Derivative Operations Resume Samples

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A Schiller

Andy

Schiller

98111 Pearline Way

Chicago

+1 (555) 630 0204

98111 Pearline Way

Chicago

Phone

p +1 (555) 630 0204

Experience Experience

San Francisco, CA

Derivative Operations

San Francisco, CA

Weber LLC

San Francisco, CA

Derivative Operations

Evaluate the internal control environment to develop and improve the firm’s controls
Provide regular updates to Investment Operations senior management
Participate in Blackrock annual review process and draft goals/objectives for your development in conjunction with your Team Leader and Manager
Participate in working groups and project teams to provide subject matter expertise on function, procedure and control
Provide timely instruction to third party vendors including custodians and fund administrators
Manage any queries received from various internal and external parties
Identify and mitigate all material risk items and service issues and escalate to your Manager/ global teams on a timely basis

Phoenix, AZ

Derivative Operations Specialist

Phoenix, AZ

Kassulke, Flatley and Metz

Phoenix, AZ

Derivative Operations Specialist

Liaise with teammates and managers daily to provide client service, risk management, and superior Operational controls
Assist Team Manager with the integration of new processes borne out of the regulatory and change program
Liaise with Portfolio Managers, the Pricing Team, and the Valuation Committee to ensure the portfolio securities represent fair valuation according to MSIM Valuation Policy and Procedures
Proactively manage career development for team members
Manage new and ongoing tactical and regulatory project work streams
Provide daily and ad hoc reports to senior management
Communicate in small functional teams and larger group teams to complete daily tasks, share market and systems knowledge, protect client confidentiality, and preserve and grow strong trading relationships with clients

present

Los Angeles, CA

Team Leader, Derivative Operations

Los Angeles, CA

Legros LLC

present

Los Angeles, CA

Team Leader, Derivative Operations

present

Monitoring performance of counterparties and providing feedback to clients, participating in regular service review sessions
Performing bulk bookings and deletions for transitions in and out of NT
Investigating and resolving exceptions from portfolio reconciliations with Investment Managers, Counterparties and trade repositories
Investigating and resolving queries and enquiries from internal and external clients
Adapting processes to new systems and a rapidly changing regulatory environment
Conducting root cause analysis into the reasons for confirmation turnaround failing to meet regulatory standards
Performing UAT for new products, new clients and system enhancements

Education Education

Bachelor’s Degree in Business

Loyola University Chicago

Bachelor’s Degree in Business

Skills Skills

Strong analytical skills with an ability to identify problems and develop solutions
Possess strong interpersonal skills with an ability to communicate constructively at all levels
Possess a good understanding of the risks inherent in the corporate actions environment and demonstrate good discipline around control and escalation
Candidates should possess a high level of self- motivation and adaptability
Be highly organized, focused with practiced skills in operating effectively to tight deadlines within a high risk and high volume environment
Acute attention to detail and understanding of downstream processes
Demonstrate an affinity for teamwork and to contribute as a partner within a truly global team
Candidates should demonstrate appropriate levels of academic achievement or relevant work experience

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Derivative Operations Documentation Analyst Resume Examples & Samples

Accountable for inputting legal and derivative data into DECO system, e.g. dealer ratings, minimum transfer amounts and call times for collateral
Responsible for ensuring the ISDA/CSA terms are interpreted and accounts are assigned accurately based on the legal agreements
Key liaison between multiple business lines globally and the Investment Operation teams in a number of locations
When required be the Derivative Documentation representative for external parties including clients, auditors and consultants
Knowledge and experience of fixed income and equity products including derivatives – in particular knowledge of credit, interest rate, inflation and equity derivatives is advantageous
Experience in middle office or operations at a top-tier investment manager, hedge fund or investment bank
Functional expertise with the Markit Document Exchange KYC tool and collateral processes valuable
Knowledge of derivative documentation, particularly ISDA/CSAs, Futures, Repo, MSFTA and collateral management, would be beneficial
Willingness to learn and desire to develop an in-depth knowledge of derivatives, market practices & regulations, as well as shaping BlackRock’s approach to derivatives products & processes
Structured and organised approach with a very strong attention to detail and diligent work ethic
Willingness to participate, positive attitude, flexible approach and excellent teamwork skill
Understands needs and sensitivities of internal and external clients and proactively ensures these are met
Prior experience of project management skills and disciplines a benefit
Ability to juggle a number of tasks whilst keeping focused on priorities is essential
Strong excel, word and power-point skills required
Ability to work under tight time frames whilst maintaining a high level of deliverables to management and clients

Director, Derivative Operations Resume Examples & Samples

Manage BlackRock derivative operations regulatory sub-certification processes
Product and Process management derivative operational activities
Working in partnership with the global team, further develop / enhance operational processes with strong focus on risk mitigation steps
Identify current and future operational needs necessary for the support and success of the ops process; design, enhance processes as need be
Discover, design, develop and deploy process enhancements and other strategic operational enhancements that facilitates operational processes or mitigates ops risk
Identify, initiate, gather requirements and implement, in conjunction with the global, broader BlackRock team
Manage a small team responsible for confirmation of all post-settlement lifecycle payments including interest rate, credit and total return swaps, with relevant counterparties or FCM's for the global business
Learn the intricacies of the team’s responsibilities
Act as the main point of contact for all team processes
Act as main escalation contact for collateral management processes
Ensure the team provides timely instruction to third party vendors including custodians and fund administrators
Provide global support for futures and cleared swap reconciliation and resolve any exception items with multiple groups on a daily basis
Build strong working relationships with internal partners including Portfolio Management, Technology, Fund Administration, Cash Services, Data, Pricing, and the Institutional Client Business
Participate in working groups and project teams to provide subject matter expertise on function, procedure and control
Achieve and maintain understanding of all financial instruments utilized within your portfolio group
Candidates should possess 10 years’ financial services experience and have a good understanding of Financial Markets, preferably within the Investment Management or Global Custody environment
Candidate must possess and demonstrate a working knowledge of fixed income and derivative investments and finance with the skills and ability to work in an entrepreneurial and team oriented environment
In addition to a solid background in international Derivative Operations, leadership skills and evidence of functional oversight will be an advantage in this role
Experience in Derivative products and Stock Lending would be an advantage
Operational management of at least 5 people is required
Acute attention to detail and understanding of downstream processes: candidate must have impeccable organizational skills and demonstrate project management experience
Possess a good understanding of the risks inherent in the collateral management environment and demonstrate good discipline around control and escalation
Candidate must demonstrate strong working knowledge and experience in business process improvement

Asset Management Private Bank Derivative Operations Specialist Resume Examples & Samples

Knowledge of security industry (e.g., equities, fixed income, custody services, etc)
The ability to analyze a process and recommend ways to improve quality and efficiency
The ability to develop good relationships with and gain the confidence of internal and external parties
Strong analytical and problem solving skills to assist in resolving issues and improve overall servicing

Operations Derivative Operations Ldn Confirmation Drafting Group Associate Resume Examples & Samples

Draft OTC equity derivative trade confirmations
Ensure confirmations accurately utilise the ISDA Equity Derivative Definitions
Maintain accuracy and consistency around term sheets, risk bookings and confirmations
Devise and implement process improvements
Minimum 5 years’ experience within an Operations role in a global investment bank
Commerce degree
Experience in cross product confirmations and drafting
Experienced drafting counterparty ISDA trade documents and ISDA confirmations for FX Derivatives
Proven experience in industrialising an operational process
Contributes to the effectiveness of the team by working closely with colleagues by sharing information, skills, and responsibilities

Derivative Operations Analyst Resume Examples & Samples

Issuing and monitoring of collateral calls with our respective counterparties
Reconciliation of collateral and OTC positions
Internal booking of collateral calls and monitoring their settlement
Accurate and timely dispute management including pricing of repos
Building and maintaining strong working relationships with both internal and external stakeholders
Ad-hoc reporting/analysis for both internal use and at the request of our clients
Escalation of all material risk items and service issues on a timely basis
The constant review and improvement of current processes to ensure optimal efficiency
Continued awareness of industry/regulatory changes including EMIR & AIFMD and their impact on the collateral management process
Achieve and maintain understanding of all financial instruments relevant to the collateral management process
Participate in Blackrock annual review process and draft goals/objectives for your development in conjunction with your Team Leader and Manager
Maintain full knowledge of Blackrock corporate policies, procedures and guidelines
Understanding of the collateral process for all OTC products including bilateral Repo, Swaps, CFDs, MBS, Options and Forward FX is essential
A solid understanding of financial markets and regulatory the landscape, including EMIR & AIFMD
Knowledge of global collateral substitution process for both bilateral and ETD including re-hypothecation. Understanding of Securities Lending and Short Processing
Experience working within a global financial organization
Product and processing knowledge for Contract for Difference / Portfolio Swaps is essential
Strong understanding of the tri-party collateral processing is essential
Able to understand and interpret legal agreements including ISDAs, CSAs, GMRAs and PSAs
Candidates should have a strong understanding of Prime Broker reports / Prime Broker Portals
Acute attention to detail and understanding of downstream processes i.e. trade booking, reconciliation, and settlement and exception management
Possess a good understanding of risk and demonstrate good discipline around control and escalation
A Post-graduate degree is required for this role
Strong PC skills across Microsoft Office and advance knowledge of Excel i.e. formula building, pivot tables and macros. Word, Excel & Outlook

OTC Derivative Operations Rates Resume Examples & Samples

Experience in Rates OTC structured and derivatives products
Strong knowledge of MarkitWire and MTM affirmation workflow
Proven change management experience
Thorough understanding of operational risk management
Excellent people skills; ability to dynamically act as knowledgeable point of reference to co-workers domestically and internationally
Proficiency in Microsoft Excel, VBA and Word
Excellent math and analytical skills
Excellent grammar, written and oral communication skills
Ability to handle multiple tasks under extremely time sensitive conditions
Understanding of the various Rates OTC transaction types such as vanilla, cap/floors, swaptions, OIS, FRAs and IOS/POS
Understanding of front to back workflow
Understanding of established guidelines and documents published by ISDA

Derivative Operations Specialist Resume Examples & Samples

Understand and be able to communicate key regulatory changes that impact derivative trading and product support
Perform daily processing responsibilities focused around trade processing, block trade allocation communication, trade affirmation, and trade notification
Interact with various third party service providers, such as custodians and accountants as well as various executing and clearing brokers
Continually review and improve processes to achieve maximum efficiency and effectiveness
Support current business initiatives within the team
Bachelors Degree (Finance, Economics or Accounting preferred) and a minimum of 5 years experience in financial services operations or similar role
A good understanding of the investment industry and various financial products
Facility with common corporate technology platforms and applications including MS Word, Excel, Outlook, Sharepoint, and Adobe Acrobat Pro
A high degree of organization and an orientation toward strict attention to detail

Fixed Income Derivative Operations Specialist Resume Examples & Samples

Work with trading desk, sales, and other operations group to ensure trade processing is accurate
Direct engagement with Projects and relevant support partners on identifying operational risks and actively participating in the development process ensuring adequate oversight and testing is completed
Opportunity to foster relationships with trading desk, sales desk, and senior operations management
Minimum 5 yrs experience
Credit derivative experience a plus

Derivative Operations Specialist Resume Examples & Samples

Utilize trade entry systems, trade flow and storage systems, and trade processing systems effectively and efficiently to mitigate risk
Communicate in small functional teams and larger group teams to complete daily tasks, share market and systems knowledge, protect client confidentiality, and preserve and grow strong trading relationships with clients
Identify and implement process improvements and assist with enhancement testing as needed
Effective problem solver

Derivative Operations Metrics Associate Resume Examples & Samples

Generation of daily reporting for a specific asset class
Oversee the monitoring of the auto start reports for exceptions and providing escalation / solutions to resolve
Interrogation of Access database connections to troubleshoot failed reports and/or inaccurate results
Provide / Present management with metrics to monitor accuracy of operational teams and identification of KPR & KRI breaches in line with predetermined parameters
Analyze and provide meaningful metrics for Operational Risk teams
Gather and present draft data for review prior to submission to end user business partners
Generate ad-hoc reporting as needs arise, for operational workflow use, management, and risk reporting
Revise templates for reporting as market and internal operational models change
Product expert in specific asset class managed, being able to answer questions on source systems, data provided and interacting with a range of internal business partners specifically for allocated asset class
Analyze the reporting process, suggesting better and more efficient methods of producing reporting as well as suggesting new or other reporting that may be more relevant as requirements and industry change
Attention to detail while under time pressures
Ability to manage junior resources - workloads, plan training
Ownership of complex investigations & junior project roles
Strong relationship building skills- verbal and written
Analytical thought process to review output for accuracy
A can do attitude to resolve challenges and in times of peak demand
Ability to challenge seniors when reporting request needs clarification to avoid delays or incorrect metric publication
Good communication skills to share knowledge internally
Advanced Microsoft Excel (Large dataset management, Pivots Macros, VBA)
Microsoft Access (Competent executing queries / reports for data analysis)
Microsoft PowerPoint - Competent creating slides
Knowledge of MS organization & Derivatives
Knowledge of MS systems
Qlikview, Unix / SQL server / Putty

Derivative Operations Analyst Resume Examples & Samples

As a member of IRD Flow TSG you will be working closely with the Front Office to provide the first level of control for the Interest Rate Derivative Trading desks
Responsible for offering the first line of defense for the Trading desk's franchise risk and risk in ensuring that the trade bookings are correctly reflected in both Front and Back Office systems and tie out with the Counterparty
Ensuring that all trades are booked and confirmed as intended by checking the Trading system verses internal MS systems and versus MarkitWire, liaising with Trading, Sales, Brokers or the Counterparty directly
Act as guardian for the bank and you will monitor the integrity of the Firm's risk by ensuring that all trades are confirmed ASAP
Act as intermediary between the Trading desk and other areas of the Bank. Controllers, Settlements and Confirmations areas will come to you to discuss and resolve issues to ensure that breaks are resolved effectively
Responsible for ensuring current controls are enforced, liaising with IT and Projects Groups to initiate new controls and build STP to improve the firms infrastructure to increase both efficiency and control as you see fit to protect our franchise

FCC Derivative Operations Resume Examples & Samples

Ensure a seamless operation’s delivery platform for the Treasury Businesses, through timely and zero-defect transaction processing in the Unit
Authorization of the deals in the product processor for Derivatives transactions (OTC and ETD)post checking the regulatory (Local and Global) and internal guidelines
Effectively managing the margin requirement for the ETD segment
MIS preparation for front office, Finance, Credit and Regulatory reporting
Develop and implement technology solutions for automation of existing manual processes
Recommend process improvements methods and techniques to reduce cycle time and handle higher volumes with the existing resources as well as suggest technology initiatives and implementation plans to build in process efficiency in operations
Update COB plans and ensure that COB testing is carried out

Derivative Operations & Swaps Manager Resume Examples & Samples

10+ years of Operations or Hedge Fund Accounting experience at a top tier firm
Experience working in Derivative Operations at a top tier asset management firm
Previous experience working with Advent Geneva

Derivative Operations Collateral Management Analyst Delaware Investments Resume Examples & Samples

Perform daily operational tasks which include analysing daily exposure to determine the amount of collateral required for futures and swaps
Maintain multiple relationships with our counterparties, custodians, vendors and internal parties
Resolve collateral issues
Assist with preparation and analysis of monthly reconciliations of collateral and other ad-hoc reporting requirements
Assist with preparation and analysis of monthly reporting for the Derivative Committee meeting
Assist in setting up new counterparties
Anticipate issues that may adversely affect derivative operations and take action to reduce risk where necessary
BA/BS in Accounting/Finance or equivalent work experience
1-2 years of work experience in investment operations, general knowledge of securities
Ability to adapt quickly to new systems; Flexible and adaptable in changing environment
Exceptional organizational skills and able to handle multiple assignments simultaneously
Attention to detail, with solid analytical and problem solving capabilities
Strong technical skills, including working knowledge of MS Excel
Good interpersonal skills; Ability to work in a team environment as well as independently

Ficc Derivative Operations Resume Examples & Samples

Ensure timely preparation and dispatch confirmations to clients
Develop and implement technology solutions for automation of existing manual reports and processes
Interface with, and have cordial professional relationships with the various external and internal entities that are part of the transaction processing activity chain – such as the Dealers, Financial Control, Treasury Front Office, Credit, RMs, Risk management, CCIL, RBI, Citibank NY/London etc
Candidate should be a qualified Chartered Accountant or MBA from a premier institute

Derivative Operations, Analyst Resume Examples & Samples

Daily reconciliation of positions in risk vs downsteam books and records
Interacting with the Sales & Trading Desks, answering any ad-hoc requests/trade related questions
Trade capture of listed trade bookings
Deal verification of OTC bookings to Term sheets or documentation
Completion of daily checklists
Identification and escalation of control-related issues develop procedures/solutions to close gaps
Ability to think laterally, and recognize opportunities for system/process improvement
Previous experience in a Trade Support function is desirable

Derivative Operations Specialist Resume Examples & Samples

Manage new and ongoing tactical and regulatory project work streams
Prepare scope and user requirement documents for regulatory and change management initiatives
Prepare test scripts, co-ordinate and conduct user acceptance testing
Implement/test operational process improvements
Assist Team Manager with the integration of new processes borne out of the regulatory and change program
Provide trade processing support for Fixed Income and Equity Trading Desks
Ensure ASIC and EMIR Trade Reporting is reported to Trade Repositories by the regulatory deadline
Work with T3, Sales, Legal and Compliance to resolve issues relating to T3 events
Produce and sign off monthly regulatory client reports
Prepare and produce quarterly Management Company / Funds Board reports
Prepare and produce KPI/KRIs for Derivative Governance Committees
Review Price Source Agreements with Third Party Vendors
Develop pricing model for European funds
Liaise with Portfolio Managers, the Pricing Team, and the Valuation Committee to ensure the portfolio securities represent fair valuation according to MSIM Valuation Policy and Procedures
Support the Fund Administration Team with Valuation and Pricing queries
Bachelors Degree or equivalent (Finance, Economics or Accounting preferred)
Proven investment management operations experience preferred
Derivatives regulatory knowledge, EMIR, Dodd Frank, ASIC, MAS and HKMA
Regulatory knowledge, UCITS, AIFMD and MIFID
Strong project management and risk management skills
Strong organisational skills and an orientation toward strict attention to detail

Derivative Operations VP-institutional Securities Group Resume Examples & Samples

Daily monitoring and escalation of Counterparty & Credit Risk generated by the Institutional Equity Derivatives and Prime Brokerage Business
Correct application of the Credit Policies to the trading activity
Crisis ad-hoc events management
Market risk scenario & limits analysis and tracking
Non Market Risk Analysis and support
Counterparty trade control: correct application of credit approval process and independent amount setting on a trade by trade basis
Monitoring exposure to specific underliers/ countries, or exposure based on portfolio composition versus specific risk parameters (long or short volatility or delta)
Monitoring counterparties ratings, concentration risks, slides analysis
Ad hoc Credit analysis and credit exposure calculation & analysis driven by market events
Management of counter-party risk initiatives, such definition and implementation of solutions to enable automation of trade level upfront margin calculation
Methodology development: development of parameter based calculations, competitive analysis
Successful delivery of enhancements to platforms & system flows to streamline credit approvals and counter-party limit monitoring

AM, Derivative Operations Specialist Resume Examples & Samples

Derivative and structured product knowledge is a plus
The ability to adapt to a rapidly changing business and technological environment (e.g., introduction of a new product or work environment capabilities)
The ability to work in high-pressure situations
Must have good prioritization and multi-tasking skills

Derivative Operations, Associate Resume Examples & Samples

Gain a comprehensive understanding of BlackRock’s operational processes and systems relating to Derivative Operations
Responsible for responding to day to day queries from Japanese Trust Banks and other stakeholders
Scope of responsibilities includes monitoring of derivative trading & servicing activity; i.e. Clearing (Exchange Traded
Derivatives & Cleared OTC), OTC Collateral Management, Tri-party & Pnote management (where applicable)
Participate & help drive the design and implementation of BlackRock’s derivative operations model on the Aladdin platform
Maintain and update operational procedures and ensure appropriate compliance
Where appropriate cross-train or share your knowledge with local and offshore colleagues
Primary point of contact for our APAC counterparty’s derivative on-boarding / borrower enablement teams
Enter legal & derivative data into the DECO system, e.g., minimum transfer amounts and collateral terms

Derivative Operations Resume Examples & Samples

Scope of responsibilities includes oversight of derivative servicing activity; i.e. exchange traded derivative margining, OTC collateral management, periodic payments and trading agreement documentation across all 10,000+ BlackRock client portfolios
Manage regional staff of approximately 30 individuals
Implement a strategic derivative operations support model in APAC and India
Represent BlackRock in relevant regional industry forms
Provide strategic direction for the development of the Aladdin Derivative support platform. This includes a robust risk monitoring environment to ensure all functions are performed routinely to minimize risk to BlackRock clients
Provide regular updates to Investment Operations senior management
Bachelor’s degree in Accounting, Finance or Economics
Minimum 15 years of derivative operations experience
Regional leadership and functional oversight
Advanced level of operational processes, with specific understanding of risk and operating controls
Relationship management skills for partnerships with internal client constituents and external service providers

Derivative Operations Resume Examples & Samples

Perform daily reconciliation of CFD exposure against our Prime Brokers
Confirm, instruct and provide required follow-up support for settlements on bilateral OTC positions
Confirm all post-settlement lifecycle payments including interest rate, credit and total return swaps, and CFD’s with relevant counterparties for the global business
Provide timely instruction to third party vendors including custodians and fund administrators
Monitor and facilitate settlement of failing transactions
Provide global support for Synthetic Payments Team (SPT) and resolve any exception items with multiple groups on a daily basis
Escalate all material risk items and service issues to your Team Leader/Manager on a timely basis
Achieve and maintain understanding of all financial instruments in which we work
Candidates should possess a minimum of 3 years’ experience in a Derivative Operations role and have a general understanding of Financial Markets, preferably within the Investment Management or Global Custody environment
In addition to a solid background in international Derivative Operations, leadership skills or evidence of functional oversight will be an advantage in this role
Candidates should possess a high level of self- motivation and adaptability
Demonstrate an affinity for teamwork and to contribute as a partner within a truly global team
Possess strong interpersonal skills with an ability to communicate constructively at all levels
Be highly organized, focused with practiced skills in operating effectively to tight deadlines within a high risk and high volume environment

Derivative Operations Resume Examples & Samples

Need to have good knowledge of Derivative products and Trade Life Cycle
Resolving Disputes by working closely with the Broker & Custodian
Need to perform daily Reconciliation on Futures & options positions of Blakcrock against FCM's
Need to work on Failed trades with Broker & Custodian
Need to participate in UAT testing’s as a part of Business Reengineering projects
Build partnerships with internal and external parties to help gain efficiencies
Need to have overview of Initial and Variation Margin in Exchange Traded Derivative Space
Able to meet all process Deliverables as per the defined SLA's
1 – 3 years’ experience
Understanding of financial markets and related instruments

Senior Analyst, Derivative Operations Resume Examples & Samples

Detailed knowledge of OTC products, including complex and structured products
Detailed knowledge of OTC product lifecycles
Ability to calculate cashflows on vanilla and complex products
Thorough understanding of OTC Settlements processes and best practice
Excellent Excel/Word skills
Experience of Summit and Bloomberg
Familiarity with OTC Documentation and matching platforms such as DTCC and Markitwire
Sound knowledge of OTC products and market practices
Summit and Markit Trade Manager experience useful

Analyst, Derivative Operations Resume Examples & Samples

Checking of paper confirmations versus the trade capture system, Summit
Conducting root cause analysis into the reasons for confirmation turnaround failing to meet regulatory standards
Processing of novations and client transitions
Providing trade information to interested parties such as Fund Accountants, Trustees and Third Party Administrators
Investigating and resolving exceptions from portfolio reconciliations with Investment Managers, Counterparties and trade repositories
Investigating and resolving queries and enquiries from internal and external clients
Production of client reporting
Production of MIS and KPIs
To provide support to the Team Leader and Department Manager
To settle OTC trades in a timely & accurate manner
To monitor and securely maintain all SSI data relating to the settlement of OTC Derivatives
To liase with Clients and Market Counterparties to resolve any settlement discrepancies
To undertake relevant position reconciliations
Monitor & investigate monthly overdraft/interest claims
To undertake various tactical and strategic initiatives to improve performance
To increase the number of trades matched electronically through Markitwire and DTCC
To ensure that all team duties are completed accurately within internal, market and SLA deadlines and timeframes
Attend internal and external meetings with Clients and Counterparties where required
Ensure that procedures are followed and updated regularly
Ensure that controls are adhered to and evidenced daily
Detailed knowledge of OTC products
Detailed knowledge of OTC market practices and initiatives
Detailed knowledge of OTC Settlements best practice
Good Excel/Word skills
Summit experience useful but not essential

Team Leader, Derivative Operations Resume Examples & Samples

To ensure our clients’ trades are being matched with counterparts efficiently and according to market/regulatory standards,
The agreement and settlement of all fees, premiums, coupons and financing charges relating to OTC Derivative Transactions and the investigation of any resultant cash breaks
The agreement and maintenance of all SSI data in relation to the settlement of OTC transactions
Transitions and other change projects as required
Alignment and enhancement of processes to meet the specific requirements of each type of client, depending on which other services Northern Trust is providing, such as Fund Accounting, Performance or Independent Pricing
Ensuring quality data is captured and made available to internal and external downstream teams that are dependent on that data, such as Clients, Collateral, Fund Accounting, Valuations and Performance
Enhancement of product knowledge and contributing more actively to the processes of assessing and onboarding new business, whether that be new products, new clients, or both
Adapting processes to new systems and a rapidly changing regulatory environment
Representing the team and Global Derivatives Practice at internal and external forum
Settlements processing of OTC Derivative Trades and processing accounting entries
Monitoring and agreement of cash payments with market counterparties
Monitoring exception queues in MTM to ensure alleged trades are matched, or disputes identified, escalated and resolved
Monitoring performance of counterparties and providing feedback to clients, participating in regular service review sessions
Performing UAT for new products, new clients and system enhancements
Performing bulk bookings and deletions for transitions in and out of NT
Team organisation: Ensure all team duties are completed accurately and according to internal, market and client-driven deadlines; organise redistribution of work and cross-training accordingly
Team development: Identify areas for team improvement; deliver performance assessments; address non-performance and celebrate great work in a timely manner
Client focus: Work effectively with internal and external clients to understand their requirements and ensure service is delivered according to agreed levels; maintain SLAs and KPIs and update as necessary
Control focus: Ensure that procedures are followed and updated regularly; ensure that controls are adhered to and evidenced daily; complete required Control and Risk MI
Continuous improvement: Produce business, productivity and quality metrics; review and improve processes through training and tactical/strategic initiatives
Technology risk: Maintain log of issues caused by systems and escalate appropriately to ensure root cause is driven out; escalate issues requiring change work and build business case to procure appropriate budget
New business: Represent the team on new product and new client assessment
Manage change: ensure all project commitments are met; review project documentation and complete testing; support technology release weekends
Represent the team and departmental manager in internal and external meetings
Excellence in execution: Promote best practice and share ideas with equivalent teams globally
Knowledge of OTC products, including complex products
Knowledge of OTC product lifecycles
Proven understanding of Trade Capture processes and best practice
Knowledge of OTC market best practice and initiatives
Thorough understanding of the Investment Management industry
Thorough understanding of recent regulatory changes and the impact on operational practice
Demonstrable skills on Summit and Bloomberg
Process large and variable volumes accurately whilst consistently meeting external and internal deadlines
Identify issues and pursue to resolution; prioritise and escalate according to risk
Operate calmly and remain professional under pressure
Adapt positively to change and adversity
Manage conflicts between change project commitments and BAU workload
Manage urgent requests from multiple client simultaneously
Delegate effectively
Communicate clearly and concisely with partners of all levels, both verbally and in writing
Review and provide concise feedback on typical business documents such as Service Level Agreements, Business Requirements and UAT packs
Represent Northern Trust to the highest professional levels both internally and externally (including clients, auditors, regulators etc)
Lead and develop a diverse team of partners

Derivative Operations Post Trade Analyst Resume Examples & Samples

Confirmation of direct trade details with clients
Execution of legally binding trade confirmations within controlled time-frames
Ensure department is adhering to evolving regulations (CFTC & EMIR) impacting the derivative market
Handle queries from both desk, counterparts and other internal clients regarding deals
Escalate breaks to desk, ensure follow up until issue resolved
Deliver quality service to firm focus clients
Outstanding Interpersonal Skills
Ability to communicate to a wide and varied audience
Strong numerical and analytical background
Well Organized
Ability to deal with stressful situations and high volume
Understands the risk inherent to Operational process
Client Support Role Experience
ISDA understanding
FX Derivatives knowledge

OTC Cleared Derivative Operations Specialist Resume Examples & Samples

Maintain OTC and OTC Cleared market knowledge and keep up to date with market events. Proactively consider the implications of such events in conjunction with business processes
Role provides administrative, transactional based support to others involved in the task of fund / portfolio management
Responsible for the capturing and sharing of information for use by those tasked with refining / creating procedures / practices / processes
Provides common sense, basic procedural advice in the area of Financial Services Operations
Role has no direct impact on external clients. The role has little or no contact with clients
The role holder’s actions impact most on their own work or that of their immediate colleagues within the organisation
Typical educational requirement: A levels or equivalent
Prior experience in the Financial Services Operations field in order to fulfil the requirements of the role, preferably within an OTC Derivative environment
Advanced Excel VBA experience (Level 3), to develop, support and maintain various UDT tools. Necessary skills will include VBA code writing and development

Derivative Operations Post Trade Associate Resume Examples & Samples

Account opening
Ongoing client relationship management
Strong PC skills (Word, Excel) Level: Entry-level Analyst / Associate

VP-derivative Operations Resume Examples & Samples

10 – 15 years of relevant experience across Investment Operations functions, i.e. Collateral management, Settlements, Securities lending
Experience managing people; has empathy and willing to engage people on career discussions
Takes time to coach, mentor and develop others, recognizing accomplishments and successes
Significant experience effecting and managing change across a large organization Proficiency in Microsoft Office and an aptitude for learning new applications
Proven strong ability to drive/execute strategies

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