Investment Office Resume Samples

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M Kunde

Melyna

Kunde

699 Joyce Points

Philadelphia

+1 (555) 575 1650

699 Joyce Points

Philadelphia

Phone

p +1 (555) 575 1650

Experience Experience

Dallas, TX

Investment Products Middle Office Quality Assurance Analyst

Dallas, TX

Osinski-Bailey

Dallas, TX

Investment Products Middle Office Quality Assurance Analyst

Organize discreet work efforts and provide overall project or program tracking
Provide feedback on project status, offering constructive options to ensure project tracks to original expectations
Develop agenda’s and presentation decks for status meetings
Communicate and facilitate management decisions at the earliest possible time
Communicate to senior management and other key stakeholders
Planning and executing small-to-medium scaled projects or business initiatives independently
Direct activities, monitor details, and set priorities

Houston, TX

Asset Management GWM Investment Product Middle Office Equitytrade Support Associate

Houston, TX

Terry LLC

Houston, TX

Asset Management GWM Investment Product Middle Office Equitytrade Support Associate

Coordinate with different functional areas including Technology, Front Office Product Desks, Supervisory Management, Compliance, and Settlements to implement process, system, and product changes
Compile and assist with developing MIS data for regular management reporting
Provide Investor, Financial Advisor, and Client Service support to resolve ad hoc queries pertaining to order submission, order routing, order execution management
Assist in developing and reviewing documented test plans, and coordination of test scenarios
Assist in the development of training materials
Interface with Operations on trade booking, fail management, exception processing, and ad hoc queries
Monitor order/trade break and fail management reconciliation reports to reduce business risk

present

San Francisco, CA

Head of Middle Office Investment

San Francisco, CA

Stoltenberg Group

present

San Francisco, CA

Head of Middle Office Investment

present

Provide technical guidance and recommendation as a subject matter expert in order to support the local portfolio managers and to provide investment-related information to IM/Group stakeholders as well as to the local authorities
Control income and expenses but also lead the data management and production of portfolio performance reports
Analyze capital consumption and offer solutions to improve it under Solvency II, producing superior risk-adjusted returns relative to liabilities
Drive investment administration, performance collection, aggregation, and reporting processes for investments across relevant securities
Lead the data management and production of portfolio performance reports to senior management and relevant investing entities, and create new insights into portfolio performance by analysing the database and providing varying views of the portfolio
Control transactions, settlements, and valuations and monitor portfolio and structured assets valuations
Produce accurate and timely investment reports, ad-hoc analysis of investment opportunities and potential new portfolio mandates

Education Education

Bachelor’s Degree in Professionalism

Arizona State University

Bachelor’s Degree in Professionalism

Skills Skills

Gain insight into the current tools/operating models via knowledge share sessions, become a Subject Matter Expert in Alternative Investment
Project lead on Hedge Fund aligned projects within the Alternatives Mid Office
Lead and/or participate in project meetings and represent the team's vision accordingly with both business and technology partners
Manage a small team of project managers/analysts
Engage in new design discussions and document existing and future workflow processes
Provide continuous feedback on project status to management and impacted stakeholders; update project tracker
Write test scripts, perform User Acceptance Testing (UAT), and production checkouts

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Alternative Investment Middle Office Project Manager Resume Examples & Samples

Project lead on Hedge Fund aligned projects within the Alternatives Mid Office
Manage a small team of project managers/analysts
Responsible for documenting business requirements, ensuring technology understands the requirements, traceability to the Functional Specification Document (FSD), and monitoring overall progress of the project (e.g. milestone tracking)
Gain insight into the current tools/operating models via knowledge share sessions, become a Subject Matter Expert in Alternative Investment
Write test scripts, perform User Acceptance Testing (UAT), and production checkouts
Work with legal to establish the appropriate vendor agreement; determine service levels required (if needed)
Establish conversion plan and execute it accordingly (if needed)
Assist with developing training materials (if necessary), coordinate/conduct pilot training sessions (if needed)
Minimum of 6 years experience in the financial/securities industry
Minimum of 4 years project management experience
Must be highly disciplined, a self-starter, and have the ability to execute on assignments independently
Strong interpersonal and business communication skills
Ability to communicate with all levels within the Line of Business
Undergraduate degree

Am-investment Products Middle Office Resume Examples & Samples

Respond to inquiries as requires
Compile MIS data for management
Coordinate with various areas of Operations, Middle Office, Finance, IT and Senior Management on business requirements, procedures and processes
Assist with monthly management reporting
Knowledge of securities industry and applicable regulatory requirements
Process driven, and at ease with technology and client account / security reference data
Experience in workflow analysis and documentation

AM, Investment Products Middle Office Resume Examples & Samples

Work across functional organizations to identify synergies
Ensure that the organization is structured optimally to deliver efficient and effective solutions to business partners and customers
Identify / Implement leading Key Risk Indicators (KRIs); monitor these indicators on an ongoing basis and look for opportunities to drive improvements; facilitate effective communications to Operations and senior management related to these KRIs
Promote more effective use of existing tools and processes
Assess process risks and
Identify / develop metrics to best manage the organization
Experience and understanding of project lifecycle and project management disciplines
Strong analytical/writing skills, ability to quickly analyze information and creatively reach solutions
Direct and manage project development from beginning to end
Define project scope, goals and deliverables that support business goals in collaboration with senior management and stakeholders
Ability to function productively in a fast paced changing environment
Strong experience producing related documentation including status reports, detailed schedules (MS Project), polished presentations (PowerPoint), risk lists, action items and meeting minutes
Proficient with Microsoft products including Project, Visio, Excel and Word

Investment Analyst, Derivatives Middle Office Resume Examples & Samples

Understand the trade lifecycle, products, processes, and systems and ensure risk controls are implemented and consistently performed on an ongoing basis
Ensure timely completion of all trade processing and work with relevant groups to resolve any trade exceptions
Provide front to back support for reporting and data inquiries as it relates to trade support & confirmations
Work on strategic IT projects and business initiatives (e.g. new products)
Have knowledge of current regulatory framework and impact to trade lifecycle
Provide trade confirmation services across futures clearing, OTC clearing, OTC bi-lateral electronic, and OTC paper
Minimum 4 year preferably in finance, mathematics, or related field degree with 0-2 years of experience
Strong financial acumen and passion for learning the derivatives industry
Existing exposure to derivatives in a confirmation, settlements, collateral, or accounting function will receive strong consideration
This position will have a heavy focus on listed derivatives trade support and various reporting functions
Advanced degree and/or appropriate professional certifications (i.e. CFA, FRM) is strongly encouraged
Significant knowledge of derivatives products, investment processes, and databases/trading systems
Highly developed quantitative, analytical, problem recognition and resolution, organizational, and communication skills with strong attention to detail and accuracy
Self-motivated, proactive, and works well under pressure
Knowledge of or experience with Murex, Aladdin, or similar systems strongly preferred

Investment Products Middle Office Project Manager Resume Examples & Samples

Degree in Finance/Economics preferred
Must have knowledge/experience in the securities marketplace primarily but not limited to: Equity, Fixed Income, Structured Products, Syndicates, Derivatives and Alternative Assets
Prior experience with supporting trading desks, trading applications, trading controls, and managing project agendas associated
In-depth knowledge of Excel, PowerPoint and Internet technologies
Taking ownership, ensuring the accurate and timely escalation and resolution of all inquiries
Must be highly disciplined, a self-starter, have the ability to work under high-pressure and execute on assignments independently
A team player who demonstrates work ethic and consistently demonstrates a high level of professionalism
Attention to detail with superior written, verbal, and excellent problem solving skills
Strong capacity for operating in a flexible, dynamic environment where creative and strategic thinking is required
Project Management Skills: candidate must have ability to create practical and comprehensive implementation plan and partner with all levels of management and stakeholders to gain consensus
Series 99 Required (Or will need to obtain within 120 days of hire.)

AM Investment Middle Office Project Manager Resume Examples & Samples

Partner with Technology Plan and Development teams to create strategic solutions to oversee new products and develop enhanced tools
Produce high level summaries, presentations, and updates for senior management and stakeholders
Experience managing projects related to banking and/or broker-dealer regulations and risk management

Asset Managment GWM Investment Middle Office Resume Examples & Samples

Strong knowledge of Investment Products including Equities, Fixed Income and Derivative securities and their markets
Understanding of flow of account opening to trading to post trade monitoring
Prior experience with supporting trading desks, trading applications, and trading controls is a plus
Elicits requirements from all functional areas; facilitates discussions cross-functionally; documents in a clear fashion
Designs new processes by analyzing requirements; constructing process flow charts and diagrams; studying system capabilities; writing specifications
Provides references for users by writing and maintaining user documentation; providing help desk support; training users
Lead status meetings at the operational and project level
FINRA Series 99 licensing required after 120 days of hire
Specific project activity may include

Investment Products Middle Office Ficc Trade Support Manager Resume Examples & Samples

Work with Front Office Product Desks, Investors, Financial Advisors, and Client Service on trades in respective asset classes
Assist in the development of training materials
8+ years tangible Fixed Income and FX industry experience (preferably in operations and settlements)
8+ years managing teams of 5+ employees
Experience in workflow analysis, documentation, and project management
High aptitude for critical thinking, and ability develop and articulate complex agendas
Must have a control-oriented mindset, and experience with regulatory influences (e.g. FINRA and SEC)

GWM Investment Products Alternative Investments Middle Office Resume Examples & Samples

Support the processing of alternative investment tax documents
Support the review of client documentation including Subscription, Commitment, and Transfer documents, Corporate Action responses, and Subscriber Information Forms
Compile MIS data for senior management
Process driven and control-oriented mindset

Jpms Investment Middle Office Trade Support Analyst Resume Examples & Samples

Resolving phone and e-mails inquiries regarding trading, data quality issues, application usage, and other miscellaneous items
Ensuring the accurate and timely escalation and resolution of all inquiries
Facilitating training for all new application users
2 - 3 years of financial industry experience; Investment product knowledge
A team player who demonstrates work ethic and consistently demonstrates a high level of professionalism
Attention to detail with superior written, verbal, and problem solving skills

Equity Analyst, Family Investment Office Resume Examples & Samples

Work closely with the Head of Research and CIO, the Equity Analyst will conduct company and industry research by financial modelling, market news, company visits etc
Analyse financial data and generate investment ideas
Work with the investment team to monitor investment portfolios

AM, GWM, Investment Products Middle Office Resume Examples & Samples

Coordinate with different functional areas including Technology, Front Office Product Desks, Supervisory Management, Compliance, and Settlements to implement process, system, and product changes
Provide Investor, Financial Advisor, and Client Service support to resolve ad hoc queries pertaining to order submission, order routing, order execution management
Monitor order/trade break and fail management reconciliation reports to reduce business risk
Interface with Operations on trade booking, fail management, exception processing, and ad hoc queries
Coordinate with investment technology to escalate daily defect management and support of strategic trading application enhancements
Assist in developing and reviewing documented test plans, and coordination of test scenarios
Strong communication and presentation skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution
Previous experience in the Financial Services industry, ideally with specialization in Equity Derivative and/ or Cash Equities products or trade support
Previous experience with regulatory influences (e.g. FINRA and SEC)
Series 99 (Series 7 / 63 a plus)

Investment Products Middle Office Operations Analyst Resume Examples & Samples

Perform various next day reconciliations associated with brokerage trading Prepare reporting of delivery statistics for client confirms, statements, and prospectuses
Assist in managing ad hoc and research inquiries directed to the team inbox
Provide daily trade support to the various trading desks and middle office teams
1-2 years industry related experience preferred
Self-starter, extremely organized with strong commitment to accuracy and detail
General knowledge of securities industry with high aptitude of learning
Good judgment and problem solving skills
Demonstrated proficiency in Excel, PowerPoint, Word and SharePoint a plus
Ability to multi-task, manage priorities effectively, work independently
Must be a team player and be able to follow-through on key tasks

Investment Products Middle Office Quality Assurance Analyst Resume Examples & Samples

Planning and executing small-to-medium scaled projects or business initiatives independently
Communicate and facilitate management decisions at the earliest possible time
Highly motivated, results-oriented, client-focused
Strong leadership, interpersonal, and relationship management skills
Ability to synthesize information to reach logical conclusions and present findings
Ability to evaluate and improve processes; Excellent documentation skills
Strong systems, operation, and control analysis skills
Demonstrated intermediate-level proficiency with MS Excel, MS Word, MS PowerPoint
Self-starter, self-directed, and able to work well in a team environment
2-5 years project management and/or senior business analyst experience
Strong issue resolution and problem-solving skills
Ability to be flexible, meet tight deadlines, organize and prioritize work
Familiarity with Private Banking, Trust & Estates, or Brokerage business is a plus
Series 7 or 99 (required for associate-level)

GWM Investment Products Middle Office Ficc Trade Support Associate Resume Examples & Samples

Coordinate with various areas of Operations, Middle Office, Finance, IT, Risk, Compliance on business requirements, procedures and processes
3+ years tangible of Middle Office trade support experience
Process driven, and at ease with responding to high pressure deadlines
Ability to multi-task and be detail oriented
Must have a control-oriented mindset, and knowledge of regulatory influences (e.g. FINRA and SEC)
Bachelor’s degree is highly preferred
Series 99 (and Series 7/63/24 is a plus)

AM, Investment Products Middle Office Resume Examples & Samples

Sample small volumes of client confirms, statements, and prospectuses for to verify content accuracy
Undergraduate degree (MBA preferred)
Self-starter, extremely organized with strong commitment to detail
Good judgment, leadership and problem solving skills

Wealth Management Investment Products Middle Office Resume Examples & Samples

Project Management Office – Proactively lead PMO delivery and approvals for multiple concurrent Project Managers, tracking completion of action items, resolving issues, mitigating risk while monitoring financial performance of projects
Business Transformation – Support short-term and long-term strategic directions to reengineer multiple systems/flows to reduce the number of system dependencies and unify trade flows across product lines and reduce risk involved in multiple systems
Client Experience – Drive client experience initiatives that will position our delivery and execution through a consensus to meet our strategic and tactical objectives to delivery exceptional service to our clients
Industry & Firmwide Initiatives – Support ongoing industry working groups and firmwide initiatives in an effort to maintain the firm’s integrity and reputation
Undergraduate degree or equivalent work experience
5+ years of leadership in managing complex projects and programs within securities industry
5+ years of business analysis, root cause analysis and process improvement experience
Project Management Certification a plus (PMP, Lean Six Sigma)
Self-starter, Ability to multi-task, manage priorities effectively and work independently
Exceptional organizational and reporting skills
Strategic thinker with ability to implement and execute
FINRA Series 99 licensing required within 120 days of hire

Investment Back Office Assistant Resume Examples & Samples

Ensure all daily tasks and controls in the Investment Back Office are adhered to and carried out efficiently and effectively
Daily verification and review of instrument pricing
Daily pricing of unit linked funds and review
Reconciliations of Investment related Bank, Custody and Unsettled accounts
Perform Investment accounting & analysis, assist in the preparation of financial statements, CSO and Financial Regulator returns
Liaise with local Financial, Fund Administration, Actuarial and Group reporting teams to resolve discrepancies
On going update of process & procedures documentation

Asset Management GWM Investment Product Middle Office Equitytrade Support Associate Resume Examples & Samples

Act as middle office stakeholder for business, control, and regulatory implementation agendas
Consistent focus on improving functional efficiency and control of daily tasks
Compile and assist with developing MIS data for regular management reporting
Analytical Skills: must be highly analytical with experience using objective data to drive strategic recommendations
Problem Solving Skills: candidate must be able to identify, understand, and address operational and technical issues
Ability to multitask and to work under pressure, prioritizing duties according to risk
Ability to face off to demanding stakeholders, managing their expectations while developing strong working relationships with them
A self-motivated individual who is able to deliver with minimal supervision while working effectively as part of a team
Knowledge of clearing, settlements, asset services, and transaction lifecycles
Bachelor degree required (Degree in Finance or Economics preferred)
Work Experience: 4-8 years broker dealer or wealth management experience

Group Manager, Investment Middle Office Resume Examples & Samples

Oversee Investment Middle Office teams in EMEA. Ensure services are delivered to customer centric, high quality standards and risk is mitigated. Ensure managers and associates are engaged, motivated and developed to maintain high quality teams that proactively exceed client expectations. Continually, seek to improve the quality and productivity of Middle Office processes and facilitate similar goals in internal client areas
Positively represent all EMEA Middle Office services to Investments and Global Trading areas. Be proactive in advocating for and ensuring all services meet and exceed internal client expectations. Partner closely with other division managers in the delivery of high quality services. Collaborate in a positive and constructive but suitably urgent fashion to in order to meet Investment and Global Trading needs
Partner closely with regional Investment Operations managers to ensure Middle Office functions are executed consistently and in a high quality fashion in all locations. Partner with other support areas to ensure optimal use of technology in strategic and tactical applications
Outstanding business partner to investment and trading areas
Deep technical knowledge of global financial markets and processes
Demonstrated process management skills
Thorough understanding of technology and demonstrated ability to leverage technology

Principal Investment Office Resume Examples & Samples

Preparing or reviewing key management reports and business proposals
Assisting in stewarding investments through the approval process while also demonstrating independence
Maintaining key control documents
Tracking investment decisions

Senior Manager, Investment Middle Office Resume Examples & Samples

Develop Strategic Operating Model for Asia Pacific Operations - The primary responsibility for the role is to develop the strategic operating model for operations in Asia Pacific. This will require an intimate understanding of the channels, client requirements by country and the current state of TRPs infrastructure. This role will need to develop this model and then establish a road map on how we are going to reach the future target state. They will also have to actively manage the existing and pending book of business as the organization evolves along the road map
Influence enterprise- The role will need to impact and influence the broader organization in order to ensure there is a clear understanding of the local needs of the clients and their expectation as it relates to the SLAs required to support the business in Asia Pacific. Due to the unique requirements across the region and the heightened focus on errors and transparency of information, the Sr. Manager has to ensure the broader organization is aligned to meet their needs. This means that the incumbent has to influence not only operations (i.e. IO, RICs, ICO, etc) but also the investment, legal, technology and distribution organizations
Optimize existing processes and infrastructure- Role will need to look for constant process improvement in order to ensure client needs are being met. They will also have to rationalize existing processes in order to minimize risk and ensure SLAs can be met. They will need to maintain an intimate understanding of all of the processes supporting the business in Asia Pacific including the processes that may be outside of their immediate control (ex: trading, recon etc.)
Oversee day to day operations - Must maintain oversight of day to day operations. Role will need to establish governance processes and procedures to ensure accuracy and manage the manual nature of the requests. They will need to monitor monthly SLAs and service providers to ensure we are meeting the client’s needs. Additionally, they will need to oversee team members in Tokyo, Australia, and Hong Kong while providing career coaching and development
Serve as a member of the Investment Operations leadership team, contributing to the strategic direction for the division; prioritizing, acquiring, and deploying resources; overseeing key initiatives while at the same time managing risk and maintaining compliance
Develop and mentor Investment Operations team in APAC, fostering associates to be engaged, motivated and developed to maintain high quality teams that proactively exceed client expectations
BS or BA Degree coupled with 10+ years’ of relevant Middle Office leadership experience preferably within a financial services/investment management organization
Strong managerial skills

Investment Office Coordinator Resume Examples & Samples

Coordination of client & internal events on behalf of the IP Investment team, in conjunction with sales & marketing colleagues across IVZ
Work with project managers & other relevant individuals to manage projects
Facilitate meetings/produce & circulate relevant papers/agendas
Produce project status reports & other relevant project materials
Administrative support for the Office of Investments
Previous administration experience
Experience working on projects beneficial
Ability to work effectively with senior management
MS Office – Word, Excel, Powerpoint, Outlook
Excellent organisational skills, attention to detail and diligence
Self-starter able to work on own initiative
Ability to work on concurrent tasks, and prioritise effectively

Head of Middle Office Investment Resume Examples & Samples

University degree in business administration or finance (bachelor or equivalence)
Master related to financial instruments is also valuable and preferable just as some other certifications such as a Chartered Financial Analyst (CFA) or Financial Risk Manager (FRM)
Previous experience in similar tasks with strong emphasis in investment, accounting, regulatory topics and Capital consumption
Required Strong knowledge of local financial institutions, markets, and regulations
Proficiency English Level

CIB Fund Services Investment Middle Office Services Product Development Associate Resume Examples & Samples

Under the guidance of senior product development experts, deliver against the strategic MOS roadmap through the full project life cycle, including analysis, design of the client experience and service model, and testing / migration of the components for delivery
Document the requirements and design the product offering to provide a competitive client experience
Coordinate the user testing and rollout of the new product, managing feedback and implementing additional enhancements based on priorities
The role requires a logical mind, perseverance, the ability to communicate ideas well, and the ability to deal confidentially with people at all levels of the organization
One to three years experience in a middle office function, ideally at an asset manager or trading desk, or other business line that provides middle office related services, such as Prime Brokerage
General knowledge of middle office functions and services (trade validation and enrichment, confirmation, settlements, asset servicing, trading asset records, reconciliations) provided to clients across one or more asset classes
Previous experience designing and creating new products or enhancing existing products, especially client tools, a plus
Energetic self-starter that takes initiative and has demonstrated effectiveness working independently and in a multi-disciplinary team
Strong Collaboration skills, able to work with many different individuals and partner effectively with different groups, is politely impatient while driving teams to delivery
Strong Project Management Skills, must be organized and able to deconstruct a project into achievable deliverables
Attention to Detail, excellent written and verbal communication skills
Proven track record of effectively resolving issues and conflicts to ensure timely delivery