills
Proficient in computer operation tools like MS Word and MS Excel

Cib-corporate Actions Instruction Processing Manager Resume Examples & Samples

Provide oversight and manage the daily processing transactions of the team, ensuring issues are escalated and resolved
Ensure all staff are aware of and in compliance with the ASX operating rules, and all other appropriate control procedures
Actively review processes with an aim of increasing efficiency while adhering to the control framework
Proactively manage the team, ensuring appropriate skills development and driving the establishment of a high performing team

Associate IM Ops-product Data & Corporate Actions Resume Examples & Samples

Responsibility includes new issue security setups, security reference data enrichment and review, trade monitoring, ensuring securities database integrity and accurate database updates, and support of adhoc analytics as requested. The team is responsible for the data quality of securities in multiple databases and that the flow between the databases and that overnight refreshes are accurate
The team works closely with Traders, Data Management and Technology to ensure that securities are set up timely and accurately to facilitate trading and downstream processing of trades. Securities need to be set up in a time-sensitive environment to support trades where quality is essential to avoid Compliance issues and trade errors
Researching and fixing coupon and amortization breaks identified as part of reconciliation processes
Work closely with Global Teams to ensure operational consistency and projects or catering to audit requirements
Develop, analyze and maintain metrics for measuring adherence to Data Management and Operations standards and processes and improvements
Bachelor?s degree with 3 to 5 years of experience in related field, e.g. database management, data validation processes, quality control reporting; specific experience with data conversions a plus
Basic Knowledge of Equity and Fixed Income securities and its attributes
Strong organizational skills, including the ability to coordinate, prioritize, and manage multiple activities
Strong team player with a results-oriented focus and a highly disciplined approach to meeting objectives
Ability to work effectively with minimal supervision and flexibility to adapt to changing needs and requirements
Relevant prior experience in reconciliation and dealing with Corporate Actions will be an added advantage
Direct experience in the Asset Management or Securities business a plus

Corporate Actions Voluntary Analyst Resume Examples & Samples

Ensuring firms books and records are kept up to date on voluntary events
Processing incoming and outgoing elections
Responding to queries from internal trading desks
Mitigating risks concerning corporate actions to the firm.

Income & Corporate Actions Processing Analyst Resume Examples & Samples

NCS Knowledge an advantage
Income and Corporate Action past experience a benefit
Strong numerical skills

Corporate Actions Section Manager Resume Examples & Samples

Manage section comprised of multiple Corporate Action Operational Teams
Support Fund Accounting & Implementation Teams on Process Transformation, Client On boarding and new Product implementations
Manage the recruitment, training and development of new managers
Identify, develop and retain key talents within the team
Build an open, effective and efficient relationship with clients, internal colleagues and staff
Proactively engage with relevant external and internal parties to resolve all escalations
Represent the unit and Citi in client meetings and conferences
Cooperate with internal clients as well as Technology, Product, Account Managers in terms of informing about operational processes and systems
All additional tasks related to the operational area, requested by management
Identify and implementing best practice controls, checks and processes

Corporate Actions Expert Resume Examples & Samples

Support the Corporate Action & Fund Accounting Teams
Create and approve timely and accurate Corporate Action events within the Accounting system
Support the training and development of new staff
Engage with relevant external and internal parties to resolve all queries and/or discrepancies
Deliver documentation required in order to proceed with the Manager’s Control Assessment (MCA) tests
Cooperate with internal clients (other operational Units) as well as Technology, Product, Account Managers In terms of informing about operational processes
Proactive Operational Risk control of both self and team both within the current working model and advising of same in discussions on future working models
All additional tasks related to the operational area, requested by the Supervisor
Keep up to date with legal and training requirements related to the core function of the team
Identify and implement best practice controls, checks and processes
Ensure proper compliance with Citi's mandatory training obligations associated with the Citi Training and Competence Scheme – perform them in a timely and complete manner

Specialist Pricing & Corporate Actions Resume Examples & Samples

Successfully completed apprenticeship or studies of (business) economics; alternatively, similar commercial apprenticeship with knowledge of the banking business
Short-time work experience (> 1 year) in the banking or investment fund business
Knowledge of securities and derivatives
Knowledge of Capital Events
Knowledge of XeNTIS advantageous
Well-grounded knowledge of MS-Office products, especially Excel
Basic knowledge of SQL or VBA advantageous
Command of German and English advantageous
Structured, accurate and independent way of working
Pronounced capacity for teamwork

Gwim Corporate Actions Trust Operations Analyst Resume Examples & Samples

Strong accounting or financial background with solid analytical skills
Advanced understanding of the securities industry
Advanced understanding and demonstrated ability to use Microsoft Excel
Comfortable with web-based research tools
Ability to interpret all action types and understand the tax impact associated with PACE processing
Timely and dependable
Positive attitude and works well with others
Business or Finance degree is preferred
Corporate Actions experience highly desired
Knowledge of the trust accounting system (PACE) would be a plus

Corporate Actions Administrator Resume Examples & Samples

Monitoring and processing all corporate action events on a daily basis
Calculating cash and holding positions, post cash and stock transactions
Working effectively with the team towards achieving business goals

Senior Corporate Actions Administrator Resume Examples & Samples

Liaising with Portfolio Managers for elections and communicating them to custodian banks
Ensuring that queries, exceptions and event reconciliation discrepancies are investigated and resolved
Identifying potential areas of risks, suggesting procedure changes
Sharing market and product knowledge to the benefit of the team

Senior Corporate Actions Associate Resume Examples & Samples

Monitor domestic and international corporate actions announcements from the point of announcement
Review announcements and conduct research, as necessary, to validate information
Communicate with necessary internal parties regarding the terms of the corporate action, including critical dates and times regarding response due dates
Record responses and communicate with external parties, as necessary, to execute corporate action
Ensures quality completion and review of daily and long term responsibilities including daily ownership of work queues
Create an improved operating environment by instituting best practices through collaboration with internal and external resources
Collaborate with other organizational leaders to design and build best-in-class business practices across geographies and functions
Analyze key work drivers and identify opportunities to reduce manual exception rate through various methods, including automation and other technologies
Ensures ad-hoc tasks are completed as requested with functional review
Performs with little guidance and direction
Proactively identifies and develops plans for areas of improvement having mastered advanced and specialized tasks
Regularly communicates to Manager the status of ongoing projects and tasks
Escalates challenges and difficulty with task completion to Operations Manager

Income & Corporate Actions Processing Analyst Resume Examples & Samples

Income and Corporate Action past experience a distinct advantage
Strong time management with the ability to multi-task
Strong investigation and reconciliation ability

TK Ops, Corporate Actions Team Manager Resume Examples & Samples

Excellent communication skills in both Japanese and English
Ability to write report / formal letter in both Japanese and English
Ability to handle day-to-day process / people / team / project management
Understanding of operational risk and controls
Understanding of timely escalations
Understanding of market rules and compliance
Ability to perform well under pressure
Ability to think laterally and pursue opportunities for system / process improvements
Understanding of equity and fixed income as business
Asset servicing background (both equity and fixed income)
Understanding of market practice, FIEL, Tax Law, Company Law
Other operations background preferred i.e. as settlements etc
Willingness to learn/try new challenges
Detail oriented mindset
JSDA Internal Control Manager

Dividend / Corporate Actions Manager Resume Examples & Samples

Bachelor's Degree in Finance
3 years of experience supervising or managing a Dividend team
Ability to work in a fast-paced environment
Ability to manage teams in different locations
Strong communication and organizational skills
Experience working on Broadridge BPS system
Experience with Series 7 or 99

Corporate Actions Processing Analyst MTH FTC Resume Examples & Samples

Strong control focus
Excellent communication
Skills
Preferably a college or university degree"

Income & Corporate Actions Processing Analyst FTC Mths Entry Level Resume Examples & Samples

Ability to process high volumes of work with excellent accuracy and attention to detail
Work well under pressure and meet strict deadlines
Strong investigation and reconciliaitions ability

Income & Corporate Actions Processing Analyst Resume Examples & Samples

Strong numerical
Excellent Microsoft Office Skills
Preferably a college or university degree

Corporate Actions Redemptions Specialist Resume Examples & Samples

Pre and Post Payment Setup and Reconciliation tied to various Corporate Action Redemption Events. Including Partial Calls, Full Calls, Maturities
Reconciliation and balancing of multi currency ledger and client accounts on a daily basis. Understanding of AP Accounting Entries
Accurate input of daily Structured Product payments to firm database
Provide responses to service related inquiries to assist with client inquiries
Ability to execute events/reconciliations along with ad hoc requests at the same time
Establish relationships with counterparties, custodians, and paying agents
Ability to work OT as needed during monthly peak payment periods (1st, 15th, and last day of month)
Previous experience within Corporate Actions a plus

Cib-voluntary Corporate Actions Associate Resume Examples & Samples

At least 5 years of Corporate Actions processing and event setup experience, preferably on the Broadridge ADP / BPS application
Thorough understanding of corporate actions and custody and clearing operations
Expertise with interacting with DTCC and global depositories
Exhibit strong analytical skills coupled with independent and reliable decision-making skills

CIB Operations DCC Corporate Actions Associate Resume Examples & Samples

Experience in the securities services business, and direct experience with the Hong Kong market
Previous Custody experience from either Global Custodian, Sub Custody or other relevant Financial party
Knowledge of market systems and interfaces would be an advantage
Good time management skills with ability to organize own day
Provide feedback, guidance and undertake performance reviews
The ideal candidate must be a proactive team player, but also have the ability to work alone and use their initiative to deal effectively with unfamiliar situations
Capable of working under pressure and to cope with changing volumes, whilst maintaining accuracy and quality
Excellent problem solving skills with attention to detail
Excellent and confident telephone manner
Should be PC literate and able to use MS Office Suite applications - MS Word, Excel and Power Point
Keen learner with drive, enthusiasm and ability to motivate others
Flexibility in working hours is a must as there may be a requirement to cover workloads during busy periods with occasional requirement to cover bank holidays
Operational subject matter expertise critical e.g Corporate Actions
Strong Risk and Control Awareness: Ability to effectively prioritise workloads and work to critical deadlines

Corporate Actions Expert Resume Examples & Samples

Self-reliant administration of the Investment Funds being in a scope of team’s responsibilities
Supervising BAU process
Monitoring statuses of aged breaks on a team level
Cooperation with other teams/divisions in Citi in scope of performed responsibilities
Supporting team in unusual/non-standard situations requiring broad knowledge and experience
Conducting projects within a team as well as actively participating in projects on a department level proposed by managers, clients, other teams and divisions within CITI, etc. with a regular information on project’s status to a project leader and manager
Improving personal qualifications by acquiring IAQ/IOC certificate (SII/CISI) within first 24 months of employment or equivalent financial certificate (CFA/ACCA/CIMA) within a period agreed with a manager
Training of new employees
Participating in audits, business meetings, teleconferences
Caring out other business tasks assigned by the manager

Corporate Actions Market Expert Resume Examples & Samples

Analyse, challenge and transmit information from various sources on corporate events to our clients
Reconcile the client's holdings as reflected in our books and records with those of the sub- or third party custodian or lending broker as applicable
Process client responses on corporate events upon having checked the validity of the response. If required, contact the clients to further clarify the responses or chase them in case of missing responses
Manage the deadlines by monitoring uninstructed balances. Instruct the sub-custodian, third-party custodian or lending broker and follow-up on the instructions with different parties
Reflect the corporate event in the portfolio of the client through the posting of cash and/or security transactions
Ensure the completion of the file: close cash breaks and asset breaks, follow up on open trades resulting from late/pending trades
Job proficiency: the market expert must demonstrate the necessary skills and knowledge about the Corporate Action business. He/she must demonstrate an understanding of his/her duties and responsibilities. Given the importance of the interactions/interpersonal skills required for the job, he/she must work across lines of business as required
Personal organization: Given the need for accuracy, the market expert must keep files and information organized and accessible. He/she must be able to prioritise work as is required and manage his/her time effectively to accomplish what needs to get done within the deadlines determined by the event
Work quality / attention to detail: Given the need for accuracy, the market expert must use a systematic approach to achieve high-quality results with attention to detail and accuracy in order to meet the client and organisation's needs whilst being able to juggle multiple demands simultaneously
Initiative/sense of urgency: The ability to tackle problems and to take responsibility when dealing with difficult situations as well as the ability to prioritise based on business needs and to meet deadlines are key for a market expert

Corporate Actions Administrator With German Resume Examples & Samples

Knowledge of Market Data, Corp Actions, Securities Administration and/or Valuations
Ideally first financial services experience gathered (> 1 year)
Experience in using Xentis is advantageous
Good knowledge in using Bloomberg, MS Excel/Word and other relevant office systems
Excellent analytical, organizational and time management skills
Professional approach to work and personal appearance
Very good command of German and English are mandatory

Corporate Actions Resume Examples & Samples

Team Player who actively promotes sharing of knowledge
Prepared to work additional hours to meet deadlines
Demonstrates integrity and business-appropriate behaviour
Previous experience of Client Money, Corporate Actions, Dividends or Coupons an advantage

Corporate Actions Supervisor Resume Examples & Samples

Ensure timely and accurate service delivery
Management of a team of 3 4 specialists
Daily monitoring and managing of operational controls
Plan and implement training to ensure versatility across the team
Act as central point of contact for all the process related issues / improvements etc
Liaising with relevant IT teams to resolve any technical issues that prevent the optimum performance of the processes
Partner your other regional counterparts to achieve a global, regional or product consistent framework for the services provided
Lead process Improvement through innovation and transformation projects
Manage transitions within Asset Servicing areas
Consistently evaluating and updating documented procedures to Ensure they are complete, accurate and current
Participate and Lead cross departmental initiatives formulated to create or improve existing functionality and processes
Responsible for managing client expectations through seamless services delivery
Remain accessible to your client, respond to queries from Trading, Sales, Operations, Middle Office and Finance
Ability to work in Partnership with our global Asset Servicing Locations
People management skills
Strong organisational skills
Ability to multi task
Manage high volumes of work with excellent accuracy and attention to detail
Controls Focused

Corporate Actions Administrator Resume Examples & Samples

Understand the processes, controls, procedures and systems operating within corporate actions and market data
Understand the theoretical and technical nature of all corporate actions and security types
Adhere to deadlines, communicate delays to supervisor and ensure work area is cleared each evening
Resolve and respond to queries sent to the Corporate Actions mailbox within agreed timeframe
Participate in cross training and provide regular feedback to supervisor on training/development needs
Be pro-active in reporting any operational issues to supervisor and work with team to address them
Participate in Weekly Team Brief and Monthly 'One-to-One' meetings,
Providing feedback/updates on outstanding issues
Asking questions or seeking clarification where unsure
Raising any new items for discussion
Regular review of company policies/procedures and notification of any operational inconsistencies or where documentation needs to be updated
Perform daily duties in a professional and flexible manner with all internal and external parties
Work with supervisor on rollout of services to new funds, ensuring service level agreements are met
Adhere to company standards, procedures and controls and maintain work files in a neat and orderly manner, suitable for review by management and auditors
Strong clerical and keyboard skills with a particular focus on accuracy and attention to detail
Proficiency in using InvestOne, Microsoft Excel and other required systems
Focused attitude to work and an ability to constantly meet deadlines

Corporate Actions Team Lead Resume Examples & Samples

Ensuring all service deliverables are achieved and all control function requirements are completed on a daily basis
Responsible for ensuring all your team’s events are processed accurately within the event timelines
Escalate processing errors and potential risks to line manager upon discovery
Focusing on versatility, performance and development of processing staff within the team
Collate stats and attend weekly meeting with Manager to discuss previous week highlights, and forward planning for team
Coordinate, test and review Manager’s Control Assessment, Flow Charts and Procedures for the team
Prepare relevant test scripts and participate in Contingency testing
Complete a Causal Code analysis and implement the required CAP. Ensure CAP is communicated across the Department
Participate in and host team Huddles
Extensive years of experience supervising a team preferably within corporate actions
Previous people management experience
Strong Leader and Team Player
Investigation and reconciliation ability

Corporate Actions Associate Resume Examples & Samples

Understanding of Custody functions
Good communication skills (written and spoken)
Prior experience working within a Financial institution would be highly regarded
Tertiary qualification in Finance or related discipline

Senior Assistant Manager Corporate Actions Resume Examples & Samples

Ensuring information pertaining to corporate actions received from various sources (Securities Depositories / Transfer Agents / Sub-custodians) is ---accurately interpreted and clearly input to the Dept. website for timely release to clients
Checking / authorising transactions (for outgoing wire payments) as required, based on related risk and complexity
Ensure risk inherent in optional corporate actions processing is understood, identified, and controlled through the maintenance of effective procedures & management controls including
Establishing and maintaining a high degree of processing accuracy
Ensuring client inquiries are responded to in a prompt, professional manner
Manage and develop staff if required by
Setting goals and performance expectations and providing ongoing performance feedback and, as needed counsel, coaching or training
Supporting the Performance Management Program including preparation of performance appraisals and applying Performance Improvement Practices as required
Ensuring the ongoing training of staff on related operating procedures, systems and market conventions
Extensive securities knowledge gained through financial services background and completion of industry related courses and a Business Degree
Strong knowledge of related processing systems related to corporate actions processing; including: ADP (specifically REOR, ZRSP, ZCBC/A, DIVSY), CDS, DTCC, BNP, CITI, Clearsream, Euroclear, Bloomberg
Strong organizational skills including the ability to effectively prioritize, delegate, and multi-task
Strong Good leadership and HR management skills necessary for management of staff and generally to ensure day to day efficiency and control of corporate actions processing
Strong analytical skills in order to effectively manage situations not covered by documented policies and procedures and to identify, assess, and react to financial risks associated with corporate actions
Strong PC skills (MS software packages, web tools, etc) and good technical skills necessary to understand and effective utilize service providers processing applications
Demonstrated ability to work under considerable pressure which is regularly encountered due to stringent processing deadlines, unexpected volumes, and risk of significant financial loss related to processing errors

Senior Consultant, Corporate Actions, HFS Resume Examples & Samples

U.S. dividend and optional dividend processing
Knowledge of SWIFT processing desired
Experience with Bloomberg and DTC PTS terminal or web applications
Understanding of basic accounting principles
Ability to be a team player yet comfortable and self-sufficient as an independent worker
Ability to lead others on the team towards a common project goal
Direct experience with processing dividends/optional dividends is a plus Knowledge of self-clearing, securities lending, prime brokerage and market trading practices position processing treatment is a plus

Corporate Actions Plan Analyst Resume Examples & Samples

Retrieve corporate action notices, documents from Reorg Group Mail, as well as various Depositories and custodians used by Scotiabank, Scotia Capital Inc
Ability to organize and analyze data and problem solve with a high degree of accuracy
Excellent communication skills both verbal and written
Ability to respond effectively to fluctuating volumes within constrained time frames and stressful situations

Team Leader, Corporate Actions Resume Examples & Samples

Knowledge of SUMS/IMActions, CDR NAS, CDR reporting, GCA, DTC PBS/CA Web, IMS, ERM, TLM, GCUM, TRADE, Intranet Reporting, WCM, CICSPOO, IC – FOCUS, Bloomberg, Microsoft Excel, XACT, and Fund Master
Be able to independently read and understand complex corporate actions by reading the prospectus, disclosure statements, and other legal documents when necessary to resolve issues
Understanding the life cycle of a corporate action from announcement to execution and entitlement for both voluntary and mandatory events
Understand how events are processed onto IMS for mandatory events. This includes tran & tax codes that are required and what systems can be used to post
Familiarity on Mandatory event processing and Calls processing
Understand the securities industry including the role of agents, DTC, and trade cycle as it relates to Corporate Actions
Be able to reconcile both cash and security exceptions
Detail oriented, assertive, and independent
Ability to identify, analyze, and solve problems
3-4 years of experience as a Team Controller / Team Leader or similar position with management experience
3-4 years of experience in Corporate Actions. Ideal candidate would have experience processing and knowledge of Voluntary or Mandatory corporate actions and be familiar with the processing of these events at DTC and on a Custody platform

Corporate Actions Administrator Resume Examples & Samples

Monitoring for voluntary corporate actions and communicating events to our clients in a timely manner. Collection and execution of voluntary elections to custodian network
Entering and maintaining trading restrictions for all elected corporate action events
Preparing Excel-based reporting for clients
Following up with custodians or prime brokers to confirm voluntary election payments
Review, verification and posting of voluntary events to internal accounting systems
Performing corporate action reconciliation functions resulting from portfolio accountant inquiries
Review, verification and booking of all mandatory corporate actions
Reviewing and cross referencing OTC holdings for corporate action processing
Understanding of International Reorg Systems (CDS, DTC, Euclid , SWIFT)
Minimum of 2 to 4 years of reorganization experience desired
Strong organizational and time management skills with attention to detail
Excellent written and interpersonal communication skills
Ability to prioritize, multi-task and work well under pressure
Competent in Microsoft Office

Corporate Actions & Income Processing Analyst Resume Examples & Samples

Processing UK, Foreign and Fund Income Distributions, this will include Accumulations, and Re-investments
Ensuring that events are received, and key dates are diarised in our internal system. All MT564/568/566 messages are captured from our Global Custodian and/or SSN's issued by the LSE/EDI, and ensuring that these are scrubbed against a second source
Composing notifications to Client Advisors for mandatory events, ensuring all key data/options are captured

Corporate Actions & Income Processing Team Leader Resume Examples & Samples

Composing notifications to Client Advisors for mandatory and voluntary events, ensuring all key data/options are captured
For voluntary events, ensuring elections are reconciled and instructions generated correctly ready for verification by the Team Lead or Deputy; this will be either via SWIFT MT565/566 or the relevant CREST settlement message
Ensuring that all entitlements for Income/Corporate actions are captured and processed accurately and in a timely manner and within internal SLA's
Clearing cash and stock breaks

Corporate Actions Supervisor Resume Examples & Samples

Assisting in the daily management of the Team's workflow
Review and interpretation of all corporate actions announcements
Communication of events to asset and investment managers
Acting on elections and notification of events to custodians & registries
Review of event processing to ensure correct Accounting and Tax treatment
Reconciliation of entitlements resulting from corporate actions

Corporate Actions Associate Resume Examples & Samples

3+ years experience in Corporate Actions processing
Knowledge of DTCC PBS functionality
Solid math and data entry skills
Knowledge of Global Plus

Consultant, Corporate Actions, HFS Resume Examples & Samples

U.S. financial markets and financial security instruments
Knowledge of non-U.S. dividend and optional dividend processing desired
Strong reasoning, organization, planning and leadership abilities
5 - 8 years experience in securities operations environment with team leadership experience preferred
Experience in managing short term projects relating to automation, systems upgrades and/or client onboarding preferred

Corporate Actions Coordinator Resume Examples & Samples

Knowledge of SUMS, CDR, CDR reporting, GCA, DTC RIPS, DIVA, IMS, IOL, TLM, GCUM, TRADE, Intranet Reporting, CICSPOO, IC – FOCUS, Bloomberg, Microsoft Excel, XACT,Fundmaster and DTC allocation screens
Knowledge of Fundmaster system
Be able to independently read and understand complex corporate actions by reading the prospectus, disclosure statements, and other legal documents
Understand the manual and system posting of mandatory events
Understand the securities industry including the role of agents, DTC, and trade cycle as it relates to corporate Actions
Demonstrated ability to quickly learn new functions
Effectively handle competing priorities, demonstrated ability to multi-task
Ability to identify, analyze, and solve problems independently
Dependable and accurate in carrying out responsibilities to a successful conclusion
Technical Coordinator experience is a plus
1-2 years of experience in corporate actions. Ideal candidate will have experience with Mandatory corporate actions and/or the Notifications of corporate actions

Corporate Actions Administrator Resume Examples & Samples

Monitoring multiple sources and identifying events
Obtaining a decision from the appropriate Portfolio Manager for voluntary events
Instructing multiple global custodians
Posting the event on the accounting system
Resolving discrepancies or queries regarding an event
Identify and participate in the implementation of process improvements, either through re-engineering or automation, which reduce operational risk and increase efficiency
Participation in global team projects related to system enhancement testing and implementation
Completion of Bachelor degree, ideally in Finance or Accounting
Strong knowledge of equities, fixed income and derivative instruments, including OTC varieties and their relevant corporate action events
Ability to prioritize work and multitask in a high volume, deadline driven environment
Strong written and verbal communication skills as well as excellent client service skills
Good team player who works independently with minimal supervision
Strong drive and commitment and the ability to take initiative
Strong computer skills with specific knowledge of Microsoft Excel
Knowledge of SWIFT MT56x messages

Corporate Actions Senior Reorg Specialist Resume Examples & Samples

Bachelor’s degree and 3+ years related of experience in a financial services operations role is a plus
Series 99 within 6 months of hire as role processes cash or security movements
Proficiency in FII, CCH and Fiserv APL
Proficiency on DTC and BNY Mellon Reorg systems
Proficiency and experience with Microsoft Office (Word, Excel, Outlook, PowerPoint)
Strong analytical skills with the ability to perform advanced problem solving
Ability to tolerate multiple assignments, work under pressure and within deadlines and produce accurate results
Detail oriented with focus on accuracy
Superior organizational skills with the ability to prioritize, monitor, and complete multiple tasks or projects, either independently or collaboratively within a team
Excellent written and verbal communication skills are a must with the ability to effectively relate to work in a team-oriented setting
Ability to stay focused under pressure and to prioritize work in order to effectively manage time
Proven reliability in attendance and performance

German Speaking Corporate Actions Senior Analyst Resume Examples & Samples

Proactively provide support to other Processors on the team and across the department
Coordinate and lead User Acceptance Testing on enhancements to systems and regression testing
Participate in Contingency testing
Native or Fluent German
0-4 years of experience working in a corporate actions or custody operations environment
Experience within a custody operation
Strong investigation and reconciliations ability
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience

Asset Servicing Senior Mgr-corporate Actions Resume Examples & Samples

Responsible for managing a team of approximately 15-25 employees
Develop and maintain the departmental budget including technology development
Achieve or exceed forecasted FTE and expense goals
Identify and implement service enhancements and process improvements
Lead re-engineering, efficiency management, quality improvement, and cost optimization efforts
Develop and manage productivity and quality standards to optimize efficiency
Ensure department adheres to all audit policies and procedures
Manage various client relationships
Manage risk on a daily basis
Effectively interact with other operating units and managers

Intern Corporate Actions Resume Examples & Samples

Providing support and interacting professionally with various global partners
Current student status,
Fluent English,
Strong analytical and organizational skills,
Ability to perform multiple tasks in a fast paced team environment, adhering to established time frames and schedules,
Strong attention to detail,
Proactive attitude,
Self – reliance and self – discipline at work,
Comfortable working in a global environment,
Excellent communication skills,
Proficient at MS Office applications
Work experience (preferred)
The availability to work 25 - 30 hours per week

Corporate Actions Resume Examples & Samples

University graduate with minimum of 2 years relevant working experience
Strong communication skills in both English, Cantonese, both written and verbal
Ability to apply firm's policies and procedures to daily work and make a positive impact to the team
Possess strong sense focus on control and responsibility
Excellent prioritization focus on workload and meet tight deadlines
Ability resolve and escalate relevant issues
Be able to act as a team player with strong interpersonal skills
Proficiency in Microsoft Office applications; good Excel Macro skill is a plus

Administrator, Corporate Actions Resume Examples & Samples

Responsible for the accurate processing of all Corporate Actions, as allocated by the Team Leader / Assistant Manager
Responsible for ensuring that all instructions for voluntary issues are presented to the Team Leader / Assistant Manager in a timely manner for checking
Responsible for the resolution of reconciliation issues and client enquiries within prescribed time frames
Responsible for ensuring that all cash entitlements resulting for a Corporate Action are positioned and credit to clients accounts in line with any currency deadlines allowing for positioning by the Treasury services team
Responsible for ensuring that all tasks allocated are completed by the end of each day
Responsible for the adherence to risk management controls/procedures in the processing or all allocated Corporate Actions

Corporate Actions Assoicate Resume Examples & Samples

Monitor the Corporate Actions Manager (CAM) throughout the business day and, in conjunction with team members, effectively manage processing volumes over futures periods
Investigate reconciliation discrepancies on a daily basis ensuring all discrepancies are resolved and cleared at the earliest opportunity
Ensure the appropriate restriction status of entitlements is maintained in BlackRock applications through interaction with custodians and update
In addition to a solid background in international Corporate Actions, leadership skills or evidence of functional oversight will be an advantage in this role
Acute attention to detail and understanding of downstream processes
Possess a good understanding of the risks inherent in the corporate actions environment and demonstrate good discipline around control and escalation

Corporate Actions Junior Expert Resume Examples & Samples

The person in this position takes care of all steps occurring from the time of the input of a corporate actions or income payments event until the settlement is completed
Dividend/Coupon/Redemption payment collection & distribution,
Corporate Actions announcement & client letter generation,
Clients instructions collections & transmission to local custodians,
Entitlements collection & distribution to clients,
Liaising with external parties (Custodians, Brokers, Front and Middle Office teams) located all over the world,
Nostro & stock breaks investigation and resolution,

Corporate Actions Operations Specialist Resume Examples & Samples

Other responsibilities would include processing early CD redemptions due to death, CMOPs, and assisting in process improvement initiatives and process documentation
Individuals would also be responsible for the compilation and distribution of various management and regulatory reports such as volume and risk analysis
In-Depth knowledge of DTCC, Euroclear, and other foreign markets Corporate Action processing routines, systems, and methods. Knowledge of DTCC receive and deliver systems and cash movement systems
Thorough understanding of stock records and journal entries is essential
Sound reconciliation and analytical skills. Strong communication skills (both written and verbal) that will allow individuals to effectively interact with external contacts at depositories, agents, and internal clients up to the officer level

Corporate Actions Senior Manager Resume Examples & Samples

Extensive years people management experience preferably within Custody Operations
Ability to build strong working relationships
Exposure to managing tactical and strategic initiatives
Risk management experience
Excellent communication skills required to negotiate at a senior level and to articulate complex recommendations
Good organisational skills with the ability to work under pressure and prioritise within aggressive deadlines
An ability to drive and implement change
Resilient
Thorough understanding of the strategic direction of the business
Be cost aware and drive improvement/efficiency

Corporate Actions & Income Specialist Resume Examples & Samples

Booking of Income events (interests, dividends, redemptions)
Booking of mandatory/optional events and all transactions related to C.A. (cash or stock)
Notification of holders for all kinds of events
Daily monitoring of deadlines
Compare swift notifications from custodians with a second source (i.e. Telekurs, Bloomberg)
Collect and consolidate customer instructions and instruct Custodian
Reconciliation of Corporate Actions and Income bookings (Cash and Stock)
Responding to customers/client service centre requests
Ensure that all claims and discrepancies are identified, addressed and followed-up
Professional experience in corporate actions & income area required
Critical approach to problem-solving and strong commitment
Commercial and customer-oriented behaviour
Good communication and organization skills
Flexibility and ability to work under pressure
You are used to work in a team as well as independently
Good knowledge of MS Office and systems such as Telekurs, Bloomberg
Fluent in English (oral and written), additional language skills are an asset

Corporate Actions Senior Analyst Resume Examples & Samples

The candidate is responsible, alongside other members of the project team, for analysing and defining the business requirements and will work closely with Business Support and technology to solution gaps that are identified
The candidate will participate in the risk assessment
The candidate will assist in test case development, perform testing and review and participate in defect route cause analysis
The candidate will develop workflows and procedures and provide training to staff members
The candidate is also responsible for adhering to established quality control measures and procedures
S/He will interact daily with clients, third party custodians, agents and internal Bank of New York Mellon business groups, including the corporate actions custody and accounting teams

Corporate Actions Senior Analyst Resume Examples & Samples

Timely preparation and delivery of accounting records and reports (standard and non-standard) to other relevant teams
Participation in projects/assignments within a team proposed by managers, clients, other teams and divisions within Citi, etc. with a regular information on project’s status to a project leader and
Ensure at the end of the day that all the additions have been validated in Multifonds
Also assist manager in various processes and procedures improvement and control effectiveness
Review processes and suggest improvement to reduce manual work and enhance efficiencies of the team
Build working relationships with NAV and other teams through the development of a high performance environment

Corporate Actions Team Leader Resume Examples & Samples

Release of COAC Payments
Processing of client elections for optional events
Identify reasons for any differences and resolution of any discrepancies
Following up on all outstanding claims until funds received and claims closed
Understand the market specific issues which impact Stock Lending payments
Carry out any clerical tasks/activities within area depending on staffing levels and volumes
Completion of daily task list, ensuring all duties and processes have been performed, in line with Department Audit requirements
General Administration duties
Continued on the job training will be given, however knowledge in either Securities or Cash is preferable
A basic understanding of reconciliation and exception investigation process
Strong Work organisation/prioritisation skills
Effective communication/team skills
PC literacy

Corporate Actions Resume Examples & Samples

To investigate and resolve client Corporate Action enquiries within the Bank Standard, where possible
Participate in service reviews and client meetings
Monitoring, collating and analysing client and departmental MIS
Build and maintain strong relationships that enforce the quality of the Citigroup service
Create and reinforce positive working relationships with clients and colleagues
Work closely with the Client Executives and Client Sales Managers to develop client specific service solutions
Adherence to all department standards and controls. Be risk averse
Previous relevant Global Custody experience is essential
Excellent Interpersonal, written and verbal communication skills and the ability to communicate and influence at an appropriate level
Ability to work as part of a team, and also under own supervision
Must be able to understand and appreciate requirements of demanding Clients and be able meet and exceed their expectations

Corporate Actions Resume Examples & Samples

Verification of Securities Lending and Broker dealer dividend payments
Journal review for Securities Lending and Broker dealer claims
Review of daily status updates from vendor
Review all unclaimed dividends and contact clients to investigate disputed claims
Daily interaction with the vendor
Escalation to management and other teams
Ensure Key Performance Indicators and Key Risk Indicator benchmarks are met, and implement remediation strategies with the vendor where required
Produce management reporting information to ensure processes are recorded and all key controls are delivered
Strong Communication skills as you will be expected to develop relationships with the vendor, clients and the Business Unit
Strong people management experience
Strong coaching and mentoring experience
Proven track record of effective risk management and ability to escalate issues in a timely fashion
Ability to grasp detailed concepts quickly
Highly committed & self-motivated with professional outlook
A good aptitude for working in a demanding fast paced environment
An ability to handle high volume workloads

Corporate Actions Control Resume Examples & Samples

Daily Client Money Exception management process
Dividend Surplus P&L reconciliation
German Tax Reconciliations
Corporate Action Shorts and Segs Process
Strong Communication skills
Ability to work well under pressure, lending control and order to a difficult or pressurised situation
Strong multitasking capabilities and time management skills
Is self-confident and demonstrates integrity
Previous experience of Client Money, Corporate Actions, Dividends or Coupons is advantageous

Equity Corporate Actions Releasing Team Resume Examples & Samples

Processing of equity corporate actions (voluntary & mandatory)
Daily management and resolution of corporate action exceptions
Can work well under pressure, lending control and order to a difficult or pressurised situation
Can deal easily with multiple issues and task
Approaches all situations with positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement. Working with drive and determination
Ability to question a process and promote own ideas and solution

Manager, Corporate Actions Resume Examples & Samples

To oversee the daily workload ensuring transactions are completed in accordance with customer instructions, service level agreements and external time frames
Support the Head of Custody Operations to deliver on the strategic transformational priorities and projects
To liaise with our Global Custody partner to resolve and rectify service delivery issues
Ensure that the Corporate Actions team is compliant with NAB and Asset Servicing Operations policies and procedures
Build and improve key personnel, reducing critical role risk and uplifting the capability within the team
Ensure the team is correctly resourced through utilisation of capacity management frameworks
Implement Operational Excellence within the team to uplift productivity
Engage in the promotion of the department to internal and external clients as and when required
Improve the customer service environment within Corporate Actions
Improve cost to serve, focusing on discretionary costs, whilst uplifting service quality
Embed a culture of Right First Time processing reducing operational errors
Undertake performance conversations, career and development plan conversations in line with the People Leader Fundamentals frameworks
Substantial proven (8+ years) and successful service delivery experience in a complex global custody environment
Exposure to business and the technology (application and business architecture, technical architecture and packaged software) that supports the service
The role holder is likely to be educated to degree standard or above
Corporate Actions experience

Corporate Actions, Senior Operations Analyst Resume Examples & Samples

2 – 3 years in the financial industry, specifically in Corporate Actions
Ability to multi task and manage work during constant high pressure situations
Document all policy and procedures so that all operations and duties are documented per client, bank, and regulatory guidelines
Communication skills to interact with investment professionals, custodians, and operations teams
Excellent customer servicing and problem solving skills

French Speaking Corporate Actions Manager Resume Examples & Samples

Involved in analysis of procedures and system development, coordinating resources for testing
Hiring and interview selection
Succession planning across all roles within the team
Proven record of managing staff, including performance appraisals and managing underperformers
Native French and/or Dutch Speaker
Strong communication skills required to negotiate at a senior level and to articulate complex recommendations
Highly numerate
Quick learner
Hold a 3rd level degree in Business or other relevant discipline
IOC Qualifications are preferred

French Speaking Corporate Actions Senior Analyst Resume Examples & Samples

Assist with team/dept projects
Extensive years of experience working in a corporate actions or custody operations environment
Understanding of corporate actions
Fluent French speaker, and/ or Dutch speaker
Bachelor’s degree in Business or related discipline

Corporate Actions & Income Payments Operations Specialist Resume Examples & Samples

Good command of English,
Good command of Polish,
Exact, accurate, well organized, quick in action,
Good team player,

Consultant, Corporate Actions Resume Examples & Samples

General knowledge of the financial markets and
An excellent knowledge of European corporate actions is required to evaluate
In-depth Functional / Industry Knowledge is required
Technical skills / systems knowledge is required

Securities Lending Income & Corporate Actions Operations Resume Examples & Samples

Reconcile Client stock balances
Reconcile cash payments made to Clients against payments received from brokers
Understand the market specific issues which impact Stock Lending Income payments
Drive process improvement exercises
Ensure the groups high level of service is maintained for all of the groups Clients
Acting as point of contact and escalation with the team
A flexible approach to work is essential and overtime may be required
Experience of dealing with Clients, Client representatives or other financial institutions is also preferable
Understanding of SECORE, NCS, SLS or RECON systems an advantage
A good understanding of reconciliation and exception investigation process
Experience of different local market practices would also be an advantage
Strong Work organisation/ prioritisation skills
Proactive problem solving experience
Overall knowledge of income processing systems
Clearly understand Department procedures and Audit requirements

Corporate Actions & Income Team Member Resume Examples & Samples

Processing of UK, Foreign and Fund Income Distributions, this will include Accumulations, and Re-investments
Experience of CREST and Dividend Claims processing an advantage
Ownership and maintenance of your own mandatory Corporate Actions diary to ensure coverage of the 3 key areas in an event lifecycle: Event Capture – Notification – Processing. This will be across all markets
You will be responsible for composing notifications to Client Advisors for mandatory events, ensuring all key data/options are captured
Ensure that all entitlements for Income/Corporate actions are captured and processed accurately and in a timely manner and within internal SLA's
Clearance of cash and stock breaks
Experience of ISO 15022 SWIFT messaging and CREST and Claims processing advantageous
Query resolution
Experience of banking industry, preferably within a Wealth Management environment
Ability to set and work to own targets independently
Using judgement to make appropriate decisions and to escalate as appropriate
Strong end user of common IT applications (Word, Excel, Access, PowerPoint)
Analytical thinking and problem solving abilities
A strong focus towards accuracy and risk mitigation, paying particular attention to detail and ensuring the best possible client experience

Voluntary Corporate Actions Resume Examples & Samples

Handle moderately intricate to extremely complex corporate action events for multiple clients
Validate corporate actions announcements, inclusive of key dates and rates
Review stock record and announcements to determine ownership
Collection of voluntary event instructions
Balance transactions for events and resolve exceptions. This entails the calculation and reconciliation of books and records. As part of this process, user is required to make decisions on how to apply obligations against available inventory. Elections can be applied against proprietary inventory, street obligations or short positions. This has a reputational and relationship impact as related to the level of business conducted with each counterpart
Calculate outgoing voluntary instructions and submission to custodians, depositories and Trade & Stock Loan counterparties
Identify any potential risk items and escalating to a specialist or management for advice or resolution
Submit claims to counterparts on outstanding receivables and following through until collection of funds and monitor
Investigate and communicate approval or rejection of claims
Calculate entitlements based on voluntary instructions received and event results
Collect / pay entitlements, data extraction, collation, reconciliation, and resolution of exceptions
Input or instruct payment messages via Swift or DTC
Clear ledger receivables / payables upon receipt or payment of funds. Process journal entries to balance sub-ledger accounts
Reconcile and resolve exceptions. This is inclusive of position discrepancies, rate differences, income tracking errors, cash breaks, and suspense breaks
Investigate client or broker inquiries and provide timely responses
Analyze user requirements, procedures, and problems to improve business process
Assist in process improvement initiatives and document process flows and create policy and procedure documents
Additionally, clients may not actively react to voluntary events. Incumbent is responsible for calculating the economic impact of said voluntary events and decide to participate or cancel an election should it have a detrimental impact or should the client be exposed to potential losses
Candidates must also vast a vast knowledge of overall asset services and overall operations to determine the impact of a voluntary event across multiple businesses. They can initiate a request to recall contracts, advise clients that short positions may need to be covered or absorb term options on the back of a related event
Strong leadership skills with ability to deal with stressful situations
Ability to work well with other team members and assimilate
Ability to adapt to a changing environment, open to new ideas and processes
Ability to adhere to established quality control measures and procedures
Maintain a focus on quality, attention to detail, communication and delivery to tight timeframes. Collection and submission of instructions manually through DTCC without errors
Time-management skills critical due to deadlines associated with this position, very tight deadlines provided to clients
Ability to effectively process voluntary instructions during periods of heavy volumes
Sound reconciliation and analytical skills
Strong communication skills (both written and verbal) that will allow individuals to effectively interact with external contacts at depositories, agents, and internal clients up to the officer level
5+ Years of Broker Dealer operations prior experience, 3+ years of voluntary corporate actions experience. Experience using Microsoft Office tools including Excel and Power Point. ADP Processing Platform experience a big plus

Administrator, Corporate Actions Resume Examples & Samples

Ensure Operational Events are maintained at an absolute minimum, or where occurring are not repetitive in nature as part of managing key risk indicators
Maintenance of satisfactory internal and external Audit/Regulatory/Risk ratings and reviews
Adherence to all procedures and control functions, including reconciliations, as appropriate, to minimize financial loss to RBC and its clients
Ensure SLA’s are adhered to, without exception
Compliance with Treat Client Fair policy and complaint procedure
Responsible to build and maintain external relationships, where applicable
Ensure prompt escalation of any issues that may cause financial or reputational issues to RBC or its clients
Ensure all corporate events and associated entries are processed accurately within the required timeframes. Ensure that the client/investment manager is notified or paid as appropriate
Ensure active dialogue with counterparties in relation to the successful processing of entitlements

Corporate Actions Senior Manager Resume Examples & Samples

Day to day management of the Corporate action processing teams
Responsible for Voluntary and Mandatory events and providing support to Corporate Action teams Globally
Working with Department Manager on various market forums, regulatory updates, metrics and enhancements
Responsible for Staff development and career progression

Corporate Actions, Associate Resume Examples & Samples

Ensure all necessary corporate action instructions are issued and acknowledged by custodians, Trust Bank and counterparties
Monitor the Corporate Actions Manager (CAM) throughout the business day and, in conjunction with team members, effectively manage volumes and trends
Manage any queries received from both internal and external stakeholders
Escalate all material risk items and service issues on a timely basis
Support the global "pass-the-book" strategy and build strong relationships with Global Corporate Actions colleagues
Demonstrate flexibility and resourcefulness when faced with business challenges or obstacles
Challenge the status quo and build partnerships with internal and external parties to drive innovation, improve performance and the client's experience
Participate and contribute in local, regional and global initiatives/projects in conjunction with the Global Corporate Actions team
Manage workload and determine appropriate priorities to ensure the completion of work in an effective and risk controlled manner
Understand flow of client and fund information and data between various groups and systems
Understand local financial processes involving Trust Banks, and be sensitive to Japanese client's expectations
Become a student-of-the-market to stay abreast of industry and market developments. Understand the full scope of BlackRock's business beyond own unit
Candidates should possess a minimum of 5 to 6 years’ experience in a current Corporate Action role and have a broad understanding of Financial Markets and the regulatory framework governing Investment Management or, a Global Custody environment
Candidates must be able to demonstrate a track record in change management through project work or other process efficiencies
Experience in Derivative Products, Securities Lending or Fund Accounting would be an advantage in this role
Excellent interpersonal and communication skills aligned with a good background in leadership, management or supervisory experience

Corporate Actions Supervisor Resume Examples & Samples

MBA (Finance) degree required with focus on accountancy/commerce
2-3 years experience as supervisor or above
Overall working experience of 8+ years
Experience in global trading & settlements functions (trade settlements, corporate actions, securities processing)
Sound Knowledge of financial markets and various security types
Excellent communication skills required – both oral and written
Heavy interaction with many US sites – ability to communicate well in English
Extensive use of MS Excel and PowerPoint
Strong Organization and project management skills
Ability to manage staff with little or no direction from Manager
Excellent people skills – ability to deal with staff issues
Supervise a staff of individuals with varying levels of experience and backgrounds. Responsible for the training and development of assigned personnel
Recommend and implement changes/additions to group procedures to increase efficiency and/or accuracy
Ability to lead change strategies and hold staff accountable for action
Ability to influence and negotiate within own department and across the organization
Professional development growth opportunities through in-house classes and over 150 Web-based training courses
Life insurance for protection of employees’ families
Personal accident insurance for protection of employees and their families
Employee Stock Investment Plan (ESIP)

Corporate Actions Associate Resume Examples & Samples

Approaches all situations with positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement
Shows initiative and creativity, taking a long-term approach to improvement and resolution of issues
Is self-confident, demonstrates integrity and business-appropriate behaviour

Income & Corporate Actions Processing Analyst Resume Examples & Samples

Ensuring that all deadlines are met, all unmatched and failed trades are investigated and satisfactorily resolved and that the reconciliation breaks identified are investigated and resolved
Manage variable daily traded volume within the role; adhere to tight deadlines, involving large financial transactions
Be fully aware of time critical deadlines and fully conscious of high value trades and sensitive clients
Maintain a high level of customer service and support, to both external customers and key Citi staff
Build strong relationships with other areas, including regular communication with the settlements teams
Ensure all post settlement breaks are resolved within the required timeframe and that the numbers of reconciliation differences are kept within strict tolerances
Meeting all Control and Compliance requirements and updating procedures as required
Assist with staff development and meet all Objective/Appraisal deadlines
Being fully aware of information security requirements, and complying with the clear desk policies
Analytical and problem solving skills are essential
Ability to investigate source of issue and advise of solution either technical or procedural to improve automation within the reconciliation
Demonstrates sound judgement and professionalism in decision making/problem solving, escalating to supervisor as appropriate
Good Microsoft skills including Excel, Word and Outlook Work experience in the Financial Services Industry is a benefit
Customer service experience
Understanding of bank reconciliations, proofing
Displays a well-developed ability to schedule work and understand relative priorities
Building positive working relationships and working with team members to understand the root cause of an issue in a timely and effective manner
An understanding of the risk in not delivering a good service within the Client Service sector

Voluntary Corporate Actions VP Resume Examples & Samples

Managing a team of 10 which includes 2 direct reports for the handling and processing of time critical voluntary reorg events
Direct Interaction with various internal business units Prime Broker, Swaps, Lending and Repos
Taking ownership for the presentation of details and offer terms to Credit Suisse clientele in an accurate, timely, and professional manner
Responsible for the collection and execution of client instructions
Ensure proper submission of liabilities to the relative parties
Interface with Securities Lending and Repo desks when needed
Review of processing entitlement transactions. Ensuring accounts are reconciled and reported accurately and efficiently
Responding to verbal and non-verbal escalated inquiries
Participate in training fellow associates as necessary
Oversight for departmental compliance, ensuring all policies and procedures are being followed
Minimum of 10 years management experience within Corporate Actions
Solid writing and verbal skills
Proficient in utilizing DTC / CDS / Euroclear Reorg systems
Excellent time management and prioritization abilities
Able to perform in a fast paced and challenging environment
Understanding of Event Data Management and offering material
Well versed in settlements and securities lending
Knowledge of SWIFT messaging

Corporate Actions Associate Resume Examples & Samples

Recently completed Tertiary Education in Finance/Accounting/Business/Commercial/Statistics would be looked upon favourably
Prior experience working within financial institution, ideally funds management
And understanding of Custody functions
Good analytical skills, quick learner and a high attention to detail
Excellent time management skills and the ability to work in a fast paced environment

Voluntary Corporate Actions Resume Examples & Samples

Attention to detail, risk awareness and appropriate escalation
Strong team player with good communication skills
Commercial understanding of the markets and a client’s needs
Numerical skills
Proven track record of using initiative and implementing process improvement
Knowledge of corporate actions
Bachelor’s Degree (2:1 Classification or higher) or equivalent

O&T Corporate Actions Intermediate Analyst Resume Examples & Samples

Around 5 years of experience in processing of APAC corporate actions
Good English oral and written communication skills
Risk oriented mindset and focused on controls

Team Lead, Corporate Actions, HFS Resume Examples & Samples

Conducts performance management and career development processes, provides input for staffing and disciplinary actions and provides hands-on training to staff
Provides input and support to budget management process
Leads project initiatives related to the business functions of the team for process improvements, risk/gaps closure, new business and/or industry/client mandates
Excellent oral and written communication skills are required as well as in-depth functional / industry knowledge
Leadership and organizational skills are required to develop periodic goals and to manage and motivate team members
Candidates should be highly flexible and adaptable to change
Technical skills / systems knowledge is a plus
A College or University degree and/or relevant proven work experience is preferred
5 - 8 years’ experience in securities operations environment with proven team leadership or management experience
Experience in managing short term projects relating to automation, systems upgrades and/or client onboarding
Strong proficiency in Excel and Microsoft Word (or related software)
Excellent English, grammar, written and oral communication skills

100

Proxy & Corporate Actions, Assistant VP Resume Examples & Samples

8+ years in the financial industry
Ability to lead and work independently under time sensitive and high pressure demands
Detailed understanding of proxy and operational support functions
Strong experience in equity and fixed income products

101

Asset Servicing / Corporate Actions Resume Examples & Samples

Strong experience in the oversight and approval of daily Announcement Creation and/or Payments and Reconciliations (or similar Voluntary Asset Servicing teams) functions
Functional Expertise of Voluntary Asset Servicing including Fixed income and equity Corporate Action and Income processing
Strong technical skills and pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
Proven ability to effectively manage operational risks and to develop control enhancements
Excellent communication skills to clearly articulate issues and ideas with different levels across Operations and Federation stakeholders
Strong analytical skills with an ability to understand complex workflows, and excellent attention to details
Sound time management skills to be able to effectively prioritize and multi-task
Proven track record of improving processes and demonstrating successful teamwork
Strong control mind set with a passion for risk management
Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations
Good influencing skills to work with the Operations team in challenging the status quo and continuously enhancing the control environment
Innovative and flexible in coming up with suggestions and ideas
Inquisitive and able to learn quickly
Solid knowledge & experience in the Financial Industry
Proven experience of developing and managing a team
Functional Expertise - Keeps current with emerging business, economic and market trends
Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations
Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others
Judgement and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value
Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendations

102

Team Ld, Corporate Actions Resume Examples & Samples

Manages the day-to-day activities and initiatives of the team. Develops and schedules appropriate level of staff
Support and complete client inquiries and requests. Resolve escalated issues from subordinate staff
Directs staff, maximizing their ability to function effectively with their colleagues as a team
Provides support to business and technology managers; handles complex client inquiries and requests
Monitors account work flows and processing issues to identify systematic patterns which may require adjustment to policies and procedures. Provides support, consulting and problem resolution activities
Trains staff in technical tools and skills as well as specific internal or external client support activities to maximize their contribution to the team and ensure compliance with company policies and industry regulations
Supervises a small client processing team. May be responsible for specific supervisory review and approval actions
Supports the achievement of team objectives
Good understanding of agent notifications including but not limited to SWIFT messages
Good sense of Risk awareness
Ability to motivate staff
Cover supervisory duties
Team player

103

Corporate Actions Senior Manager Resume Examples & Samples

Day to day management of the corporate action processing teams
Responsible for Voluntary and Mandatory events and providing support to Corporate Action teams globally
Potential to rotate within the Department and increase scope

104

Senior Rep, Corporate Actions Resume Examples & Samples

Primarily responsible for reviewing the processing and maintaining voluntary and mandatory corporate actions and dividends on products
Support and complete client inquiries and requests. Often assists others with more complex requests
Reviews reconciliations of client holdings versus agent holdings to ensure accurate corporate action transaction processing; identifies opportunities for improvement and develops action plans for implementation
Audits event files for all relevant documentation and recordkeeping requirements; provides coaching and feedback to junior staff
Contributes to client conversion, release and continuous improvement activities
Provides knowledge and technical assistance, determining when the more complex problems should be referred to a supervisor or senior professional
No direct reports; may provide guidance to more junior staff
Responsible for the quality and completion of own work
Excellent attention to detail, prioritisation and time management required
Client focussed with a willingness to understand and assist with client queries required
Experience working in a financial services regulated environment desirable (Financial Conduct Authority, Central Bank of Ireland or the Jersey Financial Services Commission)
Knowledge of equity markets, fixed income and foreign exchange desirable
Willingness and desire to self-educate on Corporate Events

105

Head of & Corporate Actions Control Management Resume Examples & Samples

Coordinate all embedded control activities for the function from an EMEA perspective, directing and coordinating other embedded control section, unit and analyst resource as necessary
Direct and perform Risk and Control Reviews/ Testing to ensure adequacy and effective of controls and provide recommendations in compliance with Control Management Testing Methodology
Contribute, promote and monitor continuous improvement in Risk Culture
Act as a technical expert in relation to the operational effectiveness of the controls in place and provide direction and guidance regarding effective implementation of any enhancements to controls or process
Lead, participate and/or providing relevant input to any Legal Entity/Regulatory and Control Management governance committees as required
Develop effective working relationships with the Three lines of Defence, External Auditors and Regulators where required
Develop effective working relationships with Senior LoB Management to ensure that there are clear risk mitigation strategies in place and that the functions are operating as an effective first line of defence
Perform oversight and recommendations to business areas on risk management, design and effective operation of controls, including Risk & Control Self Assessments
Analyse key risk data and work with business areas to identify error root causes, material risks and control issues/themes and agree mitigating actions
Perform quality reviews of all Control Testing responsible for to ensure compliance with Control Management Testing Methodology
Management of embedded control staff (if applicable) for all people management activities – training and development needs to ensure quality working environment and meeting quality standards in line with performance requirements
Provide support, develop, analyse monitor key Risk Management Framework including Key Risk Indicators, Risk and Control Self Assessments, OREs etc
Escalate emerging risks or issues to Senior Management and Shared Partners as appropriate
Manage and coordinate other related internal control functions as required by the business unit
Design and deliver training on control and risk based activities as required
Comprehensive experience in the financial industry, preferably in a control capacity (Internal Audit, Operational Risk or Compliance)
Strong experience in a Corporate Actions function within Asset Servicing environment is preferred
Have a proven track record in leading and performing Control Reviews and Testing
Working knowledge of UK/European Regulatory Frameworks
Related professional or industry qualification in Finance/Economics

106

Corporate Actions Processing Specialist Resume Examples & Samples

Process the full lifecycle of Mandatory Corporate Actions for the Investment Bank division in EMEA region
Prepare all the bookings in an accurate and timely manner
Proactively resolve issues impacting stock record and mitigating trading risk during the event’s lifecycle
Cooperation with various counterparties, agent banks and depositaries
Ad hoc support for Credit Suisse trading desk in regards to Corporate Actions
Personal contribution to service quality and improvements

107

Corporate Actions Team Leader Resume Examples & Samples

Minimum 2 years’ experience as a Team Leader
Having a good knowledge of Corporate Actions events (Mandatory and Voluntary)
Relevant experience of working in a Corporate Actions portfolio on a Fund Accounting platform
Knowledge of Accounting platforms like Invest One and Geneva
Strong research capabilities on Market vendors like Bloomberg , IDC, Reuters and Telekurs
Ability to work under pressure
Ability to Multitask
Excellent People Management & Communication Skills
Flexibility with shifts as per the needs of business
Ability to drive CPI initiatives along with managing BAU activities

108

Position Services Corporate Actions Associate Resume Examples & Samples

Daily management of activity performed by the vendor team supporting equity corporate actions
Daily communication with external agents to ensure accuracy of information provided to clients
Daily management of stakeholders across Front Office, Trade Support, Settlements and Finance
Working with drive and determination

109

FA Corporate Actions Senior Manager Resume Examples & Samples

Ensuring the section consistently delivers excellence via industry standard measurements and adherence to best-in-class control standards
Manage, coaching and developing staff so as to allow them to achieve their full potential and develop their career within Citi as an employer of choice
Review and pro-actively act upon departmental and team MIS and KRI, where necessary resolving/escalating any issues as appropriate
Work hand-in-hand with both external and internal clients to develop a positive, ethical and mutually beneficial working relationship
Act as a trusted advisor and escalation point for both staff and local and regional management with regards Corporate Actions related issues
Work closely with management and technology to on-board new systems, clients and/or functionalities
Promote a supportive work environment and promote continuous improvement and cost effectiveness
Ensure the unit comply with all local and global regulations
Education in Finance, Accounting, Economics or similar professional qualification
Fluent English - written and spoken
Experience within the Capital Markets Industry
Previous experience in Corporate Actions area
3+ years management experience (experience as manager of managers as a distinct advantage)
Understanding of LEAN/Six Sigma/Kaizen principles
Strong self-organization and time management skills
Ability to clearly communicate in an international environment across differing geographical and cultural boundaries
Ability to motivate, coach and mentor others

110

Corporate Actions Junior Expert Resume Examples & Samples

Good command of English (other languages an asset),
Knowledge of securities operations,
Looking for enhancement/re-engineering opportunities

111

Corporate Actions Associate Resume Examples & Samples

4 year undergraduate degree preferably in business related discipline
Previous internships working in financial services
Prefer some experience in Corporate Actions or Data management areas
2 years of work experience in a function that has some related financial analysis or use of analytical skills
Strong Microsoft Office Skills
Knowledge of multiple asset classes and how they can be used in portfolios

112

Assistant VP-mo Corporate Actions & Index Tracking Specialist Resume Examples & Samples

Manage equity indices in firm's internal systems for trading
Create index simulations for trading when index providers announce corporate actions
Work with IT to develop index composition upload scripts to automate index constituents uploads into BNPP systems
Forecast trading impact due to corporate actions on constituents of BNPP licensed indices
Alert Front Office Trading and Middle Booking teams of all current and forecasted corporate actions
Liaise between front office and back office of voluntary corporate actions elections by front office
Coordinate meetings with front office and back office to explain details and impact of major/complex corporate actions
Maintain (update, reconcile, and ensure consistency) cash dividends in all BNPP booking systems
Manage projects designed to improve daily trading operations
Answer and fulfill all requests by clients (front office and middle office)
Direct contribution to BNP Paribas operational permanent control framework
Strong academic background required - undergraduate Degree in Finance

113

Senior Team Member, Corporate Actions Resume Examples & Samples

To process corporate action related client or advisory requests in an effective timely manner
Provide quality client service consistent with our firm's standards and business values
Action requests received by applying standard procedures and escalating non standard requests
Build an expert knowledge of the Team's Processes and Procedures
To pass entries to receipt income earned as the result of a distribution into clients accounts
Perform Daily Quality Assurance testing, to assist in quality control
Handle incoming internal advisor and external (accounting & fund manager) inquiries, resolving these inquiries in an efficient and accurate manner
Monthly pricing of non listed securities
Ensuring consistent compliance with internal and external regulators, policies and procedures
Quick learner and exceptional communication skills
Strong analytical, numerical skills and high attention to detail
Ability to plan, prioritize and be resilient to meet deadlines
Highly motivated and role models the firm's values
Work as a team player who can work autonomously and is self managing
Advanced computer literacy skills
Strong judgement & problem solving skills
Minimum of 2 years experience in a preferred industry related role
Degree and /or professional industry related course
Experience within a Corporate Actions or Income processing environment would be an advantage

114

Brokerage Corporate Actions Administrator Resume Examples & Samples

Testing Corporate Action scenarios on the Investment Platform
Drafting of departmental procedures and ongoing ownership of those procedures
Undertake daily operational tasks in accordance with defined procedures
Checking accuracy of any corporate action and dividend input to the Accounting system ensuring this is completed timely and accurately
Initiation and monitoring of notifications to Clients including Advisers, where applicable, and subsequent Instructions to our Market Broker/Custodian
Monitoring status of corporate actions events during their life cycle
Maintaining relationships and communication between corporate actions and stakeholders, both internal and external
Helping to resolve Custody reconciliation breaks resulting from corporate actions of dividend activity, both cash and stock, ensuring timely and accurate resolution
Participation in key departmental projects
Providing formal feedback on Market Broker/Custodian Performance
Global corporate actions experience in a brokerage environment
Willingness to undertake Industry Qualifications – IOC
Knowledge of the following asset classes; Equity/Fixed Income/ETF/Investment Trusts
Strong attention to detail and be able to work effectively during pressure periods prioritising multiple tasks
Effective communicator at all level
Experience of participating in projects and procedural enhancements
Ability to “think on your feet” and develop innovative and effective solutions to problems
Problem Analysis
Initiating and adapting to change: Process improvements
Stakeholder/Customer Management
Work experience within an Investment Management environment is desirable

115

Corporate Actions Senior Analyst Resume Examples & Samples

Ensure all corporate actions are loaded to the accounting system on a timely and accurate basis to meet individual fund sign off times
Ensure positions are placed into escrow as required and removed when available at the custodian
Completion of key daily tasks e.g. CFD Cash Dividend processing
Support line manager in the delivery of key daily outputs
Identification, escalation and resolution of corporate action issues with particular emphasis on time critical and complex issues
Action resolution of any cash and stock reconciliation breaks referred
Support project initiatives as required

116

Corporate Actions & Dividends Associate Resume Examples & Samples

Equity and Fixed Income Corporate Action Operations, covering clients trading a wide range of investment strategies and domiciled in a number of different tax jurisdictions
Monitoring and diarising all corporate event key dates based on SWIFT MT564, MT566 and MT568 messages received from the global custodian and clearing agents. Communicating and managing event deadlines with clients, both external and internal
Reconciling SWIFT MT564 (notifications) received from the global custodian versus client positions held in back-office systems (clients book of record). Positions to be reconciled include long, short, borrowing and lending
Responsible for managing claims process to SG Newedge’s stock lender provider(s) on behalf of customers which have borrowed positions over XD,
Monitoring and diarising all corporate event instructions received from clients and/or the stock lender to SG Newedge, and communicating instructions to global agents
Managing Proxy Voting service with custodian as required by customers
UK and international income administration with objective of mandating all cash
Tax vouchers administration / Registrar liaison
US 1042/1099 Reconciliation and reporting
Collating and co-ordinating the completion of operational tax forms as per agent requirements including W-8,W8-IMY,W9 forms whilst liaising with client services to obtain US tax splits for new and existing clients
Procedural & Control Compliance with creation, review and update of existing procedures
Increase levels of automation to eliminate manual input
Any other ad hoc tasks as required for the role
Ownership of cash and stock reconciliations
Ensure Escalation procedures are followed at all times
Responsibility for ensuring that you are fully aware of and adhere to internal Policies that relate to you, your business or other businesses for which you have any level of responsibility. It is your responsibility to ensure compliance with operational risk requirements (e.g. Golden rules, security policies and regulatory requirements)
Responsibility for managing, controlling, preparing and escalating risk within the scope of your position
Responsibility for reading, understanding and complying with the Company’s Conduct and Standards and corresponding regulations. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates
Act with integrity and due skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny
Observe proper standards of market conduct. Responsibility to ensure that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business

117

Corporate Actions Junior Specialist Resume Examples & Samples

Accurate and timely booking of Corporate action transactions executed on investment funds accounts, verifying data received from external vendors such as Bloomberg, Telekurs in respect of their correctness and completeness
Timely answering queries related to duties performed, adhering to high standards of business correspondence
Identifying and reporting of any gaps and risks in a process
Bachelor degree in Economics (or in similar profile programs) or student available to work full-time during the week
Basic knowledge of financial instruments
English – min. upper-intermediate spoken and written
Ability to manage time effectively
Ability to work with deadlines
Attention to details

118

Corporate Actions Announcement Capture Resume Examples & Samples

Ensuring all corporate actions are verified to multiple sources and processed in the Corporate Action system. This includes investigating discrepancies between inbound SWIFT MT564/8 messages and reviewing text leading to the production of a timely and accurate “Golden record” for the event
Identification, escalation and resolution of corporate action issues with particular emphasis on time critical and complex issues and managing custodian deadlines
Accruing Cash Dividends in the Accounting system through the use of Custodian MT564 SWIFT’s and a Data Vendor feeding into the Corporate Action system and investigating any discrepancies
Providing feedback on custodian and vendor performance to the management team
Support line manager in the delivery of key daily outputs including checking of certain business critical tasks
Support company wide project initiatives as required
Support line manager in training and mentoring of junior members of the team
Liaison with other Operational areas such as Settlements, Pricing, Data Management and Fair Value and in Investment Management with the local Portfolio Service Groups

119

Corporate Actions Announcement Capture Resume Examples & Samples

Ensuring that the team completes all daily operational tasks in accordance with defined procedures
Work in conjunction with the Senior Manager in setting the strategic direction for the corporate action team
Conducting 1 to 1’s and Appraisals. General Performance Management and Recruitment
Monitoring status of corporate actions events during their life cycle on the Corporate Action system
Resolution of complex queries arising from corporate actions and escalating where necessary
Training and development of staff working within the N2 competency modules
Assignment of actions and tasks across the corporate actions team and ensuring their completion
Checking notifications to Portfolio Managers and Instructions to custodians including “Option Linking” the PM’s chosen option back to the Custodian’s option number
Other ad-hoc checking tasks including Cash Dividends
Potentially participation in key departmental projects and leading other smaller projects
Prepare and deliver presentations to internal and external clients
Develop Service Level agreements and attend Custodian Service Level Meetings
This role is captured by FCA Training and Competency requirements and considered part of the UK ISFA Training and Competency scheme. The candidate should be able to prove completion of industry examinations, have appropriate grandfathering qualifications or be willing to work towards obtaining their qualifications within a specified timeframe
Keeping abreast of market developments and ensuring that the team’s processes are kept up to date
Good time management skills with emphasis on ability to prioritise own work and meet tight deadlines
Good team worker sharing knowledge effectively and showing a flexible work approach
Computer literate with strong Excel, Word and Outlook skills

120

Corporate Actions Resume Examples & Samples

Oversight of the daily corporate actions processes ensuring that all events are processed in a timely and accurate manner across all asset types to defined service standards
Daily delivery of a value added service to the wider business and our customers
Act as an escalation or contact point for key stakeholders at all levels both internally and externally to Investment Services and Fund Accounting
Play a key role in providing strong management to the team, that should include an element of coaching and guidance
Minimise all areas of financial risk and exposure to Fidelity arising from Corporate Actions
Prepare, monitor and evaluate management reports and metrics to ensure operation is functioning effectively. Respond to operating issues as they are presented and escalate if appropriate
Ensure the department is structured and resourced to meet daily internal/external deadlines and actively ensure all daily internal deadlines are met
Support the testing/implementation of projects which will impact the department as needed in conjunction with the Asset Servicing Operational Support team
Continually review operational procedures to identify areas of process improvement, risk reduction and ensure that the team adheres to them
Initiate projects that minimise risk or generate efficiency – both operational and systemic
Manage daily and longer term strategic planning for the team to ensure correct structure and resources are in place
Communicate effectively to the team to ensure that the wider teams goals are understood and resourced
Represent the team and wider department at internal and external meetings i.e. Client & Custodian meetings
Deliver presentations to internal / external clients on the corporate action team
Support internal and external audits of the corporate action team and ensure that all actions are managed to resolution in line with agreed delivery dates
Attend industry events staying current with developments in the business

121

Corporate Actions Manager Resume Examples & Samples

Pro-actively review procedures and risk and ensure that issues identified are escalated and resolved
Setting individuals goals and providing input to the wider departmental goals. Assisting in developing training plans
Conducting 1 to 1's and Appraisals. General Performance Management and Recruitment
Providing support and training to team members
Checking notifications to Portfolio Managers and Instructions to custodians including "Option Linking" the PM's chosen option back to the Custodian's option number

122

Corporate Actions Manager Resume Examples & Samples

Bachelor’s degree with 3-5 years of relevant experience and a proven track record with demonstrated advancement in leadership roles. Experience should cover multiple functions, preferably within a diversified financial services firm or financial services regulatory body and include extensive knowledge of policies and procedures in the client services business model
Series 7 license required or willing to obtain within 120 days of hire
Strong leadership skills including excellent interpersonal, negotiation and influencing skills leading to trusting relationships with business partners and their leadership team
Will be driven to achieve results, thrive in a fast paced environment and be required to make decisions based on sound judgment with information at hand
The ability to convey issues credibly to internal and external stakeholders is a must
Proven Relationship/Account Management experience
Ability to work with a team and to motivate others
Client-Focused: Consistently delivering high quality service with resilience and resourcefulness
Change agent who is able to work effectively and collaboratively in a team environment and with associates at all levels and in all areas of the firm
Committed with a high level of drive, resilience and enthusiasm

123

Corporate Actions Controller Resume Examples & Samples

Control and authorize all aspects of the corporate actions file as handled by the market expert
Organization of the day-to-day work by assigning files, events and tasks to the market experts
Managing risk by escalating issues to the team leader, performing intraday and end-of-day checks, following-up on various types of breaks, issues and queries
Identify missing or incomplete procedures, draft/review new or existing procedures. Monitor and review performance of brokers, sub-custodians and third party custodians
Coaching and training: train and coach the market experts, identify training needs, provide explanations
Participate in the assessment of the performance of the market expert and report to the Team leader

124

International Corporate Actions Operations Consultant Resume Examples & Samples

Gain a thorough understanding of new regulations and assess its impact utilizing internal and external resources as appropriate
Consult with users to identify, analyze, refine and document business requirements
Prepare and deliver written and oral presentations to project stakeholders related to projects/updates
Serve as a liaison between their department and other business units when solving issues
Drives execution against project plans and goals
Identify trending information and report those changes/concerns/topics related to trends to the appropriate management team(s)
Create process maps of departmental processes and system workflow to help explain the flow and educate associates
Participate in Users Acceptance Testing (UAT) and make recommendations at decision points
Principles of banking, finance and securities industry operations
Representing stakeholders on project teams and problem solving with large, complex cross-functional systems and processes
Problem solving and business judgment and organization skills
Preparing reports, summaries and other written communications
Translating broad concepts into specific action and related success measures
Using required software applications
Attend to detail while maintaining big picture orientation
Solve complex problems
Coach and mentor others
Balance conflicting resource and priority demands
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Communicate effectively, both orally and in writing

125

Senior Corporate Actions Associate Resume Examples & Samples

Processes daily reports to update account status
Researches complex or escalated client issues and responds on behalf of Supervisor/Manager where appropriate
Actively participates in User Agreement Testing (UAT) for systems and new process implementation. Involved in all aspects of testing, including internal audit, troubleshooting and suggested solutions
Assists with special projects as assigned
Perform a variety of complex or highly technical tasks
Communicate in order to make oneself understood by supervisors and co-workers. Communicates clearly, concisely, and diplomatically, both orally and in written form; consistently demonstrates excellent listening skills
Coach, train, and mentor by providing positive and negative feedback in a forthright manner, articulating behaviors and actions contributing to performance; explains, provides instructions, and demonstrates processes or activities in a way that results in quick improvements
Resolve complex "out of balance" records, and assignments with frequently changing priorities in a fast paced environment
Consistently maintain composure under pressure
Multi-task, organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in fast paced work environment

126

Corporate Actions Manager Resume Examples & Samples

Managing risk on a daily basis, escalating issues to senior management, business and control
Maintaining exceptions management oversight
Responsible for Voluntary and Mandatory events and providing support to Corporate Action teams
Liaising with other business units, including, Product, Client Executives, Compliance, Risk and Technology
Presentations to existing and potential clients on behalf of the Asset Servicing Group
Working with Senior Corporate Actions Manager on various market forums, regulatory updates, metrics and enhancements
Constant monitoring of business volumes, staff resources and re-aligning as required
Understand, implement and monitoring of all market and regulatory changes
Monitor and review trends via Error, Causal Code and KRI analysis and implement corrective action plans to maintain the culture of preventative action
Knowledge of managing both Voluntary and Mandatory Corporate Actions
Goals-focused and results-driven
Excellent interpersonal skills
IOC Qualifications are preferred Competencies
Self-motivated and have an active approach to problem resolution
Able to successfully react to workload changes
Must possess the ability to work well under pressure, be able to manage tight deadlines and situations where conflicting priorities arise on a daily basis
To be innovative
Client focus

127

Corporate Actions & Fixed Income Associate Resume Examples & Samples

Monitor the market and process corporate actions events on behalf of Citibank Egypt’s customers
Responsible for the timely and accurate collection of customers’ dividends
Responsible for the timely and accurate execution of corporate actions instructions in a high-pressure environment with significant time constraints
Interface directly with customers on issues related to corporate events and Fixed Income in addition to the monthly evaluation
Handle all related customer inquiries, including all required investigations, monitoring, and reporting
Interface with issuer companies and the stock exchange to gather any business related information
Perform related FX deals on behalf of clients and send related confirmation
Processing the daily fixed income related transaction, including matching with other counterparties
Daily reconciliation for Treasury Bills and Bonds
Handling billing process and ensure proper follow up/escalation of outstanding items
Computer skills (MS Office)
Fluent in English language, written and spoken
Energetic, excellent communication and time management skills
Multi task oriented
Minimum two to three years of related experience

128

Manager, Operations Corporate Actions Resume Examples & Samples

) Staff Management - The Manager is responsible for hiring, training, and motivating of staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and evaluating and conducting employee evaluations. The Manager will also work on vendor management and offshore staff 55%
)Service Management- The Manager is responsible for handling escalated advisor and/or client issues. The supervisor will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues. 15%
) Responsible for daily quality control, managing error rates, exception review processing and daily reporting. Other duties could also include coordination between onshore and offshore teams. 10%
Evaluating and assessing inquiries; escalating issues that require expedited service
Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations
Investigating all instances where departmental service level agreements are not being met
Monitoring the team’s timely adherence to data quality protocols through dashboards and reports
Management of a work group or team within a department, with direct management responsibility for staff. Ensures goals are met by efficient application of processes and procedures. Identifies staffing needs. Evaluates and conducts employee performance evaluations, provides ongoing coaching and feedback, and provides input when determining pay
May have individual contributor accountabilities in addition to main focus of people management. See Sr. Business Analyst job requirements
Initiates strategies to develop internal talent while balancing that effort with external hiring
Assist staff to understand the organization's vision and values and their importance. Translates the vision and values into day-to-day activities and behaviors

129

Corporate Actions Announcement Capture Assistant Manager Resume Examples & Samples

Ensuring that the team completes certain daily operational tasks in accordance with defined procedures
Pro-actively review procedures and risk and ensure that issues identified are resolved
Working with the Manager in setting individuals goals and providing input to the wider departmental goals
Checking accuracy of any cash dividend input to the Accounting system ensuring this is completed timely and accurately
Checking notifications to Portfolio Managers and Instructions to Custodians
Ensuring adherence to departmental procedures
Resolution of queries arising from corporate actions and escalating where necessary
Assignment of actions and tasks across the corporate actions team
Providing formal feedback on Custodian Performance and representing FIL at custodian service level meetings
Understanding of and experience in processing ISO15022 SWIFT messages ideally in an automated environment
Strong attention to detail and be able to work effectively during pressure periods
Strong and effective communicator at all levels
Self-starter with a dynamic “can do” attitude with a strong desire to make things happen
Knowledge of Fixed Income / Derivative type instruments
Ability to work to strict deadlines. Capable of juggling and prioritising multiple tasks

130

Corporate Actions Controller Resume Examples & Samples

Business as usual: Ensure queries are logged and acknowledged/responded to within 24h, provide thorough investigation, especially in case of sensitive / risky items, and follow-up on pending queries with operations especially in case of aged items
Escalation: Ensure any potential risk is raised to Client Contact Corporate Actions Team Leader, providing a summary of the issue and the investigation done and work closely together with the Client Contact Corporate Actions Team Leader on resolution. In addition, ensure aged items are escalated, if required
Team evolution: Coaching the newcomers and provide regular feedback to the Client Contact Corporate Actions Team Leader. In addition, share any important information with the team (event specific, system related, client related) to develop the team and increase its efficiency
Communication: Develop a good relationship with internal and external parties (within all GCE processing sites and those external departments for which we regularly engage with and with our clients)
Risk: Ensure that any risk is spotted, reacted to in a timely manner, and escalated to the Client Contact Corporate Actions Team Leader if required

131

Corporate Actions Manager Resume Examples & Samples

Day to day management of the ICSD Corporate action processing team
Responsible for ICSD Voluntary and Mandatory events and providing support to Corporate Action teams
Extensive years of people management experience preferably within Custody Operations
Ideal candidate will have experience managing both Voluntary and Mandatory Corporate Actions

132

Technical Coordinator, Corporate Actions Resume Examples & Samples

Assign events/folders to CA analysts to ensure optimal workflow and utilization of existing resources
Assist in managing workflow of CA events on a day-to-day and minute-to-minute basis; including identifying earlier time deadlines and ensuring time critical and high risk events receive higher priority as applicable
Actively liaise with partner teams to ensure work and information is being received on a timely basis
Approve corporate action payments, ensuring completeness and accuracy for all postings to client accounts
Review and reconcile exceptions relate to CA postings
Minimum five years securities operations experience, preferably in a corporate actions role. A College or University degree is preferred
Detailed understanding of asset servicing industry and functions within, as well as sufficient knowledge of the U.S. and global financial industry
Proven willingness and ability to serve in a leadership role, escalating to management when needed but also able and willing to tackle issues independently
Must be proficient in MS Excel
Be able to work as part of a team, and with minimal supervision once fully trained
Accuracy and attention to detail are critical
Knowledge of stock and cash reconciliations

133

Loan Corporate Actions Associate Resume Examples & Samples

Set up, support and manage large loan corporate action transactions on behalf of investment banks and leading institutional investors
Provides in-depth product and transaction support to FIS clients by resolving incoming inquiries
Responds to customer product and transaction inquiries via telephone or email
Documents customer information and recurring technical issues to support product quality programs and product development
Interpersonal skills and technical product knowledge and expertise are critical to responding to daily Client-centric activities
Typically requires 1-3 years of experience working in an office environment in a customer-facing role
Excellent oral and written communications skills are required
Must be detail-oriented and able to multi-task in a fast paced environment
Prior banking or finance related experiences a plus
Special consideration given to those with an understanding of capital markets, debt markets, corporate lending and/or legal transactions. Prior loan market experience (loan amendments, loan ops/administration, compliance, analyst, closer, and trader) is a plus
Knowledge of MS office products (Word, Excel); extremely comfortable working with computers and a variety of applications. Strong Excel skills are a plus
Strong Analytical and problem solving skills
Solid organizational and time management skills required
Fast-paced, self-starter with proven ability to work independently
Must be comfortable working in a transactional environment where the pace constantly varies from slow to hectic

134

Corporate Actions Middle Office Senior Specialist Resume Examples & Samples

Process the receipt of custodian announcements, scrubbing and comparison of date and the release of notification of to a specific client
Reconcile client positions with multiple custodians and monitor for appropriate postings of accruals and entitlements to the client accounts
For voluntary events, the Senior Specialist is responsible for soliciting and receiving responses from clients and for submitting these instructions to the various custodians prior to their deadline date
Adhere to established quality control measures and procedures
Provide first level training for new specialists and will assist specialists in handling inquiries
Participate in department projects such as identifying system or processing enhancements and of hours system testing

135

Corporate Actions Processing Specialist Resume Examples & Samples

LI-KS1*
Have/be able to self-start to obtain, a solid understanding of the technicality of corporate actions along with market nuances in the major markets
Attention to detail and accuracy; commitment to quality
Ability to delivering excellent service as a team player and individually
Ability to effectively collaborate across borders and cultures
Willingness to learn and develop within the field

136

Corporate Actions Processing Specialist Resume Examples & Samples

Previous experience in banking or finance is not required, candidates with a different background and / or career break in their professional path are welcome
Good knowledge of MS Excel
Understanding of a broad range of products and asset types would be an asset
Knowledge of SWIFT standards is a plus

137

International Corporate Actions Consultant Resume Examples & Samples

Serves as a liaison/representative between the firm and regulatory agencies as well as an industry expert with regards to regulations
Review regulatory rules that affect the department and create documents by functional desk that correspond to procedures that would be impacted by the specific regulations
Active collaboration with various appropriate regulatory working groups (SIFMA)
Provide appropriate management team(s) with written reports detailing trends as they occur
Participate in documentation review of procedures by reviewing for gaps/risks and make recommendations to management team to ensure gaps are covered and risk minimized
Functional, operational and technical requirements of all systems used in the functional area
Investment concepts, practices and procedures used in the securities industry
Preparing and delivering written and oral presentations
Incorporate needs, wants and goals from different business unit perspectives into operational processes
Bachelor's degree in a related field or an equivalent combination of education and work experience
Will typically have a minimum of eight (8) years of relevant experience in financial services
Project work and business analysis/process improvement within financial services industry highly preferred

138

Corporate Actions Expert With German Resume Examples & Samples

Professional experience in the banking or investment fund business, preferred strong corporate action background
Sound technical knowledge of Market Data, Securities Administration and/or valuations functions
At least 3 years experience in a relevant area of Financial Services
Proficiency in using Bloomberg, Reuters, MS Excel/Word and other relevant office systems
Xentis knowledge is a plus
Programming (VB.net & VBA) / Macro skills adding value
Proactive and focused attitude to work and an ability to constantly meet deadlines
Ecellent teamwork, interpersonal, oral and written communication skills
High degree of personal initiative and readiness for action
Pronounced customer focus
German and English speaking candidate

139

Corporate Actions Administrator With German Resume Examples & Samples

English and German at very good level
BA or MA degree in finance, economics, management, accounting
Good knowledge in using MS Excel/Word

140

Senior Consultant, Corporate Actions, HFS Resume Examples & Samples

Responsible for the daily processing of corporate action/dividend events with internal and external customers across global markets
Collect data, process and reconcile events between the administrative books and the prime broker records
Establish and maintain strong working relationship with global team members, trading desks, prime brokers, agents, depositories and third party vendors
Research and resolve reconciliation items, either cash or stock, relating to corporate actions/dividend processing
Remain current on market trends and industry issues/regulations related to corporate actions
Apply industry, processing and technical knowledge by participating in team projects for new and existing customer base
Suggest, document and participate in process improvements and automation projects
Four years+ experience in securities operations
Working knowledge of
U.S. corporate actions / dividend processing
Experience in self clearing/broker dealer operations is a plus

141

Technical Coordinator, Corporate Actions Resume Examples & Samples

Operates under general supervision but works on own most of the time
Technically competent to act as first point of reference for day-to-day queries, and serves as a liaison to related areas
Has both broad and in-depth knowledge in chosen field, plus strong knowledge of related areas
Carries out relatively complex, extensive, high profile activities e.g. direct interaction with committees and more senior management
Demonstrates excellent analytical, consultative, communication and judgment skills
May lead projects and/or train lower-level staff
Focuses on maintenance and implementation of policies and procedures in the function, building towards becoming an area expert
Five or more years of related business experience
Must have good project management and communication skills and
Must have strong working knowledge of the firm, the industry and technology

142

Corporate Actions Operations Analyst Resume Examples & Samples

Interacting with internal and external clients, as well as teammates, on the telephone, in written correspondence and in person in a professional and accurate manner
Researching and resolving issues, and receive training in the ‘client experience&#8217
Adhering to the client specific SLAs, as outlined
Assisting with client implementations when necessary
Participating in team projects
Enroll in and participate in training and education classes as required
Provide job related tasks as required by supervisor

143

Corporate Actions Representative Resume Examples & Samples

Responsible for certain daily tasks associated with fulfilling the departments policies associated with functional area within corporate actions
Transaction processing including accounting system entries, escrow of holdings
Assist business partners with escalations and requests to expedite pending items by collaborating with Rep IV/Team Lead
Demonstrate knowledge of functional area adequate to offer guidance to less experienced associates, to handle complex scenarios, and to perform problem resolution
Provide high quality customer service
Works with manager, more senior analysts and team leaders to identify process improvements
Ensure that all responsibilities/assignments are performed in a timely fashion
Deliver effective written and verbal communication to appropriate business partners
1-2 years of financial services experience, preferably in mutual fund operations with exposure to Corporate Actions
1-2 years of Corporate Actions and/or Mutual Fund Accounting preferred
Skills in various PC software applications to include Microsoft, Access, Excel, Word and PowerPoint
Some knowledge of business processing functions within one or more of the corporate actions functional areas
Ability to manage multiple tasks effectively
Basic understanding of project management principles

144

Corporate Actions Representative Resume Examples & Samples

You are proficient in the majority of functions within the area of corporate actions research and solicitation
Your working knowledge of the custody industry and mutual fund operations
Your understanding of processes used to scrub and instruct CA information using SWIFT
You have a strong working knowledge of system applications used in the department, including an ability to adapt to a changing technical environment
Your strong communication and analytical skills, both oral and written
Your attention to detail and ability to identify risk and escalate appropriately
Your ability to adapt based on business need and a changing operating environment

145

Corporate Actions Junior Specialist Resume Examples & Samples

Investigating and resolving discrepancies between the fund accounting books and cash and securities accounts of these funds
Accurate and timely booking of transactions executed on investment funds accounts, verifying received instructions in respect of their correctness and completeness
Timely preparation and delivery of accounting records and reports to other relevant teams
Performing entrusted tasks according to procedures avoiding any risk in the process
University degree in Finance and Accounting (or in similar profile programs) is preferable
Good knowledge of English
Ability to self-organize and effective time management
Knowledge of capital markets subject matter
Experience on a similar position will be an asset

146

Assistant VP-corporate Actions Manager Resume Examples & Samples

Experience in summarizing and processing all types of voluntary and mandatory corporate action events while minimizing risk and liabilities to the firm. Risk oversight includes the ability to understand the correlation between trading and client eligibility and taking proper precautions to mitigate counter-broker liabilities
Responsible for ensuring that firm Data Enrichment, Proxies, Class Actions, Prospectus Fulfillment and Bankruptcies are handled and processed in a timely and professional manner
Liaise with business partners to communicate relevant details of events and associated elections in order to mitigate all potential risk and exposure inherent with the processing corporate events
Leverage relationships with custodians and vendors to stay abreast of industry initiatives with the goal of making the process as efficient and riskless as possible
Responsibility for appraisals, performance goal setting, training and guidance to staff
Work with technology and project teams to bring forward all business initiatives and process improvements
Understand complexities of the Prime Broker business and role of Asset Servicing team in ensuring the success of the business
Maintenance/Development of management metric reporting covering departmental volumes and risk analysis
Review KRI and KPI reporting with operations managers to address bottlenecks and anomalies
Work with technology to contribute to the testing of new business releases and/or enhancements before implementation
Producing and/or providing information for exception reporting tools and using these tools to spot trends and take corrective actions as necessary
Contribute to the continuous improvement of relationships with traders and salespersons as well as other BNP Paribas departments and locations
Monitoring of g/l firm accounts and daily break reports to ensure timely resolution of all reconciling items
7 - 10 Years specific to domestic and international corporate actions
Bachelor’s degree from accredited university
Thorough knowledge of financial markets and operations as it pertains to Prime Brokerage business
Proficiency with Microsoft Office Suite
High level of customer service and communication skills (written and oral)
Rigorous, good organizational skills and attention to detail
Able to multi-task and interact with different client bases simultaneously
Knowledgeable in DTC, SWIFT Alliance, Euclid, Xcitek Solutions Plus
Knowledge of Broadridge BPS processing system
Not Applicable

147

Corporate Actions, Reorg Processing Resume Examples & Samples

Review of all corporate actions details to ensure a thorough understanding of the event and to establish accurate notification and processing steps to be taken to process the event
Support front and mid office staff, IA?s, PSST, Brokerage, Trust and Custody and traders with enquiries related to corporate actions
Ensure that the security involved is balanced during the life of the event
Ensure accurate and timely presentation of properly documented securities for surrender to the agents, companies etc
Ensure accurate and timely processing of payments of corporate action events
Minimum 3 years industry experience preferably in corporate actions processing
Strong organizational skills, detail oriented, efficient, and able to handle the pressure of working to tight deadlines in a high volume environment
Sound knowledge of Security Operations in general and solid knowledge of operational procedures and conventions as they relate to corporate action processing, and of the various depositories/ custodians , counterparties, transfer agents, law firms and companies involved in the processing of foreign and domestic corporate actions
Knowledge of Escrow protocols and the flexibility & knowledge to deal with Private companies
Knowledge of lending and settlement transactions in relation to corporate actions processing
Appreciation of risk with relation to foreign exchange, where it is an issue and a fundamental awareness of market risk and exposure associated with corporate action processing
Solid PC skills (Excel, Word, Access) Internet, Email,
Good operating knowledge of the Broadridge, CDS, DTC, system would be an asset
University Degree or Equivalent Experience

148

Corporate Actions Representative Resume Examples & Samples

Proficient in corporate actions processing
Understands the different lines of business that are serviced
General understanding of the workings of the custody industry, particularly from the perspective of corporate actions functional area
Basic understanding of best practices and systems/tools specific to functional area
Familiar with system applications used in the department, including awareness of system capabilities & limitations, and ability to navigate and utilize functions
Applies basic skill to routine work
Strong communication and analytical skills

149

Senior Corporate Actions Associate Resume Examples & Samples

Communicate in order to make one self understood by supervisors and co-workers. Communicates clearly, concisely, and diplomatically, both orally and in written form; consistently demonstrates excellent listening skills
Resolve complex “out of balance” records, and assignments with frequently changing priorities in a fast paced environment
Take independent action to gather facts and other resources needed to resolve problems. Anticipates potential problems and takes action to prevent them; proactively identifies and acts on opportunities to perform tasks outside of one’s area of responsibility to assist the team or the department

150

Senior Corporate Actions Recon Associate Resume Examples & Samples

Advises management and users on the installation and use of software applications based on processes, procedures and business needs of assigned functional area
Assist with creating and maintaining thorough job procedures
Independently handles resolution of complex problems
Initiates the evaluation of current processes and systems and recommends productivity improvements
Maintains currency in business processes of assigned functional area and operational testing procedures
Operations and systems of assigned functional area
Fundamental project management tools, techniques and procedures
General accounting procedures
Fundamental concepts, practices and procedures of operational systems testing
Supporting the installation of new systems
Identifying and resolving systemic and operational issues
Performing operational testing on new systems or system enhancements for accuracy and usability factors
Demonstrate strong numerical aptitude and use critical thinking when solving operational problems
High School diploma or equivalent and three (3) years of general work experience

151

Senior Corporate Actions Associate Resume Examples & Samples

May assists in the installation of new software applications and system enhancements
May performs operational testing of system enhancements and new software applications for accuracy and usability
Train users on new systems and system enhancements
Prepares written recaps, reports and spreadsheets for special projects and submits to management for review
Assists in monitoring and reviewing the daily workflow to ensure the correct use of applications and compliance with established procedures
Basic investment concepts, practices and procedures used in the securities industry, principles of banking and finance and securities industry operations and/or financial markets and products, as required by assigned functional area
Evaluating processes and systems and identifying potential productivity improvements
Provide training using a variety of instructional approaches
Read, comprehend and apply technical information
Organize and prioritize multiple tasks with changing priorities to meet critical deadlines in a fast paced environment

152

Corporate Actions Control Consultant Resume Examples & Samples

To be responsible for the client service and enquiries within the global Corporate Actions division. Responding to internal and external queries and providing reports to both internal and external clients. Dealing with queries promptly and efficiently, following established procedures and processes in order to maintain efficiency, minimise risk and provide an excellent client service (whether internal or external) Also provide research and root cause metrics together with presenting related data in an accurate, timely manner
The successful candidate will work with a range of Global clients as well as their relationship and client service groups. The position also requires working closely with other departments within the organisation (Trade Processing, Client Administration & Reporting, Operational risk etc.) as well as with Investment Managers and sub custodians
The successful candidate will be self-motivated and enjoy working within a team and have the desire to develop the skills and competencies listed below
Has an in depth understanding of Corporate Action event types across major markets and across various instrument types
Able to manage client expectations, meet deadlines and communicate effectively on a day to day basis with clients
Strong time management skills, with the ability to prioritise tasks
Excellent team player demonstrating the ability to work as part of a team, progressing towards shared goals

153

Senior Consultant, Corporate Actions, HFS Resume Examples & Samples

Excellent analytic skills as well as exemplary written and verbal communication skills
Detail-oriented with the high degree of accuracy and a strong work ethic
3+ years or more experience in financial services
Experience in securities operations preferred

154

Corporate Actions Associate Resume Examples & Samples

1-5 years' experience
Strong knowledge of Voluntary and Mandatory Corporate Action Events (Tenders, 144A Exchanges, Recapitalizations, Defeasements, Full Calls, Partial Calls, Cashless Rolls, Consents, Spinoffs, etc.)
Industry knowledge of all Products Types (Corporate Bonds, Muni Bonds, Bank Loans, Sovereign Debt, Derivative Contracts and Equity)
Strong Microsoft Office skills
Understanding of SQL
Knowledge of Portia, Bloomberg AIM, Bloomberg Data Files, Charles River, Custodian Banks' online systems, and Staars

155

Corporate Actions Section Manager Resume Examples & Samples

Maximize the team’s operational efficiency by monitoring workflow distribution and managing the allocation of resources within the team
Ensure a strong `risk and control’ culture exists amongst the team such that operational risk is inherently reduced and any potential risk situations are promptly identified and escalated. Ensure potential loss situations are appropriately managed
Liaise with counterparts at borrowers and external lending agents to ensure appropriate management of corporate events
Assist staff with technical queries and provide coaching in the research and resolution of complex issues
Ensure a culture of continuous improvement exists throughout the team, encouraging staff to identify ways to improve straight-through processing and implement best market practice. Participate in system enhancement projects and oversee process improvement initiatives through to implementation
Operates independently; has in-depth knowledge of business unit / function
Carries out activities that are large in scope, cross-functional and technically difficult
Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities
Develops periodic goals, organizes the work, sets short-term priorities, monitors all activities, and ensures timely and accurate completion of the work

156

Senior Corporate Actions Manager Resume Examples & Samples

Your in-depth knowledge of corporate actions concepts and practices
Your strong leadership and performance management skills
Your strong team-building and organizational skills
You are able to simultaneously handle multiple tasks and competing priorities
You have strong client service skills

157

Corporate Actions Manager Resume Examples & Samples

Your understanding of accounting and valuation concepts
Your working knowledge of the custody industry and mutual fund operation
Your ability to solve problems of a complex nature for all corporate actions disciplines
Your strong written and verbal communications skills
You are confident in facing off with senior levels within an organization

158

Corporate Actions Notification Analyst Resume Examples & Samples

College degree (Associates or higher) or comparable work experience
Basic Excel knowledge
Detail orientation
Ability to manage multiple priorities and multi task, excellent time management and prioritization skills
Ability to meet tight deadlines, ability and willingness to continuously learn on the job
Ability to problem-solve and take ownership of process improvements
Excellent verbal and written communication skills with ability to communicate with various stakeholders
Outstanding attention to details
Risk management and organization skills
Professionalism in communication with internal and external parties (processing teams, contact center, vendors, custodians, agents)
Good team work

159

Corporate Actions Team Leader Resume Examples & Samples

Organization of the day-to-day work: Anticipate and plan work ahead of time, establish guidelines for the Corporate Actions Inquiry team members on how the work needs to be organized, assign tasks, ensure queries are logged and responded/acknowledged within 24h, ensure that the team is on top of the volume and take remedial actions if required, ensure the ageing queries are fully justified, provide statistics and monitoring of pending queries, handle escalated queries/sensitive issues, handle recurrent problems to avoid re-occurrence, plan holidays, overtime recuperation, organize team meetings within the team or externally to find solutions for isolated or recurring problems
Performance management: Analyse training needs and organize training and thorough coaching, provide follow-up on performance of team members formally and informally through PMP and feedback meetings and discuss/define with the team members their career path. Also investigate opportunities for self-development and improving knowledge of the business that you are servicing in order to improve skills and knowledge and deliver maximum service levels
Escalation management: Act as an escalation point internally within the group as well as within the department, but also towards the client. Report issues to the Group Manager and propose solutions for the problem at hand
Communication management: ensure good and interactive communication with internal and external parties (within the team/Brussels Corporate Actions department, with the different CA processing centres, with the other departments of the Bank, with the Client Services Representatives/Relationship Managers and with our clients). Also provide effective team communication on changes impacting the team, including market changes, functional moves and procedural / service changes
Risk management: Ensure that any risk is spotted and escalated appropriately within the Corporate Actions department as well as ensuring a thorough follow-up with the different parties involved. In case of complex events and/or issues, organize meetings up front to anticipate all potential issues. Organise after-the-fact reviews when a problem has happened. Document new actions, workarounds, solutions, and ensure that changes in procedure are communicated and followed. Identify missing controls/procedures and implement solutions to develop the Corporate Actions department as a whole
Client management: Ensure that any client’s request, complaint… linked to the processing of a corporate event is documented and communicated to the Group Manager, providing a possible solution towards the problem after investigation, justifying the complaint or providing arguments in anticipation of a complaint
Business Expertise:Basic understanding of how own area integrates within the sub- function
Problem Solving:Evaluates (sometimes complex) situations using multiple sources of information
Interactions / Interpersonal Skills:Developed communication and diplomacy skills used to persuade and influence
Job proficiency: The Corporate Actions Inquiry Section Manager must demonstrate the necessary skills and knowledge of the corporate action business. He/she must demonstrate an understanding of his/her duties and responsibilities. Given the importance of the interactions/interpersonal skills required for the job, he/she must work across lines of business and with different parties internal and external as required
Personal organization: Given the need for accuracy, the Corporate Actions Inquiry Section Manager must keep information organized and accessible. He/she must be able to prioritize work as required and manage his/her time effectively
Work quality/attention to detail: Given the need for accuracy and risk control, the Corporate Actions Inquiry Section Manager must use a systematic approach to achieve high-quality results with attention to detail and accuracy in order to meet the client and organization’s needs whilst being able to juggle with multiple demands and requests simultaneously
Initiative/sense of urgency: The ability to tackle problems and to take responsibility when dealing with difficult situations as well as the ability to prioritize based on business needs and client’s specificity is key for Corporate Actions Section Managers
Leadership: As a Corporate Actions Inquiry Section Manager, it is key to lead the team smoothly through change and adversity, as well as to make difficult decisions when required, build a consensus when appropriate and motivate and encourage the individual team members. This competency will enable the Corporate Actions Inquiry Section Manager to increase the team efficiency and to enhance the overall group performance
Language skills: in addition to English, any skills in Italian, German and Spanish would represent a strong asset

160

Corporate Actions Section Manager Resume Examples & Samples

BA/BS degree or equivalent work experience
5 to 7 years of Securities Processing, Financial Services and/or Transfer Agency experience
Maintain a strong knowledge of BBH’s Departments/LOBs, systems, and services
Build and maintain relationships at all levels both within and outside the organization
Customer Service orientation, works to exceed client expectations
Demonstrated excellence in Written/Verbal communications to a variety of audiences
Demonstrate strong project management skills
Demonstrate strong risk management skills
Facilitate process improvements
Ability to participate in planning and budgeting process

161

Corporate Actions & Income Processing Specialist Senior Resume Examples & Samples

Partnering with our various vendors to provide proxy services to our clients ranging from preparing proxy mailing to generating control numbers
Ensuring accurate and timely processing and reconciliations of GIC payments and redemptions
Processing mandatory and voluntary corporate actions events and income events
Providing timely and accurate notification regarding upcoming events (income and corporate actions) to our clients by gathering, researching and analyzing information published by our depositories and our foreign custodian
Providing customer service to our clients as per our Service Guide
Post-secondary education with a focus on commerce, math or science
Minimum 5 years of experience within the financial services/brokerage industry, operations experience is an asset
Enrolment or completion of the Canadian Securities Course (CSC) is an asset
Ability to multitask and prioritize in a changing environment
Excellent customer service orientation
Ability to build and maintain relationships with internal and external business partners
Ability to thrive in a fast-paced environment while meeting firm deadlines
Effective team player
Ability to work both independently and as a team member
Overtime may be required during high-volume periods

162

Team Leader, Corporate Actions Resume Examples & Samples

Manage the work flow for the team. Ensure all Corporate Event files are set up and actioned in a timely manner. Review and authorize files and borrower instructions
Support the Manager in ensuring operational efficiency of the team. Provide management reporting and escalation of aged or high risk issues
Provide on the job technical training and coaching for all team members and brief staff regularly on issues relating to work carried out by the team and new initiatives
Responsible for work flow distribution and the effective use of resources within the section
Ensure all procedures are kept up to date and are adhered to on a daily basis. Assist the Manager in establishing goals and objectives for the team
Generate process and system enhancement ideas and co-ordinate the introduction of these changes with supporting documented procedures
May have direct interaction with committees and/or Senior Management
Organizes the work of the team, assigns tasks, sets short-term priorities, monitors all activities and ensures timely and accurate completion of the work
Conducts performance management and career development processes, and staffing and disciplinary actions
A College or University degree and/or relevant work experience is required
Extensive experience of Corporate Actions in an operations environment is essential
Supervisory experience is desirable
The role will require the ability to deal confidently and articulately with external counterparties
Analytical and problem solving skills are required
Leadership and organizational skills are needed to prioritize assignments and provide feedback to staff
Ability to set priorities and manage deadlines, escalating issues where necessary
Good team player, self-starter, flexible, with the ability to work under pressure with minimal supervision
Proficient in MS Excel
FSA Training & Competence `Threshold Competent is advantageous

163

Senior Corporate Actions Administrator Resume Examples & Samples

Timely collection and accurate interpretation of Corporate Action Event information from Depositories, Foreign Custodians and other sources
Understand the purpose, cost basis, risk and exposure around event processing
Process Voluntary and Mandatory Corporate Actions against client and internal accounts in accordance to department procedure and our SLA
Create spreadsheets, business correspondence and other various documents to assist with the corporate actions processes
Perform timely break management of allocated breaks and reconciliation of internal accounts
Liaise with issuers, transfer agents, depositories, and market counterparties
Respond to inquiries regarding corporate actions
Contact issuers to follow up and document securities not received, resulting from Corporate Events and Warrant exercises according to company policy
Minimum of 5 years of Corporate Action (Reorg) experience
Strong organizational skills with excellent attention to detail
Ability to work effectively under pressure and meet deadlines is essential
Strong problem solving skills with the ability to work independently and within a team (team player perspective is key)
Hard-working, positive, dedicated and adaptable to change
Strong level of MS Outlook, Word and Excel required
Good understanding of CDS and DTCC functionality for enquiry and instruction
Foreign Reorg experience is a bonus
Must have the flexibility and willingness to work overtime as required
The ability to understand and identify risk is required

164

Mgr, Corporate Actions Resume Examples & Samples

Understanding of Corporate Actions (Mandatory and optional)
Knowledge of Dividends for UK \ Unit Trust and International markets
Good understanding of SWIFT, Crest, Bloomberg, IDC and other data providers
A good understanding of the industry from a regulatory and operational perspective
Technical and functional knowledge as required for the role
Understanding and experience of using Global CSD GUIs
Word & Excel competent
Strong Management and People Skills
Staff Development and Training
Manages the team and the daily transactional workflow within the team and aligns team resources accordingly to complete the daily tasks. Identifies areas requiring analysis of operations and resolution for more efficient operations
Approves the work product and operational output of staff to ensure accuracy on corporate actions activity. Reviews files for completion and compliance with execution of risk controls
Coordinates with internal departments and external sub custodians, custodians, depositories, agents, and brokers to ensure that daily work meets organizational standards
Provides training for new team members and cross-training of all team members; ensures adequate staffing allocation, performance and personnel management of team. Responsible for development of policies and procedures and management of written supervisory procedures
Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team
Responsible for achievement of team goals. Ensures team is equipped to operationalize and attain team objectives. Manage the human resources of the team, including coaching, performance management and career development. May manage financial resources of the team (budgets, expenses, etc.)

165

Corporate Actions Clearing Representative Resume Examples & Samples

Corporate actions processing, including mandatory and voluntary reorganizations, bond redemptions, partial calls, cash dividends, stock dividends, and dividend elections. In addition, the associate will take questions from Middle Office reps and other internal departments
Posting allocations
4 Year College Degree in Business/Finance Preferred

166

Corporate Actions Senior Operations Specialist Resume Examples & Samples

Complex Corporate Actions
Manage municipal, money market, equity, and fixed income corporate actions in the middle office
Ensure daily outputs and deadlines maintain IMO standards for quality and timeliness
Coordinate with internal teams to ensure actions are process correctly for NAV impact and taxability
Liaise with clients to ensure complex actions are processed to market and client standards
Input and monitor the restriction of tradable positions due to pending corporate actions in the Restricted Share Database
Facilitate Client Elections
Review the client’s instruction of electable events to confirm they have provided all required documentation and support
Verify the option is supported in the market and that no additional filings are needed
Reconcile eligible positions between accounting and custody, researching any discrepancies
Process elections with each of the fund custodian
Resolve repaired or rejected instructions
Serve as a trusted team resource for corporate action expertise
Provide coverage and support to team, as needed
Enhance the productivity of the individual(s) and the unit
Professionally and constructively communicate to resolve issues in order to minimize risk and exposure
Interact with other BBH departments proactively
Communicate as part of a team
Client Service
Provide superior client service
Ensure timely and accurate responses to inquiries from clients are being consistently provided by team
Process Improvement
Challenge all processes, procedures and practices
Explore and initiate process enhancements
Maintain simplicity and clarity around key controls, as well as segregation of duties
Assist management in ensuring proper product delivery, escalation and resolution of high exposure items, maintaining the appropriate balance of cost, control and client service
Prepare and review error events, and identify corrective action
Oversee the implementation and maintenance of policies, procedures and controls
Assist in the development and production of management reporting
Maintain an in-depth understanding of BBH systems, industry regulations, and market behaviors
BS/BA degree
3 to 5 years of industry experience
Experience within Fund Operations, Fund Accounting or Fund Administration areas a plus
Research, analysis and problem resolution skills
Ability to communicate professionally with all levels through effective verbal and written skills
Organizational skills and detail-oriented
Ability to meet deadlines and work under pressure
Proactive self starter who is detail and goal oriented
Ability to adapt to an ever changing environment
Intermediate knowledge of Microsoft Office suite products
Assist with internal and external audits

167

Corporate Actions Resume Examples & Samples

Domain knowledge in corporate action processing in Securities brokerage industry
Ensure no disruptions in daily BAU in terms of accuracy and timeliness in meeting Service Level Indicator as established with Business
Perform adhoc operational duties as maybe assigned by Team Lead and Head of Section from time to time

168

Senior Team Manager, Corporate Actions Resume Examples & Samples

Managing the performance evaluation process, including recognizing and publicizing excellence in the workplace
Taking an active role in the hiring of new employees, retaining existing employees and ongoing staff development
Development of team members through coaching, career development mentoring, and motivational techniques
Effectively recognizing strategic business opportunities and seizes them
Working collaboratively with other managers and leadership in cross departmental projects and initiatives
Overseeing the day to day responsibilities of the team by maintaining a strong risk management and controlled environment and managing risk to keep exposure to a minimum
Elevating all potential risk incidents or performance issues to the Director / VP
Confirming the completion of the review and verification of the staff's work on a daily basis, enforcing stringent procedures and controls
Utilizing the main frame system as well as corporate actions information from custodians, vendors and other related parties to allocate distributions to the appropriate client accounts
Providing regular contact with internal and external customers to solve problems and conduct research/special requests through the use of email, telephone and our internal inquiry system
Managing payments in a timely and accurate manner, ensuring operating deadlines and quality control measures are met on a daily basis, and mitigating risk that presents itself throughout the daily workflow cycle

169

Consultant, Corporate Actions, HFS Resume Examples & Samples

Performing daily checks in the EMEA Corporate Actions team including validating bookings in the Northern Trust middle office system, researching the terms and details of a pending corporate actions
Processing Corporate Action events
Settling Market Claims for Repo and Collateral trades
Liaison between clients trading desks, prime brokers, and counterparties to resolve any reconciliation items, either cash or stock, that relate to corporate actions
Monitor notifications from Sub-Custodians and external vendors
Communicating effectively with internal partners, clients and auditors, tailoring information to audience as required
Work directly with clients to understand their business needs and provide solutions
Create and maintain process flows and control tools to accommodate new business needs
Build and maintain internal and external relationships
Coordinate testing and releases with internal IT and vendors
Make independent judgments (based upon market/instruments practices) regarding appropriate resolutions for security master data discrepancies
A minimum of 2-3 years Middle Office, Corporate Actions or Fund Accounting experience
Extensive knowledge of all types of Voluntary and Mandatory offers
Ability to work under pressure and maintain high standards when dealing with tight deadlines, high volumes and demanding trading desks and clients
Understanding of the front to back securities trade flow
Knowledge of financial markets and financial security instruments
Knowledge of custody, securities lending, prime brokerage, market trading practices and position processing treatment
Proficiency in Microsoft Office, Bloomberg, Prime Broker Portals
Proven team player, taking ownership for own role while contributing to wider team efforts
Undergraduate degree in Finance, Accounting or related subject
Highly flexible and adaptable to change
Proven team player experience and ability to work across global teams

170

Corporate Actions Project Administrator Resume Examples & Samples

Should have minimum 2 years stock transfer experience in DSG, Legal and Estate, OSCAR, Data Entry, Maintenance, and/or Corporate Actions,
Proven keyboard skills with demonstrated speed and accuracy,
Proven math skills,
Intermediate user knowledge of word and excel

171

Corporate Actions VP Resume Examples & Samples

Influence others and express alternative views and rationale for a course of action
Challenge existing risk and control framework and the status quo to further reinforce the control environment
Proven ability to effectively manage operational risks and develop control enhancements
Contribute to and drive technical and operating environment risk review
Provide guidance and advice from a risk and control perspective to ensure the proper remediation of risk arising from new products, business, migrations, etc
Sees the big picture and keeps current with emerging business, economic and market trends
Strong team player who collaborates readily with others within and across teams
Forward-thinker who anticipates questions, plans for contingencies, and identifies clear objectives

172

Corporate Actions Announcement Analyst Resume Examples & Samples

Perform domestic and global announcements for all corporate actions, and process mandatory corporate actions and redemptions/maturities for positions held in Citi Private Bank custody on Citi’s internal Openwealth operating system and at Citi’s Securities Funds Services custodian
Ensure timely and accurate capture and categorization of all new and updated corporate action announcements, as well as processing of all depository/custodian corporate action allocations to CPB clients
Ensure a seamless processing experience for external and internal clients; quickly resolve corporate actions issues through investigation and by working with the business lines and asset managers as necessary
Maintaining a constant customer service mentality; resolve phone and e-mail inquiries the same business day
Securities operations experience, and possibly corporate actions experience, preferable but not required
Demonstrated ability to work with others, to assist and support others
Strong MS Office skills with focus on Excel
Dependable, service oriented, professional, proactive and having strong client/business focus and accountability
Good organizational skills, ability to work under pressure and prioritize within aggressive deadlines

173

Technical Coordinator, Corporate Actions Resume Examples & Samples

A College or University degree and/or relevant work experience in Corporate Actions is required
Excellent oral and written communication skills are required
Functional / Industry Knowledge is required
Be able to work as part of a team with minimal supervision

174

Swp-corporate Actions Supervisor Resume Examples & Samples

Typically manages a team of junior employees and/or offshore teams
Scope within overseeing specific processes within the department
Has the ability to apply independent judgment and decision making within the functional area of his/her expertise
Train and mentor senior analysts as needed
Escalation point to analysts
Fully knowledgeable on specific functions
May require escalation on decision making
Role has high emphasis on daily processing. Will be combined with managing workload and day to day activities of the team
Provides direction and oversight to team of specialists and analysts
Communicates and supports immediate staffing needs, address employee development, performance concerns, and escalates key accomplishments and issues to management regularly
Gives input and coordinates tactical plans, projects, and changes as needed

175

Corporate Actions Resume Examples & Samples

Flag assets on AOM PET DCOP as per SLA, for trade warning messages on corporate actions
Keep voluntary preliminary notifications and follow up for confirmed information
Send asset master update requests for extensions on warrants and rights
Identifying upcoming expiry items (via WTS/RTS Expiry Report). For short expiry, escalate to the Reorg Specialist, Reorg Processing Officer and Assistant Manager, to ensure appropriate action is taken
Prepare client notification to be distributed to sales force and clients
All notifications must have at least 2 final/effective sources of information with corresponding information. Retrieve/obtain depository/custodian notices and information circular from SEDAR/EDGAR, Issuer’s website, etc. and ensure hard copy is provided in the file for processing team
Print the ADP’s AESR screen and ensure notices are received for each of the depository/custodians where the firm holds a position in the security undergoing the corporate action. Where there are various cut off time for instruction submission from different depositories/custodians, issuers work with the earliest cut off, unless advised otherwise by the Reorg Processing team Assistant Manager or Manager, who may decide that an inter-depositories movement can be made, which will allow the firm to work with the later cut off for instruction submission
If you have only one source of information, a search must be conducted for a second, reliable source (Company Circular available from the internet, Bloomberg etc.)
Organize and analyse source material i.e. prospectuses, circulars etc. as available. Using Microsoft Access, prepare client condensed notification based on effective information available. Notifications must include all deadlines, options, tax consequences and any other pertinent information. Determine residency restrictions for tenders, as well as define eligible points of tender, these details are not always clearly indicated in material published by the Depositories or Agents or Offeror (deemed dividends, tax treatment)
Notifications must be approved by Specialist/management prior to publishing
When the notification is approved, post to reorg website. Randomly check to ensure the notifications have properly published/uploaded. Also send notifications via Email to established distribution list. And distribute to the Reorg Processing Team
Upload the search file to the server for “search function”. Test to ensure file is correctly/properly uploaded
Ensure that we adhere to our policy SLA for the issuing of confirmed Corporate Action notifications
Diarize the expiry of all voluntary Reorgs in the Calendar
Ensure all voluntary and mandatory redemption items are diarized in Reorg Dept. Expiry Calendar
If position is held in Defunct Account vs. Depository or Bulk Seg, advise the Reorg processing team Manager, to ensure client position is reinstated and reorg transaction processed
Ensure Preferred Clients needs are met
Ensure Emails are sent for short expiries
Answer emails received from the business lines within SLA
Avoid excessive loss in any situations involving market risk or exposure by
Working overtime as required to meet deadlines
Immediately advising Manager of any situations that could result in exposure/loss to the firm
Refrain from deciding to take any market action without escalation to management
Review appropriate forms/reports specific to job function
Ability to organize and analyse data and problem solve with a high degree of accuracy
Knowledge of the operational procedures and conventions of the various depositories/transfer agents the area interacts with - CDS, DTC, BNP, Citi, Cedel, Clearstream various issuers and law firms

176

Corporate Actions Team Leader Resume Examples & Samples

Ensuring service is delivered according to SLAs and KPI/KRIs targets are met
Contributing to objectives setting and defining challenging goals for the team to support Asset Servicing priorities
Leading people and their personal development
Handling issues and escalations as a first point of contact
Allocating and prioritizing tasks within the team
Managing capacity and resources of the team
You will also have a chance to lead initiatives/projects to support improvement of operational excellence
You will also contribute and shape a positive and inclusive atmosphere
1-2 years of team and people management experience, preferably in banking operations environment
Deep understanding of financial markets and instruments is an advantage
You have very good interpersonal and communications skills and ability to motivate the team
Outstanding attention to details and accuracy, quality driven approach
You are dedicated problem solver and you are happy to take initiative to improve
Organizational and multitasking skills
You are fluent in English, both written and spoken
Bachelor or equivalent degree in banking or finance is preferred
If you have Asset Servicing/Corporate Actions experience it is an advantage
Good knowledge of MS Excel is desirable
If you are familiar with SWIFT standards, it is a plus

177

Corporate Actions Supervisor Resume Examples & Samples

Commitment and coordination of the process of adopting new customers / processes / solutions in a team / section / department
Supporting the team / section / department in unusual / non-standard requiring extensive knowledge and experience
Ability to assume the responsibilities of each member of the team within a supported process (if necessary)
Taking Team Leader responsibilities related to the supervision of process during his absence (if necessary)
Performing control functions in a process, verifying transactions booked into accounting system and preparation of accounting summaries/reports;- PROC/RECS SPECIFIC
Understanding of all business connections and relations between teams/divisions within an end-to-end process
Cooperation with other teams/divisions within Citi in scope of performed responsibilities
Identifying and reporting of any gaps and risks in a process followed by the single-handed preparation and implementation of solutions eliminating these gaps

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