Investment Operations Resume Samples

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M Harber

Madonna

Harber

131 Santina Viaduct

Houston

+1 (555) 463 3447

131 Santina Viaduct

Houston

Phone

p +1 (555) 463 3447

Experience Experience

Philadelphia, PA

Investment Operations

Philadelphia, PA

Herzog LLC

Philadelphia, PA

Investment Operations

Create and maintain metrics to provide transparency to management and business partners around results and performance
Provide assistance to manager and audit liaison during departmental SOX/Audit reviews
Promote teamwork and collaboration across the group, providing guidance and mentorship to junior members of the team
Perform risk assessments, and establish, implement, and document control procedures
Work with Trade Operations and Portfolio Management to resolve exceptions
Work closely with Operations manager during Internal and external audits relating to CASS
Participate in working groups and project teams to provide subject matter expertise on function, procedure and control

Detroit, MI

Investment Operations Analyst

Detroit, MI

Ziemann-Kutch

Detroit, MI

Investment Operations Analyst

Create a strong workforce by developing competent individuals ready for the future digital banking operations
Assisting the team on manager performance analysis and monitoring
Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on corporate actions
Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on bank debt (term loans)
Checking and processing of professional and fund manager fees
Annual Audit Support; Provide assistance to auditors, both internal and external, during periodic reviews of processes and investment pool balances and/or data
Perform daily and monthly calculation, reconciliation, control and outlier reporting of performance for assigned client’s portfolios, and benchmarks

present

Detroit, MI

Investment Operations Associate

Detroit, MI

Stroman and Sons

present

Detroit, MI

Investment Operations Associate

present

Develop, and maintain metrics for measuring adherence to Data Management and Operations standards and processes and improvements
Performance Reporting – calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
Assist in the preparation of management reports
Complete ad hoc projects, creates analytical reports, provides supplemental analysis, and gathers information to aid investment decisions
Performance Reporting calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
Adapt to a fast-paced and dynamic work environment. This includes working independently and on a team
Perform and coordinate portfolio analytics, including performance attribution (CAPeR and PMA) and monthly/quarterly reporting data packages

Education Education

Bachelor’s Degree in Finance

Arizona State University

Bachelor’s Degree in Finance

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
Strong communication skills - both oral and written; ability to communicate effectively with senior management, clients and external Providers
Highly organized and detail oriented
Team player with excellent attention to detail, problem solving/analytical abilities, research skills and willingness to learn
Solid working knowledge and understanding of settlements and claims
Good verbal and written communication skills
Has the ability to be flexible and to adapt to changing circumstances
Self-starter capable of working independently as well as an effective team player and collaborator

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15 Investment Operations resume templates

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Supv-investment Operations Resume Examples & Samples

To supervise, plan and administer the daily work of assigned staff in order to ensure it is completed in accordance with departmental guidelines and ensure an effective internal control environment is maintained
To monitor staff performance measurements and provide timely feedback to both staff and management
4 year degree, Five to Seven year’s experience in securities industry
2 to 3 year supervisory experience
Financial Services Operational experience
Six Sigma green belt or similar experience
Leadership position in industry working group
Business Analysis or IT background transferable for core operations
Ability to work through issues while keeping within internal policies
Strong knowledge of FX and securities markets
Knowledge of OTC and ETD products
Ability to communicate effectively (both orally and written) with both internal and external counterparties
Strong securities services market knowledge
Strong risk management skills
Experience with Industry software and knowledge of the vendors that service it
Strong negotiation skills and ability to resolve complex issues
Ability to work under pressure and meet time critical deadlines
Knowledge of business desktop applications (Word, PowerPoint, Visio, Access, Project, Excel)
Strong transition management skills
Knowledge and experience in working with of Industry Vendor i.e. Omgeo CTM, Alert, CMS, MarkitServe, DTCC,
Supervises/manages staff; makes hire, termination, promotion and merit decisions
Provides technical guidance to staff in any department within FTS
Responsible for writing staff reviews
Ability to set direction and guide staff to desired results
Ability to influence and negotiate within own department and across FT
Ability to supervise multiple skill levels of staff members in own and other locations

Intern, Investment Operations Resume Examples & Samples

Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units
Reconcile portfolio holdings between custodian banks, internal trading systems and 3rd party vendors
Daily interaction with and use of the firm's proprietary systems and databases as well as external systems including Advent APX, Bloomberg and Charles River

Investment Operations Analyst Resume Examples & Samples

Assisting Portfolio Managers/Traders with the implementation of new client trading strategies. This includes analyzing data received from internal systems/ clients, custodian and data vendor, setting up the client's portfolio in our internal systems, creating client reports and conducting beta testing
Reconcile portfolio holdings between custodian banks, internal trading system(s) and brokers, track intra-day cash flows and complete weekly/monthly client performance reports
Complete ad hoc Portfolio Manager and client requests
Maintain documentation and innovate operational processes and procedures to reduce risk and increase efficiency in the daily trading process for Investment Division clients
Follow the lifecycle of various OTC products / assignments (trade affirmation/variation margin /collateral)
Analysts are required to work periodic holidays as well as early morning shifts (start time is 5:00am)
Ability to identify potential issues and promote efficient resolution; ability to set and pursue goals and demonstrate a commitment to organizational success

Supv-investment Operations Resume Examples & Samples

Graduate level finance or business courses will be viewed favorably
Professional qualification/certification in finance, accounting or management highly preferred
Fair understanding of the OTC Derivatives products
Strong analytical and organizational skills with the ability to work in a fast-paced, team-oriented environment
Excellent understanding of financial markets, asset classes & counterparties
Timeliness and ability to adapt with wider changes in the market
Very good command of English both spoken and written
Proficient in MS Office applications (Word, Excel, Outlook, PowerPoint and Access)
Effective interpersonal and people-management skills
Supervises the daily workflow of a functional group
Ability to motivate assigned staff, hold them accountable, organize workflow, and manage change

Alternative Investment Operations Change the Bank VP Resume Examples & Samples

Lead and direct project activities, meetings, understand dependencies, and manage timelines
Communications skills: The candidate must be able to concisely explain complex issues. The candidate must also possess strong written and oral executive-level communications skills
Project management skills: The candidate must have the ability to create practical and comprehensive implementation plans and partner with all levels of management and stakeholders to gain consensus. Experience of managing multiple projects or engagements and their associated budgets is essential

Project Manager, Investment Operations Resume Examples & Samples

Relationship Building; works effectively with strong, diverse teams of people with multiple perspectives, talents, and backgrounds. He or she is known for doing what is best irrespective of politics and is comfortable with consensus building (at multiple levels) and soliciting constructive feedback; ability to elicit cooperation from a wide variety of participants including upper management, clients, other departments, and 3rd party providers
Flexibility & Organization; adapt to shifting priorities, demands and timelines through analytical and problem-solving capabilities; proven ability to multi-task and efficiently manage time across competing activities/resources; able to effectively prioritize, execute tasks, and thrive in a high-pressure fast paced environment
Intellectual Curiosity; energized by learning new things and engaging across a wide range of issues; must have strong problem solving skills; adept at conducting research into project-related issues and products
Judgment; makes recommendations and decisions that balance a variety of factors (e.g. cost, risk, short-term vs. long-term impact) and are supported by a sound fact base to achieve an optimal outcome. Goes back to core values and key objectives when making decisions/recommendations
3-7 years of Project and Process Management experience. Experience with regulatory compliance initiatives in both US and non-US jurisdictions
Experience with large scale technology implementations, custom development, and data and system integrations required
Knowledge of the Financial Services industry, specifically the Alternative Asset Management arena
Specific experience with Compliance and/or Regulatory functions a plus

Investment Operations Resume Examples & Samples

Ensure best practices and operational consistency across the global Investment Operations teams
Perform risk assessments, and establish, implement, and document control procedures
Interact with various teams within Investment Operations and globally across the firm including Portfolio Management, Global Client Group, Onboarding, Product Services, Legal & Compliance, Technology, clients, and external service providers, and serve as a key contact and escalation point representing Investment Operations
Participate as key representative for Investment Operations in fund launches, new product launches, system migrations, and various global initiatives
Coordinate with Technology and various internal groups on system enhancements and development
Provide operational back up support across global Investment Operations as needed
Produce, analyze, and distribute control reporting to Management
Confidence dealing with managers across Business Operations, Portfolio Management, and external parties on a global level
Understanding of service excellence
Highly proactive, willing to take ownership of issues and follow through to resolution
Has a high level of self-motivation
Self-starter capable of working independently as well as an effective team player and collaborator
Has the ability to be flexible and to adapt to changing circumstances

Investment Operations Securities Lending Product Manager Resume Examples & Samples

Coordination and oversight of Business Operations Securities Lending BAU activities to ensure timely enablement of new lendable inventory and client onboarding in accordance with client guidelines and established policies
Partner with APG and other Business Operations teams to identify opportunities to enhance the controls and processes related to onboarding new Securities Lending clients, expand access to lendable inventory, and prioritize and drive the completion of any related deliverables
Act as a subject matter expert with regards to securities lending operations to work jointly with the Securities Lending and Finance team in researching and managing the implementation of market, borrower or asset expansion activities to drive revenue opportunity and maintain the business’ competitive advantage
Participate directly in the due diligence performed by SLF for new lending opportunities and changes to the existing product, analyzing the operating model and options associated with the contemplated activity
Identify and direct activities related to key change event items related to the SLF business to ensure all areas are engaged in a well-controlled and client-focused manner
Create and maintain metrics to provide transparency to management and business partners around results and performance
Provide ongoing communication within Business Operations on priorities/changes, open items, upcoming deliverables, and any issues or concerns
Bachelor’s degree required. Master’s degree or other certifications/achievements desirable
Minimum 5 years of experience in the financial industry; Securities Lending and Project Management experience a plus
Highly risk aware and demonstrated ability to multi-task and make appropriate decisions under rigid deadlines, while adhering to established procedures and escalation/risk mitigation measures
Self-motivated, confident and proactive problem solver. Positive, “can-do” attitude and willingness to stretch one’s self outside comfort zone and grow
Highly detail oriented and risk focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results
Exceptional verbal, written and listening skills. Comfortable interacting with and influencing a wide range of audiences, from peers to senior level managers
Proficient with Excel and other MS Office applications, and able to quickly learn proprietary systems
Reliable and trusted team player with strong integrity and ethics. Driven to be a productive part of a highly functioning, collegial team, and to work in a high expectation and high impact environment

Investment Operations Resume Examples & Samples

Process claims to banks and dealers based on information received through trade resolution
Work with Blackrock securities lending to ensure there is no exposure to loan encumbered positions
Maintain awareness of industry changes and their impact on the settlements process
Bachelors Degree in Finance or similar concentration required
Solid working knowledge and understanding of settlements and claims
PC proficient with experience in Excel, Word, PowerPoint and various Investment Management and settlement platforms

Alternative Investment Operations Analyst Resume Examples & Samples

Process Client Subscriptions into funds
Process Client Redemptions out of funds
3-5 years of experience in the financial services industry

Black Rock Investment Operations Trade Ops Resume Examples & Samples

Confirm, research, and resolve fails with custodian and broker dealer across all products and sectors
Work with Trade Operations and Portfolio Management to resolve exceptions
Team player with excellent attention to detail, problem solving/analytical abilities, research skills and willingness to learn

Investment Operations Associate Resume Examples & Samples

10 years clerical experience in a professional services environment
Associate’s or Bachelor’s degree
Process and systems orientation
Ability to handle multiple tasks simultaneously
Investment experience helpful
9-10+

Black Rock Director Corporate Actions & Investment Operations Resume Examples & Samples

Manage and coordinate with the Corporate Action Management team in accordance with BlackRock’s global best practices through the application of controls, operational processes and procedures
Ensure counterparty alignment with BlackRock global operations footprint and process
Participate in the design and implementation of Corporate Actions strategy
Drive the delivery of the Corporate Actions strategic initiatives with Technology and internal parties
Participate in regional and global initiatives
Ensure appropriate statistics are development and distributed to monitor the performance, KPI’s, KRI’s etc
Communicate with global team managers and facilitate the global team structure
Contribute to senior management meetings and the overall strategic direction of the investment operations function
Ensure robust Business Continuity Plans are in place and kept up to date as part of strategic implementations
Ensure Global Corporate Actions operate to the highest standards of risk mitigation
Continue to develop automation and efficiency initiatives to provide a scalable platform
Keep pace with industry initiatives and ensure BlackRock developments are in line
Co-ordinate internal and external Audit obligations on behalf of global corporate actions
Maintain threshold competence in Corporate Actions core competencies
Maintain competence for role through ongoing participation in BlackRock training initiatives
Achieve and maintain understanding of all financial instruments
Participate in Blackrock annual review process and draft goals/objectives for your development in conjunction with your Manager
Maintain full knowledge of Blackrock corporate policies, procedures and guidelines
Significant experience in managing and leading Investment Operations or middle office teams in a global or cross regional capacity
Significant experience in support of securities lending
Change management experience, e.g. implementing complex regulatory requirements and large functional or platform migrations
Experience of working in a client facing environment would be desirable
Demonstrate strong technical knowledge of investment products, particularly corporate actions
Demonstrable experience developing and leading high performing teams
Demonstrated ability to influence others, with or without technical knowledge
Risk aware and responsive
Exceptional written & verbal communication skills

Investment Operations Spec Resume Examples & Samples

Four or more years of experience in investment operations activities
Strong ability to manage multiple tasks/projects and deadlines simultaneously
Ability to identify and resolve/escalate problems
Advanced mathematical and/or accounting skills

Investment Operations Associate Resume Examples & Samples

Provide basic research support by running routine reports and performing data entry tasks including the Morning Cash Report, Daily Cash Email, Daily Performance Report, other reports as defined and required
Provide support to the Investment team for proxy voting matters
Update various excel files for Investment Team based on deadlines established by each, i.e. weekly, monthly, quarterly
Perform and coordinate portfolio analytics, including performance attribution (CAPeR and PMA) and monthly/quarterly reporting data packages
Maintain shared investment models and portfolio model summaries including monthly processing and reporting, data verification, and scenario testing at the request of the investment team
Monitor and review client trading restrictions to ensure all guidelines are being satisfied in trade implementation
Review trading models and implement equity and fixed income securities trades and monitor trade execution
Create commission, CSA and soft dollar reports
Ensure receipt and investment of client cash inflows and outflows
Minimum 2 years professional work environment experience
Must demonstrate initiative, ownership for position and effective problem solving
Advanced computer skills, specifically with Microsoft Office 2010 (Outlook, Word, Excel, PowerPoint), Adobe Acrobat, Internet Browsing and Research Tools
Proven organizational skills and detail orientation / Proven communication skills, both verbal and written
Excellent client service skills and team orientation / Ability to prioritize work and multi-task
Ability to work and communicate effectively with all levels / Ability to meet tight deadlines with a sense of urgency
Due to trading environment, schedule will require arrival by 7:30 a.m

Senior Investment Operations Specialist Por T Resume Examples & Samples

Having extensive knowledge of Fixed Income operations support and /or products supported
Performing daily/weekly/monthly checks on cash packages, cash flows, fails marking, segregated collateral, cash-lag/holdings difference resolution, position reconciliations and NAV compares
Reconciling cash for complex clients on a daily basis between our internal record keeping system (PAM), Aladdin and the custody bank for each fund
Reconciling holdings for complex clients on a monthly basis between our internal record keeping system (PAM), Aladdin and the accounting agent for each fund
Reconciling NAVs on a monthly basis for complex clients between internal record keeping system (PAM), Aladdin and the official NAV source
Independently researching and resolving complex cash and position related discrepancies
Monitoring status and ensuring completion of relevant deadlines for team
Participating and/or leading unit initiatives
Anticipating issues that may adversely affect the operational support and taking action to reduce the risk of occurrences
Proactively identifying inefficiencies and seek ways to improve current processes
Cultivating both internal and external relationships to ensure proper service levels are achieved for each client supported
Staying abreast of industry initiatives and market trends that can impact our business model and/or offer opportunities to improve our processes
Participating in the custodian relationship management process by providing performance feedback for scorecards, questionnaires, or relationship calls / visits
Assisting in establishing and writing operational procedures
Degree in Economics, Finance or Business preferred
Prior experience in reconciliations
Willingness and desire to learn and teach others
Proven ability to develop and cultivate relationships across all staff levels
PC skills with strong knowledge of excel and industry standard applications
Has an entrepreneurial spirit and is willing to take on additional responsibility quickly
Ability to be organized, flexible, prioritize tasks, and work in a deadline oriented environment

Investment Operations Change Manager Resume Examples & Samples

Control reporting and accounting changes all service providers including the review of performance against service standards
Deliver service/outputs to customers (internal and external) to agreed service standards, and ensure that strong working relationships with key customers (and suppliers) are maintained
Ensure that all reporting and accounting changes are delivered to time appropriately controlled and issues managed to successful conclusion. This will involve engage with fund manager, custodial operations, fund accounting operations and ensuring any engagement with reporting and data services are maintained
Ensure that processes and outputs delivered by service providers are compliant with current legislative requirements
Responsible for ensuring the change teams deliver projects and change to agreed requirements, standards, cost and disciplines

Manager of Risk-investment Operations Resume Examples & Samples

Identify areas of operational risk and control mitigation across multiple processes; track and coordinate findings with other control areas such as Dodd-Frank compliance, SSAE 16 reporting, Information Protection, Vendor Governance,Model Risk and in some cases, IT Risk Management. Working knowledge of regulation driven controls
Maintain a general understanding of the business
Use sound judgment to effectively challenge a business risk assessment and resolution plan with some guidance from supervisor
Collaborate with both business and risk and control partners in the execution of duties
Work on multiple products and participate in multiple projects simultaneously
A team based approach for the wide range of support Risk Management provides to the business
Bachelor's degree in Business such as Finance, Accounting, Economics, or related fields; Master's degree is a plus
Minimum of 3-5 years of relevant risk and control experience including, but not limited to operational risk management or auditing (internal or public accounting)
Retirement industry experience (Defined Contribution, Defined Benefit, and Investment Management) is a plus
Related professional certifications such as CPA, CIA, CISA, or CRMA preferred but not required
Working knowledge of Risk Management frameworks
Ability to apply broad business knowledge and practical experience to understanding and evaluating operational risks and controls
Excellent overall communication skills and the ability to interact and work effectively across multiple functional areas with individuals from various organization levels
Highly motivated energetic and positive individual who is able to develop positive working relationships, partner effectively within the team as well as to demonstrate the ability to work independently in a variety of assignments
Ability to quickly understand new concepts and understand and assess implications to the business
Inquisitive nature and ability to seek out information
Demonstrates conceptual thinking and analytical skills
Strong organizational and time management skills, including the ability to effectively execute on multiple projects simultaneously
Working knowledge of MS Office, including Word, Excel and PowerPoint

Investment Operations Associate Resume Examples & Samples

Trade execution and settlement responsibilities
Transferring interests among various hedge funds
Assist with fund launches and restructuring
External client communications and reporting
Bachelor's degree in Finance, Accounting or Economics
Two plus years in a client facing role within the financial services industry
Ability to multi-task in a fast based environment

VP, Investment Operations Par U Resume Examples & Samples

Managing multiple teams and processes that support the servicing of an $80 billion+ / 5,000+ commercial and agricultural loan portfolio. Those teams include Investment Accounting and Reporting, Investor Reporting, Corporate Accounting, Valuations, Financial Planning and Analysis and Treasury operations
Developing and communicating the strategic vision for the Investment Operations group and establishing annual performance objectives for the individual teams. Responsible for the talent management of 30+ resources on the teams, including performance mid-year and annual evaluations, training, development, coaching, 360 feedback, succession planning and mentoring
Establishing and maintaining collaborative internal customer relationships with Prudential Investment Management business partners (e.g. Corporate Reporting, Banking, Risk and Internal Audit). This also includes direct collaborative working relationships with PMCC business partners (Sr. Management, Originations, Closing, Compliance, Legal, Finance, Human Resources and Information Technology), in support of PMCC & PAR
Establishing and building external customer relationships, with key industry leadership groups, (e.g. MBA), vendors (e.g. MIAC, Banking Partners) and Agency seller servicer partners. (e.g. Fannie Mae, Freddie Mac and Ginnie Mae)
For Investment Accounting, provide managerial support, objective setting, metrics and key control reviews, technical oversight and compliance with of GAAP, STAT, Market Value accounting, debt investment valuations, multi-currency lending and reporting required for Prudentials Insurance company commercial and agriculture debt portfolio
For Investor Reporting, Corporate Accounting and Treasury Services, provide strategy, managerial support, objective setting, Seller Servicer guide support, project prioritization and oversight of technical process improvements, including evaluating outsourcing opportunities. Includes Service Fees, mortgage servicing rights, operating expenses and GAAP accounting for the Servicing business
Management and communication of all financial, planning and analysis needs for the Servicing business, including forecasting revenues, expenses, business metrics and quarterly business health meetings
Bachelor's degree in Business, Accounting, or Finance required; MBA in Finance, Real Estate or International a plus
Undergraduate Accounting degree and MBA mix a plus
CPA, CMB, or CMS designations a plus
A minimum of 10 years of managerial and leadership experience in Commercial Real Estate Finance and/or Operations required
Demonstrated ability to manage through change with proven expertise in process improvement
Self starter who can work effectively in a fast paced environment
Effective interpersonal skills with the ability to develop and foster internal and external relationships with business partners
Proven ability to maintain confidential information
Strong analytical and problem solving skills and excellent written and verbal communication skills a must

Investment Operations Analyst Resume Examples & Samples

Preparing financial reports for internal and external customers
Completing journal entries and account or position reconciliations
Monthly reporting on collateral and counterparty positions
Assure trade data accuracy within core trading systems
Working with cash management teams
Analyzing financial data to identify income trends and exceptions
Prepare or review security master file data
Documenting processes and testing the effectiveness of internal controls
Processing corporate actions on the investment accounting system
Performing yield analyses on various invested assets
Researching and resolving discrepancies between the general ledger and core accounting systems
A four-year Finance degree is preferred
Related internship and Microsoft Office (Word, Access, Excel, and PowerPoint) experience is a plus

Investment Operations Specialist Resume Examples & Samples

Processes mutual fund and variable annuity applications by verifying correctness and completeness of information, as well as submitting applications to appropriate companies to assure timely action on the application by the company and registered representative. Books applicable mutual fund purchases directly to the fund company
Produces weekly report of securities sales for Great Western Bank Investment records, Broker/Dealer
Enters all data on mutual fund and variable annuity accounts into the agency computer files including all purchases, redemption’s, exchanges and transfers, year end statement information, registration changes and any other applicable service requests. Maintains necessary files on all customer accounts
Figures process and pays all securities commissions for all registered representatives. Tracks direct deposits and generates reports for sales tracking department. Enters commission payments into agency system
Responds to questions from customers and sales representatives and assists with problems and situations by supplying written or verbal suggestions, answers and solutions as requested. Handles any discrepancies and problems with mutual fund and variable annuity accounts
Enters in cash receipts for all securities sales
Reconciles securities clearing account
Organizes and maintains all mutual fund and variable annuity, and brokerage statements keeping a set for Great Western Bank Investments records and sending out copies to appropriate registered representatives
Obtains signature guarantees when needed for customers
Runs various reports as needed on agency system
Associate’s degree or two years of business required
Three to five years of equivalent experience, preferably in the financial industry with customer service focus, may be substituted for education
Licenses in life and annuities as well as NASD Series 6 and 63. Series 7 license preferred
Excellent verbal and written communication skills to effectively deal with customers, employees and insurance companies
Advanced PC skills with advanced skills in spreadsheet applications required
Analytical ability to work effectively with customers, employees, broker/dealer and fund companies to resolve problems

Investment Operations Analyst, Derivatives Resume Examples & Samples

Integrate new best practice/implement new approaches to processing trades (Bloomberg/other platforms where necessary) as well as cash transfers resulting from funds’ activity
Daily focus on reconciling OTC position valuations between our holdings/custodian/counterparty and our accounting team
Process daily collateral movements as necessary for derivatives/OTC positions
Analysts are required to work periodic holidays as well as early morning shifts

Investment Operations Analyst Resume Examples & Samples

Responsible for reconciling eligible reported transactions in order to meet all regulatory requirements. This should also include monitoring and reporting on key performance indicators
Support Russell globally to ensure daily regulatory reporting is completed and complied with for all mandated fields. Includes being able to work with 3rd party vendors to support and maintain best of breed process and application
Support the Investment Division Portfolio teams in the oversight of Investment positions. Work with the Russell and 3rd party reconciliaiton team to validate cash and stock positions and act as escalation point for the resolution of issues for accounts on middle office platform
Manage and oversee daily functions of 3rd party vendors as necessitated by the regulatory reporting and reconciliaiton functions
Bachelor’s degree required; Business or Finance related or cerfiticates and work experience may be considered in place of degree
3-5 years working in a financial or investment environment with increasing responsibility
3-5 years client service experience in a fast paced environment
Proficient in MS Office (specifically Excel & Access)
Familiarity with the trading functions within Asset Management firms
Familiarity with the regulatory structure and environment governing the various trading environments
Experience working in a client service environment
Will need to be motivated, show creativity, energy, and exceptional problem-solving skills. The potential candidate must be comfortable in a fast-paced, team-based environment with a high degree of individual autonomy. Strong verbal and written communication is an absolute requirement of this role
Must be able to manage, work and prioritize multiple assignments under tight deadlines

Investment Operations Associate Ny / nj Resume Examples & Samples

Daily account maintenance
Processing and reconciling trades
Updating daily dashboards and reports
Liaising with internal and external advisors including the investment custodian, fund accountants, administration, traders, portfolio managers, investment analyst
Positive contributor to team environment
Counterparty due-diligence
Working knowledge of the Bloomberg service, a plus
Ability to work and excel independently with minimal guidance
Bachelor’s degree in Finance, Economics, Marketing, or Business Administration
Experience in financial services or a professional environment preferred

Investment Operations Associate Resume Examples & Samples

Assuming ownership for operational issues that are raised and providing resolution in a manner that considers the impact to other operational areas
Anticipating issues that may adversely affect the operational support of the funds and taking action to reduce the risk of occurrences
Developing an in depth understanding of fixed income products in order to increase service levels

Supv-investment Operations Resume Examples & Samples

Three to five years of financial accounting/Investment systems/Mutual Fund experience in securities/investment business required
Automated financial systems experience required
Working knowledge of fund industry practices required
Knowledge of financial markets and finance computer systems

Investment Operations Analyst Resume Examples & Samples

Reconcilliations - Conduct timely reconciliations across asset classes for the EMEA time zone and assist other global time zones as required. Reconcile portfolio holdings between custodian banks, internal trading systems and 3rd party vendors. Reconcile individual client portfolios held within our internal accounting system to the client account held at the custodian. 50%
Support the Investment Division Portfolio teams in the oversight of Investment processes. Act as primary contact for day to day activities. This includes analysing data received from internal systems / clients, custodian and data vendors, setting up the client's portfolio in our internal systems, creating client reports and conducting beta testing. 30%
Relationship Management – regular contact with brokers, asset managers, vendors and other 3rd party agents to ensure timely reporting of trade information and payments and prompt resolution of any outstanding issues. 10%
Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units across all of the Russell offices (continuious process improvement). Ensure adequate controls and segregation of duties in place. 10%
Prior direct reconciliations experience of individual client portfolios within a related financial company (Broker, Wealth Manager, Asset Manager) would be an advantage
Demonstrate a clear knowledge of various financial products (Equities, Fixed Income, FX, Derivatives (CDX, Futures, Forwards, OTC) and how to reconcile these breaks
Understanding of Trial Balance
Experience and familarity with Pension industry solutions, including understanding the principles of Liability Driven Investments (LDI's) – preferred
Exposure to custody and investment accounting processes – preferred
Strong verbal and written communication is an absolute requirement of this role
Accounting background preferred
Familiarity with Trading and settlement terms within direct or Pooled Funds - preferred
Proficient with spreadsheet applications, data manipulation and database applications
Will need to be motivated, show creativity and exceptional problem-solving skills. The potential candidate must be comfortable in a fast-paced, team-based environment with a high degree of individual autonomy. Must be able to manage work and prioritize multiple assignments under tight deadlines
Excellent communication (listening, written and verbal) skills - a strong preference for individuals with experience interacting with portfolio management, accounting, compliance and risk management functions
Ability to work independently with little supervision, yet also work productively as a member of a team
Ability to gather & analyze requirements and translate them into business deliverables
Flexible attitude with regards to tasks and hours (Analyst will be required to work periodic holidays as well as early morning shifts when required.)
University undergraduate degree or equivalent qualification / equivalent experience - Business or Finance related

Analyst, Client Service Investment Operations Resume Examples & Samples

Solid organizational and time management skills in order to manage workflow and conflicting priorities
Effective customer servicing skills
Strong analytical skills -ability to resolve complex situations
Security processing background preferred
Initiate & coordinate manager terminations
Coordinate tax harvesting requests
Provide alternative asset support
Process miscellaneous trading requests as directed
Bachelor’s degree or two to four years of related experience in financial services for consideration for this role
An investment focused background (particularly with open architecture investing on Northern Investment Solutions platforms) through practical work experience is strongly recommended

Intern, Investment Operations Resume Examples & Samples

Support various tasks and projects as requested by the Client Operations team
Assist in improving existing operational processes and procedures to reduce risk and increase efficiency
Daily interaction with and use of the firm's proprietary systems and databases as well as external systems
Prompt escalation and resolution of issues when they are identified
Daily communications with the team to ensure tasks and projects are in alignment with expectations
Individual contributor and strong team player in a fast-paced environment with the ability to prioritize and complete multiple assignments under tight deadlines
Ability to identify potential issues and promote efficient resolution
Highly proficient PC skills including Excel, Access, Outlook and other database applications

Investment Operations Resume Examples & Samples

Identification of investment Terms and Conditions (such as liquidity terms, fees, voting rights, new issue eligibility, ERISA eligibility, special investment and redemption instructions) from a review of offering documents, Articles of Association, side letter agreements and investment management agreements. This is verified prior to investment and every year we stay invested in a fund
Prepare allocation instructions to instruct the administrator to complete subscription, redemption and transfer agreements (This task requires an understanding of the restrictions of each of our funds of hedge funds as well as a need to monitor for trade splitting. The investment operations specialist may be required to negotiate transfers, and communicate agreed terms to affected parties)
Produce liquidity views of investment funds across the AIS portfolios for investment decision support purposes
Monitor and follow up with managers and fund administrators regarding the collection of redemption proceeds, AUM’s of legal entities we are invested in, trade confirmations and various other items as the need arises
Managing the process of transacting in UCITS funds as they trade differently the hedge funds and require an additional level of detail and someone who can manage multiple parties to make sure each transacted is instructed and accounted for properly

Associate Manager, Investment Operations Resume Examples & Samples

Partner with various clients and business partners (Finance, Domestic and International Investment Forecasting Teams, Investment Risk Management, etc.) to define solutions to business needs, elicit business requirements, identify approach recommendations and document process flows
Conduct analysis of financial data from Irisk associated with Fixed Income, Equity, Private Placement, Mortgage, Derivative, Real Estate and International instruments to support both production and project processes and data requirements
Conduct project related tests which include: developing detailed test plans and test cases; conducting tests; evaluating and documenting results; summarize and communicate findings at an executive level
Troubleshoot production and project issues; perform root cause analysis, reconciliations, and recommend corrective action to lead the resolution efforts
Utilizing various applications (MS Excel, Access, Cognos reports) to facilitate ad-hoc analytical / information inquiries, streamline existing processes, define and build out new processes and perform project testing
Independently prioritize and manage various project work
Bachelor degree required; Finance, Business, Economics, Accounting or similar preferred
3-5 years of investment operations, accounting, or technology experience
Solid understanding of various investment security types
Strong PC skills with proficiency in MS Excel; knowledge of Cognos, PAM, Oracle, Bloomberg, Access a plus
Strong partnering, and interpersonal skills
Good organizational skills, resourcefulness and attention to detail
Highly motivated, detail oriented, team player

Director, Investment Operations Resume Examples & Samples

Work closely with AAGs investment managers as they optimize and manage Prudentials alternative assets portfolio
Coordinate with external administrators and fund managers regarding document management including those related to financial statement, capital call, distribution and tax information
Control information flow and reporting regarding unfunded commitments and other data required by Prudential as Limited Partner of over 300 PE Funds
Trade and data capture support for new investments
Handle ad-hoc requests relating to new or existing investments
Project management for company or business unit activities involve the alternatives asset class
Internal reporting and ad-hoc analysis functions
Internal Coordination of the capital call and the funding process
Work closely with counterparts in the Private Equity Accounting function
Coordinate with investment managers, Finance professionals, attorneys and administrators where necessary
Valuation support across the portfolio consistent with Prudentials accounting protocols
Management of various investment management, risk, and regulatory reporting activities
Significant role in asset class and reporting related technology initiatives
College degree in Accounting. Finance, Economics or related business field
10+ years of prior investment operations or Investment Accounting experience
5+ years of experience working with private equity funds
Working knowledge of GAAP Accounting and Insurance Company STAT Accounting concepts for this asset class
Working knowledge of Private Equity General Partner activities and industry reporting requirements
Working knowledge of Private Equity Fund Financial Statements
Working knowledge of the INVESTran system
Working knowledge of Business Intelligence reporting tools
Proficient with excel
Strong interpersonal, communication and relationship management skills
Proven leader with Staff Management experience
Proven experience collaborating across an organization, building relationships, trust and influencing outcomes
Self-motivated with the ability to prioritize, meet deadlines, and manage changing priorities
CPA a Plus

Senior Investment Operations Associate Resume Examples & Samples

Ensuring proper delivery of trade information to custodian banks, accounting agents, broker/dealers and other downstream areas
Daily monitoring and confirmation of Swaps, Futures, FX, Options trades, etc
Confirmation of trade details against executing and clearing counterparty
Research and resolve trade discrepancies
Communicate trade discrepancies to the trading desk
Keeping abreast of industry initiatives and market trends that can impact our business model and/or offer opportunities to improve our processes

Investment Operations Analyst Resume Examples & Samples

Account on-boarding - Set up accounts for new FX trading activity, credit, CLS, regulatory systems, FX routing. Daily communications with internal and external parties to ensure timely setup and maintenance of accounts. Daily interaction with and use of the firm's proprietary systems and databases as well as external systems. Account Maintenance, responding to inquiries, collecting and distributing updated documentation to counterparties
Corporate Actions - Execute daily processing/validation procedures while ensuring the integrity and consistency of corporate action data across multiple platforms. Research and resolve Corporate action details, confirm client entitlements, and communicate voluntary instructions. Work closely with custodians and internal clients to develop sound workflows. Assist in the development of additional utilities needed to automate, control, validate and research data issues
FX settlements - responsible for the confirmation, affirmation and settlement of foreign exchange activities. This includes the research and resolution of trade exceptions, fails, and distribution of trade details to custodians, external parties and accounting
Analyzing data received from internal systems / clients, custodian and data vendors and other 3rd party agents to ensure timely and accurate reporting of security and pricing information
15%
Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units across all of the Russell offices (continuious process improvement). Ensure adequate controls and segregation of duties in place
Must have a thorough understanding of industry regulations/vendor policies/procedures and internal policies/procedures to be able to determine where these intersect
Demonstrate a clear knowledge of FX trade settlement workflows
Exposure to custody and investment processes – preferred
Corporate Actions experience - preferred
Exposure to EMIR / Dodd Frank regulatory reporting requirements would be a bonus
Experience working with vendor products and technology

Investment Operations Officer Resume Examples & Samples

Associate's degree/college diploma
Familiar with the processing systems such as Host system, TSO and DE, etc
Knowledge of the securities/mutual fund/insurance operations/industry
With common senses for all operation controls
Able to cope with the changing product offering and system enhancement
Accurate and fast input on figures
Good knowledge of English
Clear communications

Analyst, Client Service Investment Operations Resume Examples & Samples

Provide assistance to Account Managers with queries received from clients regarding specific reporting issues
Utilize multiple sources to verify transaction details, investigate timing of transaction activity, payment of dividends and account holdings attributes
Knowledgeable of the core aspects of the job

Senior Analyst, Investment Operations Resume Examples & Samples

Sets up securities in trading systems, fix errors, fails and kicked out trades, set up new accounts
Updates the trading system for changes in security ID numbers and factor changes
Corrects errors, execute cancel re-bills, investigate and work through claims from trading partners
Carries out complex activities with significant financial, client, and/or internal business impact
May have direct interaction with committees and/or Senior Management
May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role)

Investment Operations Associates Windsor Resume Examples & Samples

Creating work streams of current and future state processes
Develop and execute against project plans for key strategic initiatives
Ability to interface and influence senior leaders within SS&C
Working with outsourced investment accounting teams to do the following
Streamline trade processing on core systems
Automate Cash and holdings reconciliation between core systems and custodian and Asset Manager/Custodian Statements on file
Automate the generation of customer reports including checks and balances to ensure the integrity of the reports
Assist with implementation of new clients and senior management initiatives
Support of product release testing
B.S. Accounting or Finance
Investment Accounting work experience a plus
Ability to build relationships with a diverse groups within the company
Strong facilitation skills and ability to influence others without formal authority
Willingness to learn new systems, concepts and broaden knowledge in the industry
Knowledge of Microsoft products (Word, Excel, etc.)
Bloomberg knowledge
2 years of accounting or finance course work
Graduate level coursework or advanced certification
Proven track record in achieving results in a matrix- managed environment
Report Writing (Crystal, SSRS) a plus
Basic to intermediate knowledge of financial markets and behavior of financial instruments including fixed income, equities and derivatives knowledge

Alternative Investment Operations VP Resume Examples & Samples

Daily operational support for investment cash flow review, approval and oversight
Investment allocation compliance
Investment onboarding
Coordination, reconciliation and oversight of year end auditor confirmations
Oversight of the Accounting Outsource Provider culminating in the preparation and reporting of investment level NAVs and each funds' Schedule of Investments (SOI)
Bachelor’s degree in Accounting with at least 5 years related experience
Management level experience, minimum 1 year a MUST
CPA license (or in process), a plus
Excellent organizational and communication skills (both written and oral)
Ability to prioritize and juggle workload, strong analytical/problem solving skills w/ attention to detail
Excellent time management skills; always needs to be aware of deadlines and effectively plan to ensure that all are met
Ability to be a team player and maintain good working relationships with all contacts

Investment Operations Associate Resume Examples & Samples

Disbursements executing cash settlements supporting the loan origination business
Custody ensuring safekeeping and reconciliation to the bank for all physical assets
SVO filing and reporting for all securities to meet insurance industry regulatory requirements
Deal Management capturing all terms related to the trade into the Prudential systems infrastructure
Performance Reporting calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports

Senior Investment Operations Associate Resume Examples & Samples

Reconciling holdings on a monthly basis between our internal systems; PAM and Aladdin with the Accounting Agent or Custodian for each fund
Reconciling Net Asset Values on a monthly basis between our internal systems; PAM and Aladdin with the accounts official NAV source
Developing an understanding of Fixed Income products in order to increase service levels
Experience in writing operational procedures
Some knowledge of Sarbanes-Oxley / Audit controls, a plus

Associate Investment & Operations Resume Examples & Samples

Maintenance of Advent APX and assist with monthly performance updates and quarterly billing
New account set-up in Advent and Moxy including coding new accounts, linking to custodians, and ensuring proper reporting of all investments
Research and monitor investment portfolios using Advent APX, Morningstar and Factset software
Manage Wealthbench proposal tool to create optimized asset allocations for prospective clients
Participate in investment committee, compiling information, building reports, researching managers and funds, and attending meetings
Produce, compile and monitor the Approved List and Watch List investments
Complete assigned research or special ad-hoc projects
Maintain written procedures on all aspects of this position, with an eye to always improving efficiency and accuracy of each process
Strong proficiency in Advent APX and Revenue Center preferred; Factset, Moxy, Morningstar and Wealthbench a plus
Strong verbal and written communication skills, professional presentation, organizational skills and a proactive customer service approach
Excellent detail orientation, exceptional problem-solving skills, and an ability to organize and prioritize work in order to meet deadlines in a proactive manner with little supervision
Minimum of 2 years work experience
College degree in business, investments, or finance recommended, advanced degree a plus

Senior Investment Operations Associate Resume Examples & Samples

Monitoring of counterparty exposure in order to place and respond to bilateral margin calls in accordance with CSA
Research and resolve margin call disputes
Daily reconciliation and instruction for variation margin of both ETD and OTC Swaps
Responding to and instructing on initial margin requirements
Fails resolution for the settlements of margin, collateral and principal & income
Performing monthly collateral reconciliation for internal system(s) and external business partners
Verifying and instructing on periodic payments including the research and resolution of security data discrepancies
Responding to ad-hoc reporting request
Assuming ownership for any operational issues that are raised and providing resolution in a manner that is seamless regardless of which operational areas are impacted
Anticipating issues that may adversely affect the operational support of all derivative products and taking action to reduce the risk of occurrences
Providing investment professionals with on-site training and technical assistance on use of existing or future systems
Proactively seeking ways to improve current processes by leveraging the tools available to identify inefficiencies
Communicating operational support changes and initiatives to all impacted areas of Operations and investment professionals
Developing an understanding of the fixed income trading business and sharing knowledge with operations teams in order to increase service levels

Investment Operations 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 reconciliation activities

Consumer Bank Investment Operations Processing Officer Resume Examples & Samples

Having 4-5 years of work experience in Financial and investment banking operations
Must have knowledge and experience of Trade settlements,Corporate actions and Paid income and Fee reconciliations
MS Word and Excel is must
Ability to backup team and perform during high transaction volumes

Senior Investment Operations Associate Resume Examples & Samples

Maintenance of new trades and performing deal verification to ensure the accuracy of the trade details in the derivative system
Responding to ad-hoc requests
Excellent interpersonal skills. Ability to communicate in a tactful, diplomatic manner

Investment Operations Resume Examples & Samples

Oversight of Operational delivery of Client Assets (CASS) processes across Reconciliation and Investments
Working with Compliance teams in business and CASS Office teams to interpret new/changes to CASS rules; overseeing implementation of changes to processes, controls and documentation
Understand impact to existing processes followed and implement changes required in systems, reporting and operational procedures
Liaising with outsourced service provider outside UK to monitor BAU and implement process change
Perform day to day monitoring of Key CASS related metrics sent by Operational functions. Ensure metrics are accurate and any inaccurate/incomplete data is challenged and completed appropriately within existing deadline
Work closely with Compliance, Legal and CASS office teams during implementation/changes resulting from new regulation or existing CASS rule to understand impact to existing operations process/procedure
Engage with key SME in Operations teams onshore and offshore (outsourced service provider) to relay the changes, train them and implement process change to comply with new/updated regulations
Work with various Operations teams to update procedure documents and facilitate sign off
Preparation of material for the various CASS Governance forums from monthly sub-committee meetings, monthly CMAR returns and other OandT CASS metrics
Review and validation of monthly CMAR returns submitted by back office operations and complete timely reporting to central Operations Regulatory Control team
Weekly and monthly review of Operations metrics relating to CASS
Management of Weekly CASS resolution pack attestation – includes timely review of information in sections owned by onshore and offshore teams
Ensure any changes in CASS RP master document is also completed during the weekly attestation
Ensure Operations team adherence to process controls especially surrounding Reconciliation, Investments processes and regulatory reporting subject to CASS
Ensure any breaches impacting CASS are reported to Compliance, CASS office through breach reporting process and work with them to implement corrective action plan
Monitor progress of Corrective action plan with owners to ensure appropriate action is taken to resolve the breaches/issues and ensure timely completion
Work closely with Operations manager during Internal and external audits relating to CASS
Minimum Degree level

Consumer Bank Investment Operations Senior Analyst Resume Examples & Samples

5-6 years of work experience within financial and Investment banking services
Should have a good business and operations knowledge of Fixed Income Products, Unit Trust, Equities, Operational processes like Trade reporting, Asset Servicing , Settlements
Ability to manage team size of 5 - 15 team members
Ability to take Operation Process initiative and work independently and along with teams on Projects ; able to work well with cross-functional seniors and peers
Ability to work on a flexible late hour schedule as per global time zone requirements

Team Leader, Investment Operations Resume Examples & Samples

Manage a staff of 2 professionals including providing performance feedback, and preparation of performance reviews
Review and oversee the efficient operation of the bank compensation process including bank payment preparation, voucher processing, accrual processing and reconciliation, ledger account sign-off
Handle requests from banks and businesses regarding bank fee payments and charges
Identify areas for improvement for the bank compensation and scorecard process
Manage the scorecard process and communicate with banks and Prudential businesses to investigate/resolve transaction/service issues
Coach and develop associates supporting leadership competencies
Develop and update procedures and workflow documentation
Participate in or lead independent and group projects related to department initiatives
Support bank relationship database for data capture, user rollout and reporting development
This position requires standard business hours with possible overtime. Additional responsibilities will depend on the candidate's background, skills, experience and performance. While the individual will initially have the responsibilites described above, there may also be the opportunity for exposure to work in other areas of the department
A Bachelors Degree in Finance, Business Administration or Economics required
Management / supervisory experience (2 years)
Strong analytical skills for analysis of business unit activities (i.e. trending and identification of cyclical patterns, variance analysis, cost-benefit analysis, etc.)
Good problem solving and decision making skills to respond to business unit (and bank) inquiries and processing issues
Strong interpersonal skills to build relationship within Treasurer's and with business partners and banks
Initiative / self motivation and innovative thinking
Judgment (Ability to apply sound business principles and practices to projects)
Flexibility to assume other assignments in the future
Ability to work well under pressure and meet tight deadlines in a team environment
PC experience preferred: MS Excel and Word required, Powerpoint a plus)
Good meeting management skills & presentation skills

Senior Investment Operations Analyst Resume Examples & Samples

Review and analysis of daily securities pricing tolerance and exception reports for the Franklin Templeton groups’ more complex, difficult to price and fair value securities, as well as, securities requiring additional research through the use of Bloomberg and Reuters
Function as back up for Pricing Analysts as necessary
Manage the maintenance of the pricing database control lists, i.e., the frozen price, due to trade, research, and watch lists. Assist the Supervisor and Manager coordinating the research and resolution of valuation issues with the portfolio managers, analysts, traders, brokers, and the Pricing Department staff
Analyse new additions to the pricing database, specifically complex securities to ensure proper documentation and valuation within the context of the pricing conventions, e.g., treatment of fixed income securities with embedded options, PIK, or reset features, structured notes, Rule 144A issues, verification of manual calculation formulae, and interpretation of corporate actions
Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assist in coordinating the team’s efforts with the Supervisor and Manager. Thoroughly understand and be able to articulate all components of risk and their impact on valuation
Own the oversight of the Pricing Department’s daily work when the Supervisor is absent
Interact with portfolio management and legal counsel to establish fair value as it relates to investments in illiquid securities, securities for which market quotations are not readily available, and/or securities that require special valuation consideration
Assist the supervisor as liaison to the external auditors. Effectively coordinate the compilation and presentation of price data to support the valuation confirmation of year-end financial statements for all fund products. Standardize, document, and maintain the year-end process and data requirements on an audit firm specific basis
Perform standard Senior Pricing Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations. The business continuity relocation may include travel for an extended period of time
Design and propose system, policy and procedural enhancements to address accuracy of the daily process, operational inefficiencies, control issues, and data integrity. Assist Supervisor and Manager in maintaining and updating Pricing policies and procedures
Support control testing by the firm’s internal auditors
May assist in the preparation, review and coordination of the preparation of quarterly Board of Trustees reports for the European domiciled accounts. Ability to develop alternative valuation techniques like benchmarking and other appropriate methods for esoteric and illiquid asset classes to derive in-house prices and assumptions
Work with portfolio and trading personnel to determine fair valuation of thinly traded securities. Requires the ability to work with Portfolio Managers, Trading, and Legal Compliance to resolve complex pricing issues
The ability to work hand in hand with technology departments to resolve technical problems and/or enhancement projects
Other projects and non-daily functions as assigned
Bachelor’s degree in Finance, Economics, or related technical field required
Experienced in Pricing and Valuations
Preferably working towards IOQ but not essential
Demonstrated ability to work well under pressure
Demonstrated ability to interact effectively with co-worker
Ability to complete the daily securities pricing analysis function and identify potential problems and issues
Superior problem-solving abilities, organizational skills, project management skills, and flexibility
Ability to resolve various pricing and technical issues within time crunch and ensuring timely distribution of NAVs
Solid understanding of the components and calculation of the net asset value
Possess sound knowledge of various types of securities and markets in order to analyze price reasonableness provided by vendors and brokers
Very good interpersonal and people-management skills
Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet TA deadline for reporting mutual fund net asset values. This would entail dealing with various external and internal personnel to resolve problems

Supv-investment Operations Resume Examples & Samples

Ensure all daily work is completed timely, accurately and according to procedures
Maintain, recommend and implement efficient departmental processes and ensure departmental procedures are kept current and an effective control environment is maintained
Ensure uninterrupted service to internal clients. Ensure regular feedback is provided to clients on processing levels
Recruit staff, as necessary

Investment Operations Associate Resume Examples & Samples

2 years of new business or account maintenance experience in a financial services organization
Strong data entry skills
Good analytical and trouble shooting skills
Strong partnering and leadership skills

Investment Operations Associate Resume Examples & Samples

Ideal candidate will have at least 3-5 years of experience in Investment Management Operations, with experience with Equity and Fixed Income products a plus
Bachelor's Degree or equivalent (Finance, Economics or Accounting preferred) and demonstrated, proven experience in Financial Services Operations or similar role promptly
Proven record of collaborating with colleagues across geographic and functional boundaries
Professional and decisive with outstanding business judgment
Controlled processes demonstrated by data management metrics and risk incidents
On time, to quality, delivery of projects and initiatives

QMA Investment Operations Associate Resume Examples & Samples

Collect corporate action decisions from investment teams for timely and accurate instruction to custodian banks
Respond timely to inquiries from banks or other internal groups
Analyze and re-process updated dividend or other corporate action data
Properly record security restrictions in the Non Transferable Security Maintenance (NTSM) application
Validate nightly pricing data from applicable fund accountants
Coordinate the fair value process; obtain portfolio manager recommendations, document and advise all applicable parties, log details for Pricing Committee reporting
Research and submit all applicable quarterly certifications (illiquid securities, fair values, etc)
Short Term Investment Fund (STIF) maintenance
Update tax table information
Validate nightly pricing from applicable fund accountants
Assist in the preparation of management reports
BA/BS Degree required, preferably in Finance/Economics/Business
1-4 years of related experience in the accounting/operations area of the investment management industry preferred
Exposure to financial products in an Operations function
Preferred Bloomberg knowledge
Highly analytical, organized and detail-oriented
Excellent time management skills; works efficiently under the pressure of deadlines

Technical Project Manager for Alternative Investment Operations Resume Examples & Samples

Manage and direct the development of a project from inception to completion
Define goals, deliverables and scope of project with the stakeholders
Develop and implement project plans
Communicate project requirements to project team
Communicate effectively with project stakeholders
Track all project deliverables and timelines and ensure the deliverables meet requirements and schedule
Identify any project risks to manage and if possible mitigate them
Manage the project financials including forecasting and actuals tracking
Motivate and supervise project team members and others contracted to work on the project
Conflict resolution within the project team
Good at planning, organizing and decision making
Ability to influence and motivate others
Ability to adapt quickly to new environments
Knowledge of HFS/Investor Services Functions
Qualification in Project Management or equivalent
Knowledge of Project Management techniques and tools
Direct work experience in Project Management capacity
Experience in HFS/IS Operations or Technology
Understanding of Citi O&T practices and procedures

Investment Operations Analyst Resume Examples & Samples

Daily communications with both internal and external parties to ensure timely settlement of trading activity and accurate portfolio data. Prompt resolution of issues when they are identified
Daily interaction with and use of the firm's proprietary systems and databases as well as external systems including Advent, Bloomberg and Charles River
Evaluate and improve existing operational processes and procedures to reduce risk and increase efficiency
In depth experience in asset/investment management or trading operations essential; non-U.S. markets experience also required
Equities & Fixed Income settlements experience (CREST, EuroClear and other European local markets)
Knowledge and experience of corporate actions
Familiarity with custodian, broker and money manager operations
Strong computer skills, including advanced proficiency with Excel, database applications, Charles River, BBH Infomediary and Bloomberg. Knowledge of SQL code a plus but not essential

Alternative Investment Operations Associate Resume Examples & Samples

Investment NAV oversight, reconciliation and reporting, utilizing a risk based approach
Oversight of the Accounting Outsource Provider culminating in the preparation and reporting of
Bachelor degree in Accounting with at least 5 years related experience
Private Equity Investment accounting experience, minimum 2 years a MUST
Proficiency in Microsoft Excel; Knowledge of Microsoft Word
2-3 years for public accounting experience, a plus
Ability to prioritize & juggle workload, strong analytical/problem solving skills w/ attention to detail
Required to be a self-starter with a hands-on “roll up the sleeves” approach, work independently and require very little supervision
Ability to travel to Princeton NJ, when applicable

Investment Operations Analyst Resume Examples & Samples

Bachelors Degree, preferably in Business or Finance
Experienced professional with 1-3 years of investment operations experience in the asset management industry
Proven ability to work in a team environment and manage complex tasks to deadlines
Fixed interest trades knowledge and experience

Citibank Berhad Kl-share Finance & Investment Operations Officer Resume Examples & Samples

Strong PC knowledge and able to optimize system application usage
Preferably possess tertiary education with 2 years work experience
Rationale thinking with good sense of judgment in operational related issues; strong understanding of operational guidelines and procedures
Good interpersonal skills; people-orientation
Able to work independently and a strong participating team player
Strong sense of urgency, deadline and detailed oriented
Willing to learn and commit occasionally beyond normal working hours or on weekends and public holidays to meet project deliverables

Associate Manager, Investment Operations Resume Examples & Samples

Coordinating and reconciling the monthly load process for CAMPPS (Consolidated Asset Management Private Placement System)
Facilitate and coordinate the monthly pricing process for private assets
Work with business partners to resolve pricing issues under time constraints
System administrator for the units reporting system
Active participant in enhancements to the units reporting system, from planning to testing
Preparing monthly enterprise assets under management for PCGs portfolio
Completing various monthly and quarterly reports for PCG
Analyzing current processes to find efficiencies
Managing special projects and ad-hoc reporting requests along with scheduled workload
Reviewing and verifying completed reports before they are released
Undergraduate degree in Accounting, Finance, Economics or other quantitative area or equivalent work experience
Strong PC skills, including extensive knowledge of Microsoft Suite, specifically Excel
Ability to identify, communicate and resolve complex issues
Proven ability to improve established processes and leverage technology resources
Knowledge of private placements and/or fixed income securities
Ability to manage multiple assignments and changing priorities
Strong analytical and communication skills are required
Overtime is required during peak reporting periods

Investment Operations Associate Resume Examples & Samples

Timely and accurate processing of trade activity, income payments, corporate actions, and deal restructurings in sub-ledger systems
Performing cash settlements
Preparing and verifying general ledger entries for portfolio activity
Overseeing of financial data quality in the data warehouse and reporting databases
Submitting and verifying of adjustments to financial data
Reviewing portfolios and confirming rates and rate discrepancies
Preparing quarterly regulatory reports to support our SEC and NAIC filing requirements
Completing reconciliations to custody banks, trade systems and the financial statements
Interfacing with various clients and business partners
Supporting various ad hoc inquiries and projects
Bachelors degree in Finance, Accounting, Economics or Business related preferred
Minimum 3.0 GPA preferred
Candidates should be graduating in December 2015/May 2016
Strong analytical and problem solving skills; ability to understand and analyze financial data
Ability to organize and prioritize tasks and work in a deadline oriented and fast-paced environment
Strong partnering and interpersonal skills
Strong PC skills; proficiency in MS Excel; knowledge of Cognos, PAM, Oracle, Bloomberg, Access a plus

Team Lead-investment Operations Resume Examples & Samples

In-depth knowledge and experience in the FX
Provides ongoing coaching and development
Bachelor's degree from a four-year college or university in Finance or related field is preferred
7 or more years of experience in Foreign Exchange and/or Investment operations
Experience with production operations management; or equivalent combination of education and experience required
Excellent understanding of financial markets and Foreign Exchange
Must be very detail-oriented, organized, and able to think critically and strategically. Must be conscientious, proactive, as well as exhibit great people managing skills

Investment Operations Analyst Resume Examples & Samples

Collect, validate, import and reconcile trade data from external parties (brokers and investment managers)
Liaise with finance to ensure broker payments are received and accounted for
Liaise with internal/external parties to ensure resolution of trade discrepancies
Assemble and distribute broker and manager statements with applicable communication and follow up where necessary
Manage timelines based on monthly posting requirements
Utilize industry knowledge and individual discretion to resolve issues on behalf of the firm
Responsible for establishment, development and maintenance of relationships with internal and external parties (Brokers, Investment Managers, Finance Team, and Client Relationship Managers). Provide insight to Client Relationship Managers around the brokers participating in the CR program
Create new workflows and procedures to stay current with evolving business requirements. Participate in testing & the implementation of new systems and processes
Bachelor's degree or an equivalent combination of education and experience will be considered
Knowledge of broker & investment manager operations
Understands investment concepts and terminology
Proficiency with Microsoft Office applications (Excel, Access, Outlook, etc.) and experience with data analysis
Detail oriented, ability to identify problems and create efficient solutions
Able to contribute individually and as part of a team in an intense/fast paced environment
Written & verbal communication skills - articulate ideas clearly & influence others
Ability to develop and cultivate relationships at various levels both internal and external to Russell
Sound judgment and decision making skills. Translate investment concepts into operational processes
Quick learner and adaptable to change. Ability to work effectively without detailed procedures in place

Supv-investment Operations Resume Examples & Samples

Manage the daily workflow of the Pricing Department to ensure timely and accurate securities pricing and NAV calculations for distribution
Supervise a staff of individuals with varying levels of experience and backgrounds. Responsible for the Training and Development of assigned personnel. Establish career plans with staff
Monitor for significant market events and document management appraised fair valuation
Prepare documentation and facilitate the European Valuation and Liquidity Oversight Committee meeting
Review of daily securities pricing tolerance and exception reports for the Franklin Templeton groups more complex, difficult to price and fair value securities, as well as, securities requiring additional research. Work with legal compliance and portfolio management to resolve complex pricing issues
Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assist in coordinating the team’s efforts with the Manager. Thoroughly understand and be able to articulate all components of risk and their impact on valuation and hedging techniques
Review team tasks as needed on local holidays, weekends, and during Business Continuity exercises/relocations. The Business Continuity relocation may include travel for an extended period of time
Plan and set departmental goals. Assist Manager in developing and improving pricing policies and procedures. Propose enhancements to current systems utilized in order to achieve operating effectiveness and efficiencies
Manage and participate in various projects in the department. Identify project objective, resources and barriers, and implement project strategies. Ensure successful and timely completion of projects
Crisis management – Ability to recommend and implement a plan of action to meet objective when the systems are down, system processes are not functioning or other uncertainties in the system environment
Business Continuity – provide direction and make decisions during unexpected events. Assist developing and maintaining business continuity procedures
Strategic Planning – Participate in the strategic planning of the Pricing department
Master’s degree in Business Management, related field or equivalent experience is required
Graduate-level courses in Accounting, Finance or Management are viewed favorably
Certifications in Financial Market related courses will be an added advantage
Proficiency in MS Office with emphasis on Excel
Hands-on and Lead experience in Process transitions
Two years of supervisory and/or leadership experience required
KNOWLEDGE, SKILLS, AND ABILITIES
Ability to supervise the daily securities pricing function by ensuring a smooth operating workflow
Ability to resolve various pricing and technical issues within time crunch and ensure timely distribution of NAVs
Maintain sound knowledge of various types of securities and markets in order to analyze price reasonableness provided by vendors and brokers
Must possess excellent quantitative, creative, and problem-solving capabilities and a strong background in statistical analysis and forecasting techniques
Ability to review others’ work and detect control and pricing problems effectively
Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet deadlines for reporting mutual fund net asset values. This would entail dealing with various external and internal personnel to resolve problems
Work with Portfolio and Trading personnel to determine fair valuation of thinly traded securities. Requires the ability to work with Portfolio Managers, trading, and legal compliance to resolve complex pricing issues
Work with Fund Accounting to ensure accurate accounting information is maintained in all systems
The ability to work hand in hand with FTT to resolve technical problems and/or enhancement projects
Experience with market data vendors such as Bloomberg, Reuters, or Interactive Data (IDC)
Personal accident insurance for protection of employees and their families

Specialist, Investment Operations Resume Examples & Samples

Process the daily morning balancing of the Pension and Lump Sum payments
Perform Mortality Searches
BPS Users – Set up, changes, deletes – Quarterly Audit
Oversee daily/monthly processing of Pension and Lump Sum Benefits including IRA Payments, through the processing of Checks, EFT’s, and Wires
Cross-train to back-up to other team members performing daily tasks
Ability to manage multiple priorities, and meet tight t deadlines
Ability to identify issues and effectively research and resolve problems, including definition of root cause
Maintain complete and accurate documentation of work performed
Participate in continuous improvements projects
Pension/Lump Sum Processing Skills
Understanding of Data Entry concepts
Understanding of Pension Fiscal Balancing between the Global Plus and Omni Pension systems
Able to organize work flow for efficient and effective processing
Ability to work with Monthly Reporting Packages (TR20/35 reports & Monthly Extracts, Special Handling Check)
Able to perform monthly Lump Sum/Pension Balancing and Verification
Ability to work with the internal/external customer in a professional manner on a daily basis
Ability to multitask and refocus on numerous processes simultaneously
Understanding of the check flow process (PNIs, Dormant Check Recons,) and able to place stops on checks
Able to assist with new system release testing
Four year degree in business OR equivalent work experience in the financial services industry
Proficient with use of MS Office (Word and Excel)
Basic knowledge of the financial industry
Proven problem resolution ability
Proven ability to demonstrate the Key Values
Proven ability to build positive working relationships and to represent the organization positively
Provide proactive client service
Proven ability to identify and articulate possible improvements in process flows to increase quality, speed and productivity within the department

Head of Investment Operations Resume Examples & Samples

Risk Management & Control
Team Effectiveness
This role requires the incumbent to interact with the following groups
Strong knowledge of standard investment advisor systems, processes, functions, products, and services
10 years relevant experience in the investment management/securities industry and/or functions involving securities compliance, investment operations, internal control and project management
Certificate in Investment Performance Management (CIPM) a plus
Chartered Financial Analyst (CFA) designation a plus
Masters of Business Administration (MBA) a plus
Excellent written and oral communication abilities
Strong coaching and development skills
Well developed prioritizing, time management, and multi-tasking skills
Well developed decision making and problem solving skills
Ability to work independently and as a team
Ability to exercise prudent judgment
Superior relationship management abilities

Investment Operations Associate Resume Examples & Samples

Provide on-the-job training as requested
Day-to-day monitoring, recording, and timely dissemination of corporate action event notices to investment teams for decision making
Work closely with internal operations groups and custodian banks to confirm and process corporate actions in the Eagle accounting system
Process and maintain accurate security master file (SMF) information
Properly organize and file all completed workflow activity and file surf for archival purposes
Provide tertiary back up for proxy, class action and pricing processes
Perform any ad hoc projects and related duties as assigned or requested
BA/BS Degree, preferably in Finance/Economics/Business
Proficiency in Excel; experience with V-look ups a plus
Able to work in a team environment while taking individual responsibility for the quality and accuracy of his/her work
The ability to handle people and situations with maturity and professionalism
Excellent time management skills; works efficiently under the pressure of deadlines during peak periods, the individual may be required to work after regular hours

Investment Operations Associate Resume Examples & Samples

Business related degree preferred but all majors considered. Some but not all roles may require an Accounting degree (minimum GPA of 3.2)
Knowledge of fixed income products, investment strategies and derivatives through coursework and/or internships
Proficiency in MS Office applications, (Excel (pivot/macros), and Word) and ability to learn new applications
Must be organized, flexible, able to prioritize tasks and work in a deadline oriented environment

Analyst, Investment Operations Resume Examples & Samples

Global Corporate Actions experience essential
Be able to work with minimal supervision, whilst still working as part of a team. Good organisational skills
Demonstrate strong time management skills and the ability to balance the demands made by a change in circumstances, with the on-going job requirements
Take responsibility for own actions and recognises the impact on others and the business
Ability to manage expectations to reporting lines, portfolio management teams and custodians
Self motivated and pro active
Ability to effectively handle deadlines
Good communication skills, both oral and written, at all levels, from peer group to management

Investment Operations Associate Resume Examples & Samples

Supporting, monitoring and calculating unit values for the funds we support
Ensure timely and accurate client activity results are recorded in PARIS
Preparing and reviewing validation spreadsheet
Support ad-hoc requests for data and performance reporting
Ongoing review of NAV errors, in conjunction with established unit value revision policy
Participate in various analysis and special projects
Responsibility for a portion of new fund set up
Performing and reviewing asset to liability reconciliations
Review and release of Single Client Statements
Performing and reviewing monthly marketing reports
Bachelors degree in Economics, Finance, Accounting or Business related preferred
Ability to understand and analyze basic accounting principles and financial statements
Ability to organize, prioritize tasks and work in a deadline oriented environment
Strong oral and written communication skills; ability to deal with associates at all levels within the organization
Intermediate to advanced proficiency with Microsoft Excel and Word

Senior Investment Operations Associate Resume Examples & Samples

Being the primary on-site operations point of contact for activities for each of the CDOs supported by the Alternative Products Team
Having some knowledge of CDO operations support and/or products supported
Reconciling holdings on a monthly basis between our internal record keeping system, CDO record keeping system and the Trustee for each deal
Ensure that security data is up to date in our internal CDO record keeping system
Working with the Trustees of each deal to verify the information in the Monthly Trustee Report that is provided to clients
Assuming ownership for operational issues that are raised and providing resolution in a manner that is seamless regardless of which operational areas are impacted
Quickly learn current processes by leveraging the tools available to help identify inefficiencies
Degree in Economics, Finance or Business required
1 to 2 years of related experience
Outstanding academic achievement, extracurricular involvement, work experience and demonstrated leadership qualities
Strong knowledge of fixed income products, investment strategies and derivatives preferred
Self-motivation and ability to work within a team environment
PC skills with strong knowledge of spreadsheets
Has an entrepreneurial spirit that is willing to take on additional responsibility quickly
Enjoys a fast-paced, high-intensity environment
Able to multi-task and absorb information across a broad spectrum of products

Investment Operations Application Developer Resume Examples & Samples

Complete all tasks related to technical analysis, building and unit testing, quality assurance, code reviews, system test and implementation in accordance with the IT development life cycle
Analyse requirements, design, build and test system components or amendments
Coach, train and assist more junior developers
Stay abreast of development trends, learn new technologies, and analyse impact of new technologies
Always conform to documentation, coding and quality standards as defined
Review, discuss and work within agreed timescales and feedback to project managers/team leader any variances arising as tasks are performed
Understand client business and make recommendations and technology suggestions to solve problems and improve efficiency
Understand architecture of applications in order to effectively troubleshoot problems and develop more efficient production processes
Be prepared to carry out business analysis tasks to ensure that the development/change meets user requirements and expectations
Prepare for and support user acceptance testing
Perform quality assurance tests on the work of other developers
Communicate with internal and external customers, supervisors and management using clear, user-friendly terminology (emails, phone and meetings)
Provide On-Call support for systems based on agreed coverage timeframe which includes Subject Matter Expert (SME) cover
5 years+ of experience in IT Software development
Knowledge and experience with Sql Server 2012 or higher or Oracle 10g or higher
Knowledge and experience using a job scheduling tool such as Autosys
Knowledge and experience with Microsoft.NET (C#/WPF/WCF) and working with TFS is a plus
Experience developing with Markit Enterprise Data Management (EDM) - Cadis or Informatica is a plus
Experience working with Agile/scrum software development framework is a plus
Strong analytical and critical thinking skills is a plus
Strong technical presentation skills

Cib-ais-hfs Investment Operations Resume Examples & Samples

Ensure all scheduled operational deliverables are completed by agreed deadlines with the client and/or internal JPMorgan divisions
Reconciliation of trades, investment positions and cash balances to external third parties (banks, prime brokers, counterparties and custodians)
Perform trade break resolution with prime brokers and counterparties
Trade support for listed and OTC products
Perform/Supervise PB Margin, Collateral Management and OTC Settlements functions
Review OTC long form confirmation and/or confirmations via electronic platforms
Oversee and support security life cycle event processing
Work closely with the on-boarding team and client through the client implementation process
Work closely with clients to resolve queries and providing first level account service
Streamline operational processes to reduce risk and improve efficiencies
Work closely with technology to perform user acceptance testing, for upgrades, and enhancements
Management reporting for MIS and ad hoc request
Serve as project lead in departmental projects as needed

Investment Operations Analyst, Derivatives Resume Examples & Samples

Reconcile portfolio holdings between custodian banks, internal trading system(s) and brokers, track intra-day cash
Prepare and designate equity and fixed income derivative funds for trading in US/Asia/Europe markets
Calculate and communicate cash equitization levels to traders and PMs to ensure compliance (all funds)
A working knowledge of OTC products (futures, swaps, options, initial/variation margin) and the implications they have on funds
Analysts are required to work periodic holidays as well as early morning shifts (start time is 4:30am)
Bachelor's degree in finance, economics, or business administration
Candidates must be analytical, detail-oriented and precise with numbers, with a solid understanding of the securities/fund industry as well as investment concepts and strategies
Strong individual contributor and team player in a fast-paced environment with the ability to prioritize and complete multiple assignments under short deadlines
Maintain strong client-relationships with the foreign exchange, equity, and fixed income derivative teams
Familiarity with custodian, broker, and money manager operations
Strong computer skills, including advanced proficiency with Excel and comfort with database applications
Willingness and flexibility to work non-standard schedules associated with providing trading support across global markets

Senior Investment Operations Associate Resume Examples & Samples

Reconciling cash on a daily basis between our internal systems; PGIM and Aladdin with the Custody bank for each fund
Reconciling holdings on a monthly basis between our internal systems; PGIM and Aladdin with the Accounting Agent or Custodian for each fund
Reconciling Net Asset Values on a monthly basis between our internal systems; PGIM and Aladdin with the accounts official NAV source
Bachelor's degree required; Accounting, Economics, Finance or Business preferred
Strong knowledge of fixed income products, investment strategies and derivatives
2-4 years prior experience in accounting or custody operations
PC skills with strong knowledge of excel
Ability to be organized, flexible, prioritize tasks and work in a deadline oriented environment

Cib-ais-hfs Investment Operations Resume Examples & Samples

Oversee PB Margin, Collateral Management and OTC Settlements functions
Management of security life cycle event processing
Ensure that all controls and procedures outlined in the procedures manual and general company policies are complied with across all groups
Create, maintain and update procedures for client specific deliverables
On-going review of daily controls and communication of any new training or procedural changes to the team
Act as client relationship manager and service as escalation contact
Ensure appropriate allocation of work across teams
Conduct training and coaching new team members
Act as project lead on departmental initiatives
Responsible for monthly operations sign-off (including finalizing reconciliations and assessing materiality)

O&t-investment Operations Officer Resume Examples & Samples

Bachelor degree holder with minimum 5 years’ relevant working experience, preferably in securities, mutual funds and insurance operations
Latest banking and investment operations knowledge especially on fund transfer, trade settlement
Keep pace in investment product features and operations flows

VP Investment Operations, Advisor Services Resume Examples & Samples

Requires 8-10 years experience dealing with investment products
3-5 years supervisory experience
Must possess Series 7, 24 and 53 FINRA licenses, or obtain shortly after starting role

Investment Operations Resume Examples & Samples

Sourcing of Valuations (NAVs) from Delegated Custodians
Validate NAV received from Custodian through application of rules and checks and query with Custodian where necessary
Preparation and production of Quarterly and Annual Statements for the Delegated Portfolios
Preparation and production of Quarterly request for fees to the Delegated Custodian
Preparation of Quarterly Report on all Delegated Bonds for Finance & Actuarial
Daily reconciliation of fees received and required updates to the Fund Administration system
Liaising with Custodians in relation to unpaid fees/withdrawals
Liaising with the Custodians where Standing Order amounts need to be updated
Cash Management process managed Quarterly
Update the Bank Rec Log for Servicing - surrenders/transfers
Sign off on Delegated Valuation (NAV) for Surrenders
Client Queries - ensure all client queries are addressed in a timely and accurate manner
Responsible for production of daily online valuations
Posting of monthly/quarterly product charges
Reconciliation items investigated daily
Update Log for Servicing - surrenders/transfers
Ensure all team processes, procedures and check-sheets are kept up to date
Liaise with other team members on queries and complaints to seek agreement and resolution
Ensure root cause analysis is completed for all errors
Valuations experience required with a knowledge of component parts of a valuation
Knowledge of the Funds Services Industry and the different types of fund structures
Good working knowledge of Excel
Minimum of 2 years working within the Valuations area

Team Lead, Investment Operations Resume Examples & Samples

Revenue calculation and reporting of fees related to Investment management services and administration
Allocation of revenue between various business units and/or asset managers
Track and age outstanding receivables
Validate fee calculations on clients statements
External and Internal business partner communication
Developing and managing staff members
Fee related project management
Bachelors degree required; Accounting, Finance or Economics preferred
Minimum 3 years accounting/financial services experience
Ability to lead a team of 1-2 associates
Proficient in MS Word, Excel and Access
Knowledge of accounting and ORACLE ledger a plus
Ability to organize and prioritize multiple tasks/projects in a deadline oriented and fast-paced environment
Strong verbal and written communication skills; ability to interact with both internal and external business partners and associates at all levels within the organization
Strong mathematical, analytical and problem-solving skills
Ability to evaluate and implement process improvements
Strong interpersonal skills; ability to partner, develop and maintain business relationships
Motivated, confident and enjoys being challenged and works well individually and in a team based environment

Investment Operations Specialist Resume Examples & Samples

Knowledge of the investment management/asset servicing industry, acquired through experience, is critical for this position
Demonstrated client servicing capabilities and excellent communication skills are required for success in this position
Must be resilient to pressure and have the ability to adapt quickly
Organizational skills are required to manage conflicting priorities and multitask functions in a fast-paced team environment
Project implementation skills required to integrate new business with existing business

Investment Operations Analyst Resume Examples & Samples

As part of the EMEA Settlements, investigating failing trades and pre-matching issues with brokers, custodians and internal departments in accordance with market deadlines and internal procedures. 70%
Daily interaction with and use of the firm's proprietary systems and databases as well as external systems including Advent, Bloomberg and Charles River. 20%
Evaluate and improve existing operational processes and procedures to reduce risk and increase efficiency. 5%
Create department workflows and procedures to effectively process the trading strategies and other activities associated with the implementation and support of new business initiatives. 5%

Investment Operations Analyst Resume Examples & Samples

5+ years of Advent Portfolio Exchange (APX) experience with considerable fluency
Investment Reporting and Performance Analysis experience
Experience tracking Limited Partnerships and other Alternative Investments
Proficiency with Advent/APX custom report writer, scripts and macros
Degree in Accounting and/or Finance
SSRS report development on APX
Experience with Bloomberg Terminal

Investment Operations Administrator Resume Examples & Samples

3–6 years of administrative experience with an Investment Advisor, Broker, or Wealth Management office
Experience with investment documentation and custodial relationships
Strong Microsoft Excel, Outlook and Word skills
Strong organizational/multitasking skills with the ability to plan/prioritize to ensure efficient and timely deliverables
Client service-oriented
Strong attention to detail and ability to adapt quickly to a changing environment
Ability to communicate (both written and verbal) with all levels of management as well as staff members
Ability to work effectively on cross-functional teams or independently
Degree in accounting or finance

Investment Operations Intern Resume Examples & Samples

Produce, review, and distribute routine reporting relating to trading or portfolio activity
Develop knowledge of fundamental concepts and complete routine processes
Document procedures and identify opportunities for process improvement
Developing skills and knowledge of different investment software (e.g. Aladdin and Bloomberg) Developing skills and knowledge of different investment software (e.g. Aladdin and Bloomberg)Develop skills and knowledge of different investment-related software (e.g. Aladdin and Bloomberg)
Assist with various projects
Pursuing a bachelor’s degree in Finance or related field
Working knowledge of Microsoft Office applications including Excel, Work, and Outlook
Work experience in an office environment
Advanced skills in Excel preferred

Senior Investment Operations Associate Resume Examples & Samples

Review and resolve trade discrepancies with brokers, gain agreement on all trade details (financial info as well as settlement info)
Ensure all trades are sent to banks by deadlines on trade date, with particular emphasis on short-settlement trades
Save, store and file all broker confirms each day
Affirm all domestic and global trades
Load all FX files, ensure all FX activity is matched with brokers in GTSS, and resolve any discrepancies
Maintain accurate broker settlement instructions in accounting system
Review and analyze futures variation margin (FVM) movements with brokers and banks
Monitor all trade processing in our Trade Order Management systems
Maintain data integrity of Trade Systems (holiday calendar, security info, daily error messages etc)
Confirm all manual/non-standard trades & trade requests have been received by the custodian (FXs, T-Bills)
Build and maintain collaborative relationships with internal and external parties
Assist with ad hoc projects
BA/BS degree required, preferably in Finance/Economics/Business
1 to 3 years of related experience in the accounting/operations area of the investment management industry preferred
Knowledge of securities markets/transactions
Takes initiative and exhibits leadership qualities when dealing with problems and projects
Proficient system skills
During peak periods, the individual may be required to work after regular hours
Occasional holiday coverage required

Investment Operations Analyst Resume Examples & Samples

Experience in Investment Operations in the asset management industry
Financial Services related degree
An ability to work in a team environment and manage complex tasks to deadlines

Investment Operations Cluster Head Resume Examples & Samples

Male/female
Banking, accounting and investment and treasury transactions knowledge
Leadership skill
Ability to adapt and work under presure with minimum supervisory and fast learner while at the same time could do the effective teamwork

Investment Operations Analyst Resume Examples & Samples

Perform trade administration functions, including the processing/capture of transaction data into AMPCI systems, follow up of all trade related issues and notification of transaction data to service providers/custodians
Liaise with AMPCI's investment staff, external service providers and brokers to resolve trade related issues
Investigate and liaise with the AMPCI Front Office and custodian to resolve cash and holding reconciliation breaks in a timely manner
Research and investigate corporate event information, manage notifications to portfolio managers and instructions to the administrator
Ability to job rotate and participate in general cross training within the Investment Operations Support team which will include specific ad hoc functions
Be actively involved in the implementation of any new processes and projects with a focus of providing relevant support for the team
Contribute to the design, enhancement and implementation of procedures and processes within the Investment Operations unit and continue to maintain up to date procedures and process flows
Identify continuous process improvement opportunities and recommend procedural changes which improve efficiency, reduce risk and strengthen operational controls
Previous experience in the following systems would be an advantage: BlackRock Aladdin, DTCC and Charles River
Experience with the interpretation of Fixed Interest and Equity trade administration and settlements
Understanding of trade matching process and its various components regardless of system
Excellent analytical skills with the ability to solve problems and make decisions
Excellent stakeholder and relationship management skills and the ability to work in a highly collaborative team environment
Bachelors in Commerce, Business or Finance
Ability to work in a team environment and manage complex tasks to deadlines

Assistant VP, Investment Operations Resume Examples & Samples

Capturing and communicating key data relating to Oaktree’s portfolio companies and other private investments in all jurisdictions, with a particular focus on the US and Europe
Building and sustaining best-in-class operating procedures to capture and share relevant information across the organization
Creating a data infrastructure for investment information across Oaktree that allows for real time analytics and periodical reporting to top executives
Coordinating and working with Legal, Accounting, Tax, Operations, Compliance, and other departments across Oaktree; and
Performing other tasks and projects as necessary
5-10 years of project and process management experience
Experience with large scale technology implementations
Knowledge of the financial services industry
Exceptional communication skills are necessary given scope of interactions across the global business
Experience with data analytics is a plus
Demonstrated ability to analyze complex data, evaluate information, identify key issues, draw logical conclusions and close out projects; and
Proven ability to maintain composure under pressure while meeting deadlines

Investment Operations Analyst Resume Examples & Samples

The security pricing analysis requires review of exception based risk reports generated from the OneTIS system that involves analytical skills, prioritization, and attention to detail in a critical deadline driven environment
Research security price challenges initiated by Portfolio, Trading, and/or Investment Accounting & Operations Departments. Ensure market valuations are accurate, timely and representative of traded markets
Daily interactions may include broker counterparties, pricing vendors, internal trading desk and Portfolio Management, Global Pricing Services teams, Investment Analysis and Operations teams, and other Franklin Templeton Services business units
Act as liaison with Portfolio, Trading, Fund Accounting, and external auditing firms
Audit corporate actions daily as they relate to valuation and coordinate with the corporate actions group as necessary
Provide coverage for other Analysts as needed
Support external auditors by addressing pricing audit issues
Review, analyse, and resolve any pricing exceptions on a daily basis for assigned region or security type
Document all research and exception findings for files. Maintain orderly and complete organization of files
Analyse unchanged security prices on a periodic basis
Monitor single sourced securities and obtain secondary sources as available
Develop and maintain vendor and broker relationships
Provide cross-training for other Analysts as required
Participate in discussions regarding future plans for enhancements to existing products and integration of new products
Evaluate software readiness and conduct quality assurance audits to ensure proper readiness into the production environment
Identify and initiate workflow improvements
Work with Supervisor/Senior Analyst on special projects as assigned
Perform standard Investment Operations Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations
Solid understanding of global financial markets, including security pricing, descriptive data, and the impact of corporate actions on securities processing
Must possess basic quantitative, creative, and problem-solving capabilities
Solid organizational skills and flexibility
Reliable, responsible, self-motivated with hard work ethic, requiring minimal direct supervision
Ability to prioritize tasks based on urgency
Strong inclination towards numbers and details
Enthusiastic interest in asset management and financial services
Demonstrated ability to interact effectively with co-workers
Proven experience in the financial industry
Sound knowledge of the financial markets and various security types
Experience in portfolio administration, security settlements, or corporate actions will be viewed favourably

Investment Operations Analyst Resume Examples & Samples

Trade support – Matching, trade settlement and confirmation, SWIFT
Middle Office support
Perform daily and monthly calculation, reconciliation, control and outlier reporting of performance for assigned client’s portfolios, and benchmarks
Update security and portfolio level class schemes and properties
Prepare and analyze monthly and quarterly performance
Prepare and analyze monthly client reporting
Create and update composite benchmarks
Verify and maintain security static and dynamic data
Verify and maintain portfolio static and dynamic data
Daily and monthly reconciliation of portfolios with custodian banks
Trade capture
Address ad hoc inquiries from the client/custodian banks including wealth related topics, trade support and performance analysis such as providing explanations of performance fluctuations and anomalies
Identify inefficiencies in the current production processes and make recommendations on how to improve them
Work in partnership with product teams to resolve issues and improve overall processes
Maintain internal client support logs
Documentation of processes

Investment Operations Kaspick Resume Examples & Samples

Responsible for the planning and execution of asset transfer plans for new and transitioning clients and new gift activity
Prepare and present detailed written asset transfer to clients
Coordinate plan execution and manage associated deliverables across multiple internal departments, custodians, and clients
Execute the transfer of assets and funds between client accounts
Monitor and communicate asset transfer status and tracking relative to the plan and manage stakeholder expectations
Interact with other team members and make recommendations on complex transfer matters
Act as a facilitator for communications between the custodian, the client, and internal departments regarding asset transfers
Troubleshoot and resolve asset transfer related issues
Provide oversight of portfolio cash levels for meeting scheduled liabilities
Conduct portfolio deviation analyses and research
Prepare portfolio reviews and researches discrepancies
Serve as a voting member of the Investment Committee
Participate in process improvement initiatives within the department and company
Two or more years of experience in investment/brokerage operations
Experience with portfolio accounting software systems; Advent APX experience preferred
Experience in Microsoft Excel
Familiarity with charitable asset and/or endowment management preferred
Knowledge of securities and asset transfer methods
Strong oral and written communications skills and client interaction skills
High attention to detail and ability to meet deadlines
Successful experience working in a team-oriented, collaborative environment

CIB Investment Operations Middle Office Client Change Associate Resume Examples & Samples

Working with Clients to define and capture their requirements in the context of agreed service parameters
Partnering with SMEs across multiple functions and locations to develop solutions including business and functional requirements, process flows and operating model documents
Preparation of Impact Assessments to address delivery approach, resources and timelines
Providing end-to-end project reporting, issue management, risk tracking and mitigation, and resource tracking to stakeholders at various levels to ensure delivery on scope, time and budget, and in compliance with organization’s control framework
Continuously reviewing change delivery process to implement improvements
Developing, tracking, analysing and publishing project and financial reports, scorecards and program/project performance trends
Previous change management experience
Knowledge of key components of the fund services and custody business
Appreciation of nuances and challenges of a client-facing Change delivery function
Ability to effectively prioritise conflicting demands, and manage one’s own time to deliver on established commitments
Ability to think flexibly and creatively, challenge status quo, probe for details to develop alternative solutions and recommendations for change
Effective communication, presentation and influencing skills
Ability to work in collaboration with business partners and clients at all levels
Ability to identify and analyse dependencies across products, systems and functions, ensuring holistic approach to requirements, implementation approach and final deliverable
Strong sense of ownership and result-orientation
Resiliency and ability to maintain positive attitude in the face of challenge and uncertainty
Expert Excel, PowerPoint and Visio skills

Investment Operations Associate Resume Examples & Samples

Provide exceptional client service to external and internal clients
Adhere to ethics and employee code of conduct
Review activities within the job scope for sufficient controls to prevent errors and misstatements of financial results and to monitor for evidence of fraud
Maintain data for new and existing clients in Salesforce, iRebal, WealthCentral
Monitor tasks and client requests
Generate client reports and historical data
Updating trading software on a daily basis
Support trading operations; i.e. iRebal rebalancing, trade execution, best execution reports, trade blotters and tickets
Keep Financial teams up to date by monitoring daily transactions and custodian alerts

Investment Operations Officer Resume Examples & Samples

Male/female
Banking, accounting and investment and treasury transactions knowledge
Ability to adapt and work under pressure with minimum supervisory and fast learner while at the same time could do the effective teamwork

Investment Operations Resume Examples & Samples

Coordination and oversight of Business Operations Securities Lending BAU activities to ensure timely enablement of new lendable inventory and client onboarding in accordance with client guidelines and established policies
Partner with APG and other Business Operations teams to identify opportunities to enhance the controls and processes related to onboarding new Securities Lending clients, expand access to lendable inventory, and prioritize and drive the completion of any related deliverables
Act as a subject matter expert with regards to securities lending operations to work jointly with the Securities Lending and Finance team in researching and managing the implementation of market, borrower or asset expansion activities to drive revenue opportunity and maintain the business’ competitive advantage
Participate directly in the due diligence performed by SLF for new lending opportunities and changes to the existing product, analyzing the operating model and options associated with the contemplated activity
Identify and direct activities related to key change event items related to the SLF business to ensure all areas are engaged in a well-controlled and client-focused manner
Create and maintain metrics to provide transparency to management and business partners around results and performance
Provide ongoing communication within Business Operations on priorities/changes, open items, upcoming deliverables, and any issues or concerns
Bachelor’s degree required. Master’s degree or other certifications/achievements desirable
Minimum 5 years of experience in the financial industry; Securities Lending and Project Management experience a plus
Highly detail oriented and risk focused. Ability to prioritize and deliver assignments as promised, while maintaining high quality and consistent results

Alternative Investment Operations Associate Resume Examples & Samples

Reconcile firm accounts
Reconcile Financial Advisor Compensation
1-3 years of experience in the financial services industry

100

Alternative Investment Operations VP-wealth Management Operations Resume Examples & Samples

Reconcile client distribution and redemption proceeds
Excellent attention to detail and follow-up
Ability to thrive in a fast paced and changing environment

101

Investment Operations Analyst Resume Examples & Samples

Carries out and ensures all assigned IO tasks are completed and accounted for in a timely fashion. Communicates and coordinates with internal IO and FT group or external parties, to respond to or resolve problems
Responds to and resolves any ad hoc queries relating to relevant work processes, with a sense of urgency
Serves as back-up support for assigned IO functions
Update statistics for tracking and reporting purposes
Participate in training (internal or external)
Assists Supervisor in developing and improving procedures given the current systems utilized and new systems being developed. Maintains and updates procedure documentation
Participates in various projects in the department, ensures successful and timely completion of responsibilities
Bachelor degree in a finance related major e.g. Commerce, Banking & Finance, Accounting or Economics, or equivalent work experience preferred
1~3 year of financial experience in securities/investment operations business preferred
Good product knowledge(Equity, Fixed Income, FX and Derivatives)
Good financial services operation knowledge(Trade Settlement, Corporate Action, Pricing and Security information)
Good knowledge of financial markets and various security types
Good research, problem solving and analytical skills
Good verbal and written communication skills in Korean and English
Good organizational and basic project management skills
Able to work under pressure and ability to track and deliver assignments on schedule
Good PC skills – Windows applications
Possess the ability to work on multiple problems at the same time, to take the initiative and to keep all appropriate personnel appraised

102

Investment Operations Manager Resume Examples & Samples

Strong academic background in finance and accounting or related field
5+ years of Fund Administration, Middle Office or relevant experience
Fluency in Japanese and English
Strong command of Microsoft Excel, Word and other Office programs
Outstanding interpersonal, written and verbal communication skills
Ability to excel in a highly collaborative global team

103

Senior Associate, Investment Operations Resume Examples & Samples

Uploads & verifies investment prices in the recordkeeping system
Uploads and verifies dividends in the system on a daily basis
Market Timing oversight and reporting
Historical Performance of Investment Choice (HPIC) reporting
Client point of contact for executive insurance benefit plans
Administration of corporate owned life insurance (COLI) plans on a proprietary database
Responsible for the premium-crediting program, including preparation of the premium listings, following up as necessary to ensure monies have been received, and credited. Reconciles and updates weekly records of premiums paid between MullinTBG and the carriers
Determines policy capacity with each premium payment. Performs general analysis to determine if and when 7-pay capacity will run out
Proficient in asset reallocation administration, implementation and execution
Proficient in Asset Value Reporting (AVR) to include carrier extraction, auditing and report preparation
Able to create and update all versions of policy analyses
Creation of asset/liability templates for delivery to CRMs, consultants and client service team, to include COLI data extraction and obtaining liability values from Client Services
Generate and confirm accuracy of a variety of spreadsheets, reports and correspondence, as required
Ensure compliance with plan rules and regulations as well as client directed funding strategies
Coordinate activities of client, plan participants, trustee insurance companies and other affiliates
Participate in company, department, team and individuals goals, special projects and task forces
Participate in development and mentoring of less experienced staff
Promote improvement of department processes, procedures and work product
Other responsibilities and tasks, as assigned
Minimum of one year of practical work experience, preferably in financial services
Basic financial acumen with strong math skills
Undergraduate degree in related field and/or relevant experience
Knowledge of life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred
Ability to anticipate needs and take effective action
Experience in and knowledge of Excel, or other spreadsheet/database applications and Microsoft Word is preferred
Utilizes reasoning ability to define problems, collect data, establish facts and draw conclusions
FINRA Series 6 & 63 and state insurance license required within 120 days of hire

104

Investment Operations Associate Resume Examples & Samples

Cultivating both internal and external relationships to ensure proper service levels are achieved
Assisting with writing operational policies and procedures
Developing a deeper understanding of different products and markets and build relationships with our business partner to service our clients
Business related degree preferred but all majors considered. (minimum GPA of 3.2)

105

Manager, Investment Operations & Compliance Resume Examples & Samples

Acts as primary point of contact for matters outside of routine activities, including but not limited to, operational issues, change management, and ad hoc projects and requests
Ensure department compliance with internal requirements and external regulations
Execute operational aspects of investment strategy for all trusts managed by the Investment Office
Supervise, coach, and develop Investments Analyst
Act as liaison between external third parties and other Exelon departments
Prepare reports and make presentations to the Senior Vice President and Corporate Investment Committee

106

Investment Operations Specialist Resume Examples & Samples

Provide functional support to portfolio managers, traders, and portfolio administrators for Eaton Vance’s portfolios and order management systems
Responsible for monitoring trade affirmation and settlement of market transactions
Provide reconciliation support for investment team
Establishing new client and fund accounts in various trade management systems
Work with brokers and custodian banks to resolve trade settlement problems
Identify and resolve problems related to transactions or investment data in a timely fashion following established guidelines
Facilitate the accurate and timely delivery of critical business information among all necessary parties
Initiate the execution of transactions directed to specific brokers as specified in client contracts
Act as business owner of data, demographic and activity reports, operations requirements and daily account processing
Collaborate with fellow colleagues to ensure all daily fixed income functions are completed concisely each business day

107

Investment Operations Spec Resume Examples & Samples

Three to four years of experience in investment operations activities
Thorough knowledge of the investment operations within the assigned area
Good knowledge of the computer applications used in the assigned area
Proven customer service skills

108

Investment Operations Associate A Resume Examples & Samples

You communicate effectively with colleagues and business partners through written and verbal correspondence
You apply your advanced Excel skills in our day to day operations as well as developing solutions for complex projects
You solve complex problems by applying deliberate, calculated analytics
You are constantly pursuing a deeper and expanded knowledge of the business and industry
You have an eagerness to participate in the agility of the group through training and supporting the larger DCoE team
You recognize and escalate high-risk items to minimize loss to either the shareholder and/or Fidelity

109

Investment Operations Administrator Resume Examples & Samples

Complete, qualify, and follow through on investment account documentation with various custodians, institutions, and fund managers
Complete requisite documentation to setup/add new client(s) accounts in the portfolio accounting system
Track new account progress with custodian and communicate new account status to Investment Reporting team
Process, qualify and facilitate the movement of funds including wires, EFT, and automatic sweeps
Process, qualify and facilitate the transfer of securities between managed accounts and external third party accounts
Assist in the production and assembly of client investment and activity reports
Oversee and coordinate with administrative support
3 – 6 years administrative experience with an Investment Advisor, Broker, or Wealth Management office
Bachelor’s Degree required; major in accounting or finance preferred
Strong organizational/multi-tasking skills with the ability to plan/prioritize to ensure efficient and timely deliverables
Strong interpersonal, communication and presentation skills essential with an aptitude towards client service

110

Head of Investment Operations & Fund Accounting Resume Examples & Samples

Recognized Degree in Finance or Accounting
Minimum 8 years working experience in the investment operations/fund accounting of insurance/asset management/ unit trust management companies
Good knowledge on settlement functions and accounting
Good knowledge of Fund Accounting functions
Adequate understanding of securities law
Good knowledge of investment systems (knowledge of Bloomberg and Portia is added advantage)
Good with figures and conversant in spreadsheet soft wares
Well verse with the Securities Commission’s guidelines and accounting standards
Fluent English and good communication skills
Good analytical skill and attention to detail and accuracy
Good organizational skills (in thoughts and procedures)
Proactive and ability to meet deadlines
Good inter-personal skills
Ability to work well in team environment; collaborative, consultative and placing benefits to company/clients above self
Maintain good communications with all departments/ Business Units

111

Investment Operations Specialist Resume Examples & Samples

Respond to Financial Consultant compliance inquiries and escalated issues
Monitor and follow up on new business
Update and review operational tasks
Clerical duties such as answering telephones, mailing, filing, and processing forms
Strong analyzing, coordinating, organizing, and follow up skills

112

Regional Investment Operations Specialist Resume Examples & Samples

Analyze account information to discover any issues
Recommend best paths for Financial Consultants and clients
Respond to client inquiries and requests

113

Associate, Investment Operations Resume Examples & Samples

Participate in the oversight of daily operations among service providers, transfer agents, custodians, fund accountants and internal departments
Service client calls and provide quality service and an excellent customer experience to clients, banks, trusts, broker/dealers and other service providers; coordinate associated internal and external information flow
Support new fund products and trading instruments, as well as the investor onboarding process; qualify new business and document compliance
Monitor adherence to contractual policies, procedures & controls through review of Service Level Agreements
Process daily transaction files from service provider and track new product activity
Oversee cash reporting and projections to portfolio managers
Assist with preparation of audit requests received from DFA client and external auditors
Support special projects and initiatives for Investment Operations and other groups on an ad hoc basis
Develop an in-depth understanding of the service provider’s processes and platforms of back
Assist in developing business requirements and data gathering as necessary for any change service requests
Monitor trade exceptions & complex shareholder issues; reconcile transaction activity with service providers
Bachelor’s degree; Finance, Business or Economics preferred
Ability to work well in a team environment, both locally and across international offices
Strong analytical mindset with an ability to synthesize data
Motivated to self-teach skills and apply learned knowledge to applicable tasks
Eager to learn and responsive to constructive feedback and guidance
Local regulatory licenses may be required
Ability to work independently to meet project requirements with minimal supervision
Past experience working in Financial Services, preferably in back office/fund operations preferred

114

Investment Operations Associate Resume Examples & Samples

Complete subscription and redemption documentation, track share class information, and monitor manager liquidity provisions on behalf of the client
Proactively support client team objectives through communication with third-party service providers. Review documentation and maintain correspondence
Utilize internal CA resources to support investment team activities
Provide administrative support to client teams and other members of the Advisory Services Group (ASG)
Act as a secondary contact for ASG clients, investment managers, and internal investment team staff. Collect, interpret, and organize information relating to all aspects of client portfolios
Maintain awareness of current investment themes and client interests
BA/BSc or equivalent required
Able to learn quickly and adapt to new challenges
Experience in Microsoft Office Suite, including Excel, Outlook, and
Experience with Adobe PDF
Preferred knowledge of basic finance principles

115

Junior Investment Operations Associate Resume Examples & Samples

Serve as the principal data contact for C|A relationships with investment managers located in Asia, Europe, and the Middle East
Cultivate a deep understanding of investment firms and their reporting practices in order to efficiently and effectively track the required data with the highest level of precision and accuracy
Proactively communicate with investment management firms to collect, extract, and enter investment data into our proprietary databases for internal analyses
Field data requests from internal staff with the highest degree of customer service and professionalism
Develop an understanding of the various C|A departments and facilitate communication between multiple relevant parties
Work on initiatives in coordination with colleagues from global offices to meet stakeholder needs and to improve MIG’s core functionalities
Serve stakeholder queries as a subject matter expert on fund intricacies and tracking methodologies
Consistently re-evaluate internal processes to detect inefficiencies and identify new best practices to help MIG evolve and succeed as a best-in-class organization
Perform additional duties and engage in projects as necessary in the evolution of the teams and department
Strong organizational and time management skills; ability to work on multiple projects/clients simultaneously while ensuring timeliness and accuracy
Strong attention to details and proficiency in reconciling data across multiple sources
Excellent communication skills, both verbal and written; ability to interact efficiently with a wide range of managers and colleagues across different cultures, time zones and geographic regions
Exceptional analytical and statistical skills
Ability to adopt a proactive, customer-service oriented approach at work
Ability to work independently and collectively as part of a team
Strong IT proficiency, particularly with MS Outlook and Excel
Bachelor’s degree (all majors are welcome)
1-2+ years of related work experience (preferred, but not required)

116

Manager, Investment Operations Systems Resume Examples & Samples

Provide senior technical leadership including being conversant with the future direction of IT and business trends and how that direction will impact the business
Provide accurate and relevant reporting information relating to the IT project portfolio to business stakeholders
Achieves budget objectives by scheduling expenditures, analyzing variances, initiating corrective actions on projects
Perform capacity planning, resource allocation and facilitate project prioritization across the business stakeholders,
Carries out supervisory/management responsibilities effectively in accordance with the organization’s policies and applicable laws
Assists IT support staff in their daily functions as required
Ensure products are managed through the full life cycle and adherent to compliance and information security guidelines
Ensure products meet the business requirements for business continuity and disaster recovery

117

Investment Operations Associate Resume Examples & Samples

Set up new assets and prices that enable trading and portfolio valuation
Support investment professionals through transaction processing and settlement
Review compliance on investment group buy and sell orders
Monitor cash movements to determine cash available for investments
Maintain the funds’ books and records as well as ensure calculation of the funds’ prices and distributions
Analyze portfolios and measure investment results
Analyze and improve end-to-end business processes that touch all parts of investment operations
Collect and provide information requested to support investment professionals and CG associates with research and market data services
Currently a senior standing in 4 year Bachelors program, or Masters of Accounting student
Cumulative GPA of 3.0 or above
Interest in pursuing a career in financial services
Demonstrated Leadership
Drive/Initiative
Strong Communication
Intellectually Curious
Adaptable/Agile Learner

118

Investment Operations Specialist Resume Examples & Samples

Has sound understanding on corporate structure, particularly around engagement and delivery mechanisms
Strong thinker on service approach that will drive positive revenue, productivity and experience outcomes
Demonstrated experience in driving service initiatives that improve revenue or reduce cost of poor quality
Exhibits strong interpersonal, influencing and negotiating skills used in motivating, influencing and advising senior stakeholders in the organisation
Demonstrated experience in working with senior management, and skilled in providing sound advice and recommendations
Able to conceive structure around execution and implementation, and apply an array of technical skills to deliver on set objectives

119

Investment Operations Extended Internship Spring Resume Examples & Samples

Candidates must be working toward a degree in Finance, Accounting, Economics or equivalent (with an interest in investments)
Applicants must have a minimum of 1 semester of schooling remaining post-internship in order to be considered for this role
The ideal candidate will be willing to take on new tasks and look for ways to improve processes or reporting effectiveness

120

Senior Investment Operations Associate Resume Examples & Samples

Proactively communicating issues to relevant business partners
Training new members within the unit
Some knowledge of Sarbanes-Oxley / Audit controls, a plus 　
Degree in Accounting, Economics, Finance or Business preferred
Prior experience accounting or custody operations

121

Finance & Investment Operations Intern Resume Examples & Samples

Daily Bloomberg or cash reconciliation
Security Master File verification
Daily Dynamo software upload and formatting
Daily unclassified Global and emerging market credit
Barclay’s POINT analytical software data verification/reconciliation
Cash desk custodian bank report downloads
Must have strong analytical skills with great attention to detail
Must be an independent thinker with strong communication skills
Must be driven to manage workload with limited direction or supervision
Microsoft Office Suite and Microsoft Excel functions
Familiarity with Bloomberg a plus
Finance, Accounting, Operations, Economics, International Business, or Decision Sciences

122

Senior Associate, Investment Operations Resume Examples & Samples

Manage operational relationships with clients, service providers, custodians, fund accountants and internal departments; ensure the delivery of high quality service
Oversee daily vendor reporting & ensure system applications remain in control of Dimensional business processes
Evaluate trade exceptions and complex shareholder issues; work with service provider to implement necessary operational improvements
Oversee change management service requests from internal stakeholders and determine appropriate action
Manage the development process for mapping, defining and documenting process flows; identify areas of improvement and oversee improvement efforts for both internal and external functions
Provide support to senior management and Legal during client contract negotiations and prospectus reviews
Support reconciliation of back or middle office invoices
May present operations model during onsite client due diligence visits
Manage special projects, initiatives and audits for Investment Operations and other groups on an ad hoc basis
May serve as lead in supervisor’s absence; responsible for reviewing and approving others’ work in certain cases
Bachelor’s degree; Finance, Business or Economics
Minimum of 5-7 years of relevant experience in middle office operations
Past experience with third party vendor management of back office or middle office functions
Project management skills, including systems integration of new technological platforms, re-engineering of business processes, end user systems application testing and integration, and issue tracking and resolution
In-depth knowledge of the Financial Services industry and mutual funds, including an in-depth understanding of custody, accounting, shareholder transaction processing and investment operations work flows
Proficient in the Microsoft Office suite

123

Investment Operations Resume Examples & Samples

Daily issuance of and response to margin calls for TBA, OTC, Repo and Prime Brokerage products, including the successful resolution of disputes
Resolve valuation/position differences and escalate internally/externally to resolve margin disputes in a timely manner
Confirm all post-settlement lifecycle payments including interest rate, credit and total return swaps with relevant counterparties for the global business
Build strong working relationships with internal partners including Portfolio Management, Risk & Quant Analysis, Prime Brokerage & Finance, Technology, Global Fund Services and Fund Administration, Cash Services and the Institutional Client Group
Contribute to continuously enhance the global operating model increasing efficiency and control within the team and global processing centers
Achieve threshold competence in Derivative Operations core competencies within period agreed with your manager
Candidates should 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 will be an advantage in this role
Candidates should be able to demonstrate participation in change management through project work or other process efficiencies
Experience in Derivative products, fund administration and securities lending would be an advantage
Possess a good understanding of the risks inherent in the corporate actions environment and demonstrate good discipline around control and escalation

124

Investment Operations MBA Intern Resume Examples & Samples

Current enrollment in an MBA program is required and a finance or mathematics emphasis is preferred
Previous related work or internship experience strongly preferred
Chartered Financial Analyst (CFA) or CFA candidate preferred
Strong analytical, problem-solving and effective communication skills are required
Candidates must be able to balance collaborative and independent work
Knowledge of Excel or similar PC software packages is required

125

Senior Associate, Investment Operations Resume Examples & Samples

Oversee daily operations with service providers, transfer agents, custodians, fund accountants and internal departments
Lead the investor onboarding process for new client accounts; provide product and onboarding support together with Legal, Financial Advisor & Institutional Sales teams
Evaluate trade exceptions and complex shareholder issues and track reoccurring trends for management review
Review daily back/mid office deliverables and analyze for root cause of exceptions; ensure remediation of root cause
Manage escalated issues from internal & external stakeholders; ensure timely development of operating controls
Support multi-service lines of business projects that streamline processes and procedures for internal / external back or middle office work flow; work with senior management to implement processes
Serve on organization-wide project committees, representing the Investment Operations perspective
Ad hoc duties such as provide support during client contract negotiations, facilitate updates of operating memorandums etc

126

Investment Operations Associate Resume Examples & Samples

You are a dynamic team member by collaborating daily with your colleagues and feeling comfortable in both support and lead roles
You manage a rigorous daily workflow while finding time to meet demanding deadlines on team projects
You are challenging the status quo by constantly reassessing current processes in search of improving risk attributes and gaining efficiencies
You have an eagerness to participate in the agility of the group through training and supporting the larger team
You find an opportunity in high leverage situations to take control and solution efficiently and effectively

127

Investment Operations Extended Internship Resume Examples & Samples

Excellent problem solving, analytical, organizational, and communication skills required
Candidates must possess strong computer skills including experience with MS Word and Excel. Must be able to work in fast-paced environment and be able to meet deadlines
Assertiveness and attention to detail are key to this area of our company

128

Senior Specialist, Investment Operations Resume Examples & Samples

Create asset and cash allocations according to instructions provided and the department procedures
Complete the building steps for all distributions proficiently, according to department procedure and in accordance with Service Level Agreements
Construct appropriate and professional communications to Line of Business, beneficiaries and/or clients as required by the procedures for the distribution. Communications may be oral or written and must reflect positively on Key
Process online cash transactions
Process cost adjustment requests submitted by the Line of Business
Provide excellent service to trust administrators/associates, clients and beneficiaries in completing all processes
Meet performance objectives for accuracy and timeliness in completing distributions
Research and distribute trailing income on all accounts according to timeliness objectives
Research and distribute tax refunds and class action proceeds on closed accounts according to timeliness objectives
Actively participate in department projects and efforts to increase efficiency and improve service
Contribute ideas for improvement appropriately
Participate in training of new employees or employees learning new functions
Assist team members as needed
Four year degree in Business or Finance OR equivalent work experience
Proven experience and success in a team environment
Excellent organizational skills. Ability to manage multiple priorities and prioritize
Ability to learn detailed processes quickly and function independently with limited supervision

129

Investment Operations Associate Resume Examples & Samples

Daily collection, dissemination and processing of corporate action events
Security Master File maintenance and Maintenance of STIFs
Review and distribute management reports
Research/analyze nightly pricing issues
Regular communication with various members of the Operations and Investment teams to ensure accurate responses to events
Accurate processing of events using our portfolio management system and various bank systems
Projects and ad hoc support to Operations team as necessary
BA/BS degree, preferably in Finance/Economics/Accounting
1-2 years related experience a plus
Knowledge of operations and/or investments a plus
Ability to learn multiple systems
Basic Bloomberg knowledge
Quantitative/ Analytical skills
Ability to work both as part of a team and independently

130

Investment Operations Analyst Resume Examples & Samples

Private Equity Accounting; Process flows of the Investment Pools $2 Billion Private Equity Portfolio. Notification of activity, cash movements, and valuations to our custodial bank. Tracking activity valuations and returns in third party software, Private i
Performance Reporting; Validation of, and reporting on, the monthly and periodic returns for the investment managers, asset classes, pools, groups, and benchmarks related to Partners’ investments
Affiliate Reporting; Validation of, and reporting on, the valuation of Partners’ investments, with respect to the ownership of the investments by Partners’ affiliates
Net Market Exposure Reporting; Reporting on Partners’ investments with respect to certain exposures, including market capitalization, industry sector, geography, etc. Administration of data warehouse, including: preparation/upload of monthly data files, setup of new portfolios and members, continuous learning to make best use of warehouse, etc
Liquidity and Rebalancing; Timely and accurate execution of inter-pool fund transfers. Provide pro forma cash allocation reporting based on expected funding
Annual Audit Support; Provide assistance to auditors, both internal and external, during periodic reviews of processes and investment pool balances and/or data
Invoice Processing; Provide validation and direct payment of invoices related to the investment pools. Calculate monthly expense accruals for State Street Custodial records
Interact with existing providers to refine and enhance use of services
Undergraduate degree (minimum)
Minimum experience: 3 years financial services, banking, or investments
Strong data handling skills, familiarity with database tools (e.g., MS Query, SQL, Access) a plus
Financial skills; educational and/or professional experience dealing with financial issues with an investment context, such as valuations, rates of return, and investment vehicles
Willingness and aptitude to learn a range of technologies: Advent Tamale, Adobe Acrobat Pro, Pertrac, Private_i, various analytics and risk management tools
Prior experience in an investment office a plus
Strong quantitative skills
Excellent MS Excel skills, understanding of statistics
Interpersonal skills to successfully interact with other groups within and outside PHS
Ability to handle multiple tasks with accuracy and attention to detail
Unquestionable ethical standards
Teamwork orientation

131

Senior Investment Operations Associate Resume Examples & Samples

Act as the client’s day-to-day Client contact (COLI /Split dollar only clients), fielding questions and requests
Client point of contact for complex executive benefit plans
Will act as the main lead for the rest of the department in absence of the team leader and or department head
Manage administration of corporate owned life insurance (COLI) plans on a proprietary database
Extremely proficient in asset reallocation administration, implementation and execution
Asset Value Reporting (AVR) proficiency. From carrier extraction, auditing and formatting of reports
Administers the overall functions of the premium-crediting program, including preparation of the premium listing, following up as necessary to ensure monies have been received, and credited. Reconciles and updates weekly records of premiums paid
Monitors 7-pays and MECs with each premium payment. Performs general analysis to determine if and when 7-pay capacity will run out
Able to create and update all versions of the surrender analyses. From COLI data extraction to working with other teams on retrieving the correct values from the liability side
Creating asset/liability templates for delivery
Provide exceptional customer service to internal and external customers via phone, mail and electronic media
Respond proactively to ad hoc requests from clients and management
Minimum of one year of experience in financial services
Basic financial acumen with. strong math skills.　
Undergraduate degree in related field and/or relevant experience.　
Knowledge of qualified or non-qualified benefit plan administration, life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred.　
Knowledge of Excel spreadsheet database and Microsoft Word.　
Ability to manage and prioritize projects and take an active role in problem solving/decision making.　
Utilizes reasoning ability to define problems, collect data, establish facts and draw conclusions.

132

Director Trade Operations & Investment Operations Resume Examples & Samples

Ensure counterparty alignment with BlackRock global operations footprint and process
Participate in regional and global initiatives
Lead counterparty strategic meetings
Communicate with global team managers and facilitate the global team structure
Ensure robust Business Continuity Plans are in place and kept up to date as part of strategic implementations
Ensure Trade Operations operate to the highest standards of risk mitigation
Keep pace with industry initiatives and ensure BlackRock developments are in line
Maintain threshold competence in Trade Operations core competencies
Achieve and maintain understanding of all financial instruments
Participate in Blackrock annual review process and draft goals/objectives for your development in conjunction with your Manager
Significant experience in managing and leading Investment Operations or middle office teams in a global or cross regional capacity
Demonstrable experience developing and leading high performing teams

133

Investment Operations Specialist Resume Examples & Samples

Provide reconciliation support for investment teams
Collaborate with fellow colleagues to ensure all daily Equity functions are completed concisely each business day
Execute trades for sponsors on various trading systems within the SMA program

134

O&t-investment Operations Assistant Resume Examples & Samples

Familiar with the system logic & all other processing systems (Eclipse, DE, application software, etc.)
Knowledge of the Mutual Fund/Insurance/Securities operations/industry
With common sense and sense in operation control
Decision Making/Problem Solving to all exceptional matters
Able to cope with ever changing product offering and system enhancement
Accurate and fast input on figures
Clear communication
Computer literacy (Word, Excel, PowerPoint, Access, etc.)

135

Retirement & Investment Operations Specialist Resume Examples & Samples

Works with various annuity companies to process annuity trades through Fiserv system for customers or representatives
Runs all Fiserv reports relating to operations and reviews daily: Money Due Report, Unsecured Debit Balance Report, Insufficient Funds Report Money Line Report, and Wire Activity Report, etc
Reviews and processes Mutual Fund 529 plans for accuracy and ensuring paperwork is complete; processes 1035 exchanges and trustee-to-trustee transfers; processes letters to customers for maturing bonds; processes IRA paperwork, including bank transfers
Monitors Fiserv trades for possible “churning” violations; completes trade corrections
Performs all cashiering functions for BWIS; posts incoming checks and stock certificates to the Fiserv system, and sends stock certificates to Fiserv, etc
Receives and deposits all stock certificates; posts to customer accounts and monitors legal requirements until they are clear to sell
Assists with the reconciliation of the Fiserv deposit account with the Accounting Department
California Insurance License
One to two years of experience in financial services and/or broker/dealer
Experience in trading investments such as equities, mutual funds, annunities and insurance products
Knowledge of Fiserv system preferred
Bank product and service knowledge
Customer service skills

136

Manager Investment Operations Resume Examples & Samples

Manage Custodial Relationship
Coordinate with legal counsel related to the review / completion of investment contracts
Manage the accounting of invested funds
Manage, review and analyze the monthly investment manager report process
Manage Annual Audit process
Develop and manage transition / re-balancing activities
Manage annual investment income budget process
Provide operational support on investment issues for the Director of Investments

137

Intern, Investment Operations, Derivatives Resume Examples & Samples

Day to day management and oversight of the position and cash reconciliation process
Support the Investment Division Derivative portfolio Management Teams in the oversight of Investment processes and data validation. Act as primary contact for day to day activities. This includes analyzing data received from internal systems/clients as well as custodian and data vendors
Work with internal developers on database transitions and data sources verification (accuracy/mapping etc.)
Reconciliations- Conduct timely reconciliations on daily cash and NAV positions. Reconcile portfolio holdings between custodian banks, internal trading systems and 3 rd party vendors
Relationship Management- Regular contact with vendors and other 3 rd party agents to ensure timely reporting of trade information and payments and prompt resolution of any outstanding issues
Define, document, test and implement adequate and appropriate procedures and controls for all business support processes. This includes developing and implementing a workflow methodology adaptable for multiple business units across all of Russell offices (continuous process improvement). Ensure adequate controls and segregation of duties in place
Proficient in MS Office (specifically Excel, SQL/VBA)
Database skills / MS Access
Exposure to custody and investment accounting processes

138

Investment Operations Coordinator Resume Examples & Samples

Collaborate and correspond with clients, custodian banks, other operational areas, and internal parties
Execute data entry, customer communication, and recordkeeping tasks daily for the Investment Operations group
At least 1+ years of experience in the financial services industry
Knowledge of financial services operations including conversions, FX, equity and fixed income trading
Knowledge of multiple investment products and strategies for both the global and domestic markets

139

Prudential Fixed Income Global Cash Middle Office Investment Operations Associate Resume Examples & Samples

Assuming ownership for operational issues that are raised and providing resolution in a manner that considers the impact to other operational areas
Anticipating issues that may adversely affect the operational support of the funds and taking action to reduce the risk of occurrences
Cultivating both internal and external relationships to ensure proper service levels are achieved
Developing a deeper understanding of different products and markets and build relationships with our business partner to service our clients
Knowledge of fixed income products, investment strategies and derivatives through coursework and/or internships
Proficiency in MS Office applications, (Excel (pivot/macros), and Word) and ability to learn new applications
Must be organized, flexible, able to prioritize tasks and work in a deadline oriented environment

140

Senior Investment Operations Associate Resume Examples & Samples

New Business Expense Schedule Establishment and System Setup for Defined contribution (DC), Non Qualified (NQ), and Defined Benefit (DB) plans
Ongoing Expense Schedule Management and System Maintenance to incorporate
Changes submitted through Plan Modifications and/or other methods for DC, NQ, and DB plans
Ongoing production of invoices presenting fees to customers in accordance with expense schedules in an accurate and timely manner
New plan setups and existing plan changes in Commission or Billing systems. Setup and maintenance of client fees and broker/dealer commission arrangements
Support the administration of payment process for commissions, fees and client vendor payments
Creation and distribution of Broker/Dealer Commission Agreements, Client Fee/Expense Schedules and Investment Fee Schedules
Perform manual commission and fee calculations in Microsoft Excel/Access
Management of Billing/Commission inquiries
Leads moderately complex (limited number of internal work groups involved and/or degree of regulatory and technical scope) projects as assigned
Executes task activity on all projects as assigned
Subject matter expert as assigned for procedures and projects
Assists with development and maintenance of Standard Operating Procedures within the team
Collaborates with various internal value stream colleagues to maximize process performance and mitigate risk
Daily, weekly, monthly, semi-annual and annual general accounting function processing and reconciliation related to plan level administrative revenue
Monthly and annual financial reconciliation
Other responsibilities as needed
Bachelor's degree with an math or accounting emphasis or equivalent work experience required
Demonstrated proficiency in MS Word
Strong MS Excel skills; e.g. pivot tables, If statements, v-look-ups required. Ability to create a macro a plus
Intermediate MS Access skills; e.g. import & export data a plus
Experience in a detail focused transaction processing environment
Experience managing multiple priorities to meet internal and external commitments
Experience working collaboratively to accomplish team goals
Ability to work successfully in a dynamic work environment
Ability to effectively communicate with business partners
Ability to work additional/flexible hours as needed
Desire to learn and grow

141

Foreign Markets Information Investment Operations Representative Resume Examples & Samples

You will leverage your strong communication skills to build positive, constructive working relationships with senior level colleagues at Fidelity in the Treasurer’s Office, Compliance and on the Trading Desks as well as at the custodian banks
Your strong organizational skills will allow you to manage your workload and reprioritize as necessary to support the funds’ investment objectives
You will enjoy working in a team oriented, collaborative environment where communication and listening skills are an integral part of the team’s success

142

Manager, Data Design, Investment Operations Resume Examples & Samples

Manage process to map current and future data workflows from source systems to end users
Manage the execution effort to redesign data workflows and processes ensuring they are transparent, simplified, automated and well-controlled to improve efficiency and mitigate risk
Manage process to identify Critical Data Elements (CDEs)
Manage process to develop business requirements for data assets and associated tools
Manage process to develop prototypes and foundational requirements
Contribute to a strong partnership with Data Management & Delivery
Actively liaise with business partners to determine their requirements are identified and incorporated into tactical and strategic solutions
Manage process to create and maintain a central inventory of the Investment Division’s data assets
Manage process to deliver tactical responses to data-related business issues; monitor, report and own issue to resolution
Contribute to the development and execution of the division’s data strategy that enables the most effective use of the data assets
Support the successful implementation of the Global Optimization initiatives
Undergraduate degree in business, economics, or a quantitative discipline with asset management or financial services industry experience; CFA preferred
Previous experience in the management of data design programs
Previous experience in the management of large, firm-wide processes
Experience in translating between business and technology
Knowledge and experience with asset management systems and platforms such as trading/order management, portfolio accounting, client reporting, performance analytics and master data management
Highly analytical with strong consulting and problem solving abilities; tenacity to identify the root cause of problems is essential

143

Investment Operations Analyst, Physicals Resume Examples & Samples

Daily communications with internal and external parties to ensure timely settlement of trading activity. Prompt resolution of issues when they are identified
Create workflows and procedures for the team to effectively process the trading strategies and activities associated with the implementation and support of new business initiatives
Bachelor's degree in finance, economics, or business administration
Individual contributor and strong team player in a fast-paced environment with the ability to prioritize and complete multiple assignments under short deadlines

144

Director, Data Design, Investment Operations Resume Examples & Samples

Develop process to map current and future data workflows from source systems to end users
Develop process to redesign data workflows and processes to ensure they are transparent, simplified, automated and well-controlled to improve efficiency and mitigate risk
Develop process to identify Critical Data Elements (CDEs)
Lead process to develop business requirements for data assets and associated tools
Lead process to develop prototypes and foundational requirements
Liaise with business partners to ensure their requirements are identified and incorporated into tactical and strategic solutions
Create and maintain a central inventory of the Investment Division’s data assets
Develop and document Business Glossaries and metrics for relevant data domains in close collaboration with Data Governance and Quality functions
Deliver tactical response to data-related business issues; monitor, report and own issue to resolution
Ensure data is available, reliable, consistent, accessible, secure, and timely to support the mission and activities of the division
Collaborate with all groups within the Chief Data Office to ensure alignment across data functions and on target delivery of the group’s goals
Minimum of 7 years of relevant business experience
Previous experience with the development and implementation of data design programs
Previous experience in the development and implementation of large, firm-wide processes
Constructive challenge and influencing skills
Champion of change and effectively managing the implementation of new ideas / improvements
Confident when dealing with investment professionals, senior management and other stakeholders
Proficient in Word, Excel, Visio and PowerPoint

145

Senior Investment Operations Analyst Resume Examples & Samples

Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies
Trade confirmation and settlement support for International Equity, Fixed Income, and Derivative securities
Perform a review of daily cash balances and investigate any discrepancies
Liaise between Brokers and Custodian banks to support trade settlements
Assist with implementing industry initiatives as well as internal efficiencies and improvements
Will have experience with corporate actions, new fund launches, international trading markets, position and cash reconciliations

146

Assistant Financial Director Investment Operations Resume Examples & Samples

Works with the Finance Administrator to be the primary resource for all finance-related detailed functions for Finance Division departments
Designs process and leads monthly performance analysis activities for shared services divisions
Works with associated executive management to investigate variances and track performance to plan
Develops and tracks course-correcting action plans
Designs and oversees maintenance of financial planning reports, charts and presentations related to shared services areas
Identifies need for and provides training to close competency and quality gaps in performance
Minimum of six years of experience in business management, strategic initiatives, operational and capital budgeting processes, financial analysis and reporting
Healthcare experience preferred, including a minimum of two year of supervisory and/or project management experience preferred

147

Financial Analyst Investment Operations Resume Examples & Samples

Support Investment Staff in the establishment and management of public/private investments across multiple asset classes
Liaise between internal and external parties (including banks, administrators, and external managers)
Process investment activity including account maintenance, cash/asset transfers and instructions to custodian bank/administrator
Assist in the vendor management of external service providers
Support and maintain internal/external metrics to help monitor operational activities
Recommend and lead process improvement projects and identify industry best practices
Lead or contribute to projects/initiatives that support the goals of GMAM and GM
Learn and maintain 3rd Party applications to produce reports as requested
Undergraduate degree preferably in Finance or Accounting (R); MBA, CFA (P)
3-5 years related business experience (R)
High level of integrity (R)
Customer focus with attention to detail (R)
Strong analytical skills (R)
Superior written/verbal communication skills (R)
Comfortable working and leading in fast-paced, ambiguous situations (R)
Strong organizational skills and ability to work independently with minimal guidance/ supervision (R)
Demonstrate ability to identify/implement efficiency and process improvements (R)
Ability to prioritize responsibilities and manage time effectively (R)
Exhibit leadership and teamwork qualities (R)
Skilled in Microsoft Office products and using technology (R)

148

Investment Operations Technician Resume Examples & Samples

Two or more years of experience in investment operations activities
Ability to operate various types of office equipment
Good data entry skills

149

Investment Operations Associate Resume Examples & Samples

Complete and provide peer reviews of subscription, redemption, and transfer documentation, track share class information, and monitor manager liquidity provisions on behalf of clients
Utilize CA specific applications for transactions and liquidity tracking purposes
Coordinate asset transfer between clients, custodians, and investment managers
Proactively support client team objectives through communication with third-party service providers
Maintain account records and correspondence for assigned clients
Prepare Liquidity and Audit Support reports
Utilise internal CA resources to support investment team activities
Collect, interpret, and organise relevant information relating to client portfolios
2-3 years of related work experience (preferred, but not required)
Strong analytical and organisational abilities
All candidates must be eligible to work in the United Kingdom without sponsorship or restriction

150

Investment Operations Associate Resume Examples & Samples

Calculation of fees related to Investment management services and administration
Collection of fees via Direct Bill or asset deduction
ORACLE accounting entries and ledger revenue reconciliations
External and Internal audit review and support
Ledger close reconciliations and signoff monthly and quarterly
Bachelor’s degree in Economics, Finance, Accounting or Business related preferred

151

Analyst Investment Operations Resume Examples & Samples

B Comm/ NQF4
At least 5 years business analysis experience
Documentation of business requirements and functional specifications
Problem solving and analysis skills
Ability to challenge the status quo and drive beneficial change

152

Investment Operations Resume Examples & Samples

Scope of responsibilities includes oversight of derivative servicing activity; i.e. OTC Collateral Management and Synthetic Payment Middle Office
Manage regional staff of approximately 3-5 individuals as well as accountablity for functional collaboration across global teams
Participate & help drive the design and implementation of the Bilateral Collateral & CFD/Synthetic Payment model of BlackRock’s Aladdin platform
Support and implement platform changes resulting from regulatory rule changes
Collaborate with key constituents, internally and externally, to ensure a globally consistent and tightly controlled environment
Institute effective monitoring and controls to mitigate risk
Support client visits and design processes that maximise service levels
Candidates should have experience managing small teams and providing daily oversight and control within operations
In addition to a solid background in International Derivative Operations, a strong display of leadership skills will be an advantage in this role
Candidates should be able to demonstrate experience effecting and managing change across a large organization
Experience in Derivative products, Collateral Management, Periodic Swap Resets, Fund Administration or Securities Lending preferred

153

Investment Operations Associate Resume Examples & Samples

Minimum 3.0 GPA　
Degree in Finance, Economics or Business is preferred　
Ability to organize and prioritize tasks and work in a deadline oriented environment　
Ability to learn and adapt to database and client server applications and reporting tools.

154

Investment Operations Associate Resume Examples & Samples

Perform standard office duties, such as mailings, file preparation and organization, and other administrative duties as needed
Interact with Loan Officers and Underwriters in connection with loan closings
Perform loan database functions in connection to the loan closing process
Assist Closers in collection of loan closing materials from borrower team in preparation for loan closing packages
Establish due diligence checklists and forms
Coordinate calendar for loan closings and arrange travel logistics for Closing team members
Upload required documentation into loan database
Assist in the assembly, copying and distribution of loan closing material
Provide Lender Counsel with requested documentation
Ability to work independently in a fast paced environment
Ability to multitask on several transactions at once
Strong office administrative skills
Familiarity with MS Office applications, such as Excel, Word, and Power Point and the ability to learn new applications
Ability to work overtime when necessary
Relevant work experience in the mortgage business preferred

155

Grp Mgr Investment Operations Resume Examples & Samples

Proven leadership skills and presence previously demonstrated in work experiences
Bachelors degree in Finance or Business Administration; MBA preferred
10+ years experience in Securities operations; in addition, knowledge of regulatory requirements and framework in the securities industry
5 – 7 years experience in leadership role over multiple areas of Securities operations
Series 7 licensed preferred
In-depth knowledge of risk management oversight and controls
Demonstrated ability to work effectively in matrix reporting/support environment to drive optimum results; this position must effectively partner, influence and negotiate with various line of business partners, technology, compliance and external regulators
Demonstrated ability to effective lead, manage and execute multiple business priorities, goals and objectives simultaneously
Demonstrated ability to direct an organization through internal strategic changes, revenue optimization initiatives, expense control initiatives and a significant compliance landscape while maintaining or enhancing daily service commitments
Demonstrated ability to directly interface with high net worth external clients for retention and opportunity
Demonstrated ability to hire, develop and retain a high performing, engaged, client-focused team
Proven leadership establishing an operating environment of continuous improvement for optimized service quality and/or cost
Active industry participation (SIFMA, ABA, Roundtables)

156

Investment Operations Analyst Resume Examples & Samples

High degree of accuracy, strong attention to detail, and efficient execution of tasks
Robust organizational abilities, including detailed project management and precise documentation
Familiarity with a variety of investment types (public and private) and knowledge of GAAP
Proficiency in business applications, such as Microsoft Office suite, especially Excel spreadsheets
Strong communication skills, including ability to prepare materials which clearly and effectively communicate information to internal and external audiences and client groups
Ability to work independently with minimal supervision and proactively contribute to a multi-functional team

157

Asset Management Gim-investment Operations Oversight Specialised Fund Support Associate Resume Examples & Samples

Providing operational support for Exchange Traded Funds, Beta products and Prime Brokerage, across a number of different strategies and account models
Support creation/redemption (primary market) activity for ETFs
Oversight of the Middle Office operations relationship and day to day interactions
Working on a proactive basis to ensure the Portfolio Managers accounts are accurate, seeking to minimize tracking error
Resolving queries received from Portfolio Managers, Fund Accountants, Risk, CIB, and other core areas of JPMAM, as well as those from External Stakeholders in a timely manner
Management and maintenance of a number of key third party relationships
Efficiently manage any new projects (i.e. maintaining quality control of end to end operating model) and/or new mandates – including project timelines, communications to management, identifying risks and issues, project plans and testing
We are looking for an Associate team member with a proactive, problem-solving nature, who has a strong desire to learn and relishes a challenge, whilst digging out the detail. The successful candidate will be a self-starter with the ability to take initiative when investigating and resolving issues
At least 5 years in an Asset Management Middle Office
Strong understanding of ETFs and Index Tracking products
Good understanding of Asset Management Operations or similar
Corporate Action knowledge desired
Previous experience with Prime Brokerage advantageous
Ability to understand and solution new ideas
The ability to multitask and prioritize workload against daily and weekly deadlines
Ability to understand and solution problems
Understanding of Fund accounting and Investment accounting beneficial
Results focused with a strong emphasis on delivery quality
Competent in excel and system implementation
Excellent interpersonal skills with the ability to negotiate & influence as well as build and maintain relationships at all levels of the organization

158

GPO Treasury / Investment Operations Resume Examples & Samples

Bachelor degree in Finance / Accounting
Post graduate studies in Finance/ Management / Capital Markets
Minimum 5 - 10 years of practical experience in treasury operations thereof 3+ years in a senior treasury operations role
Advanced understanding of market operating processes in the area of Treasury Operations
Excellent communication skills both orally and written in English
Client-focused
Project management experience in the area of Investment Operations
Advanced knowledge of traditional and non-traditional financial treasury instruments and markets, including but not limited to Cash/Money Market payments, Foreign Exchange contracts, Derivatives and Fixed Interest Instruments
Extensive understanding of electronic derivative confirmation matching & portfolio reconciliations processes
Excellent communication, analytical and interpersonal skills
Advanced working knowledge on MS-Office products (especially MS Excel). Advanced knowledge and experience with Open Link, Mammut, SAP FSCM, Bloomberg/ Reuters is an advantage
Knowledge of treasury and Capital market industry infrastructure including SWIFT, Euroclear, Clearstream
Strong leadership and people management skills
High level of financial literacy
Detailed understanding of financial products
Working at all times in accordance with procedures, group/company policy, processes and controls e.g. the Internal Control Framework

159

Investment Operations Analyst Resume Examples & Samples

Daily and monthly reconciliation of investment portfolios with custodian banks
Solid understanding on methodologies of calculating performance returns
Good experience of performance measurement and analysis tasks
Client reporting experience within Private Client environment
Previous investment operations experience within aBack Office or Middle Office within a Wealth Manager or Asset Management Firm
Previous trade support and experience in SSI’s and SWIFT
Strong knowledge of a range of asset classes, such as Equity, Fixed Income, Collectives and Derivatives
Investment life cycle knowledge
Proven ability to meet strict periodic deliverables
Proficiency with Microsoft Office suite, with advanced working knowledge of Excel
Completed or progressing towards professional level qualifications with CISI, CFA or other relevant body

160

Senior Specialist, Investment Operations Resume Examples & Samples

Demonstrate an understanding of basic and complex account coding requirements for fees on the Global Plus system. Interpret account set up instructions to ensure appropriate approval for non-standard fees. Understand possible variations and exceptions to coding based on various account types and non-standard fee schedules
Process a variety of fees such as special, miscellaneous, distributions, final and closing fees, as well as reversals and reimbursements
Document processes to written procedures and guidelines
Meet performance objectives for accuracy and timeliness in account coding, fee processing and auditing
Construct appropriate and professional communications to trust officer, client managers and/or clients as required by established procedures. Communications may be oral or written and must reflect positively on Key
Contribute ideas for improvement appropriately and participate in department initiatives
Demonstrate superior customer service skills
Four year degree in Business or Finance or equivalent work experience
Knowledge of Global Plus and Global Office systems preferred

161

Investment Operations Analyst Resume Examples & Samples

Responsible for correct daily processing, posting and clearing of securities transactions, and income payments
Responsible for timely month end closing activities
Periodic reconciliation of securities holdings and cash account holdings
Provide regular support as a subject matter expert and business analyst to projects, internal initiatives and country-specific customer demands by providing know-how and expertise covering operations processing
Help resolving operational day-to-day problems identified by the operations department or referred from other functional areas, ensuring an efficient and high-quality service, including the management of issues according to the Group Incident Management Policy
Support the provision of key performance targets and Key Performance Indicators (KPI) in order to optimize business performance in line with set objectives around automation
Bachelor’s degree (or equivalent) in Accounting, Business Administration, Finance, or relevant topic, combined with 2 or more years of experience in a related field
A Master’s degree in a related topic is preferred, and/ or having obtained a CFA certification is preferred
Experience of working internationally across different cultures with cross- functional teams
Excellent written and oral English is mandatory

162

Senior Investment Operations Analyst Resume Examples & Samples

Act as the primary contact for Investment Operations across various clients in Asia Pacific, including new initiatives, product on boarding, and client interaction
Ensure timely settlement of trading activity, and prompt resolution of issues when they are identified
Leverage internal resources and explore external solutions to increase Russell’s straight through processing rate, and reduce fail rate
Define, document, test and implement adequate and appropriate procedures and controls for all business support processes; includes developing and implementing workflows adaptable across all of the Russell offices
Independently improve existing operational processes and procedures to reduce risk and increase efficiency; ensure adequate controls and segregation of duties in place
Challenge embedded assumptions and seek a better client deliverable through greater efficiency
Bachelor's degree in finance, economics, or business administration. Progress towards a CFA, MBA, or MSF is a plus but not required
Minimum two years of experience in the asset management industry
Candidates must be able to solve problems independently, and advocate for the implementation of solutions to a larger audience
Must be a subject matter expert in middle office operations
Willingness and flexibility to work non-standard schedules associated with providing investment operations support across global markets and specifically the Asia Pacific time zone

163

Senior Investment Operations Analyst Resume Examples & Samples

Own all monthly and quarterly reporting to the family on investment performance for all asset classes - hedge funds, private credit funds, private equity funds, real estate funds and direct investments
Ensures accuracy, completeness and timeliness of investment-related information entered into portfolio management and accounting systems, including capital calls and distributions
Responsible for ongoing cash management of investment accounts, including daily cash review, initiation of wires to support investment transactions, account reconciliations and preparation of weekly cash management reports and monthly capital call/distribution reports
Model/project investment cash flows and valuations to determine family members' capital allocations
Continuously improve our reporting processes through automation and workflow improvement projects
Manage incoming communication from investment managers/GPs and log items for further processing
Review and process investment fund/investment manager financial statements and valuation information
Manage investment manager returns database, including data upload, analysis, and reports

164

Accounting Specialist, Investment Operations Resume Examples & Samples

Bachelor degree in Finance or Accounting with a minimum of five (5) years of experience
CGA,CMA,CA, CPA designation
Strong knowledge of information systems and Microsoft Office suite
Bilingual, French and English, written and spoken
Ability to work effectively as part of a team and individually
Demonstrate initiative and take responsibility
Detailed oriented with a high level of accuracy
Ability to react quickly, adapt to changes and meet tight deadlines
Experience in fund accounting or investment administration, an asset
Knowledge of and experience with securities instruments/settlement, foreign exchange, reconciliation, investment accounting and Fund reporting, an asset

165

Investment Operations Specialist Resume Examples & Samples

Advanced knowledge of the investment operations within the assigned area
Thorough knowledge of the computer applications used in the assigned area
Strong customer service and relations skills

166

Investment Operations Associate Resume Examples & Samples

Work closely with counterparties, foreign and domestic, and custodians to prevent and resolve failed trades
Facilitate the initial trading setup of accounts with brokers and custodians
Validate trade details with counterparties
Communicate trade allocations to brokers and custodians
Learn, build, and maintain trade-specific technology, including internal and 3rd party applications such as TradeSuite, Oasys, and Alert
Reconcile trade activity to ensure all trades are accurately allocated and confirmed
Seek out opportunities to improve efficiency and accuracy and leverage technology to streamline trading processes
Two plus (2+) years' of experience performing settlement functions for fixed income with a buy-side asset manager or custodial bank
Functional understanding of MBS securities settlements and related processes including TBA Pair Offs, Net Settlements, Cancel and Rebills, SPO and CTAS adjustments
Experience settling FX spot and currency forward transactions
Exceptional analytical thinking, attention to detail, and a high level of reliability
Strong investigative and quantitative problem solving skills
Ability to communicate effectively with all levels of the organization and work efficiently in high-pressure situations while meeting deadlines throughout the trading day/settlement cycle
Robust computer skills, including proficiency in Microsoft Excel and Word
Familiarity with Bloomberg, TradeSuite, Alert, Oasys, MS Office desirable
Bachelor’s degree in Accounting, Finance, Economics or related field preferred

167

Investment Operations Analyst Resume Examples & Samples

Assisting Portfolio Managers/Traders with the implementation of Russell fund overlay trading strategies. This includes analyzing data received from internal systems/clients/custodian/data vendors, setting up client portfolios in our internal systems, creating client reports and conducting beta testing
Reconciling portfolio holdings between custodian banks, internal trading system(s) and brokers, as well as tracking intra-day cash
Preparing and designating equity and fixed income derivative funds for trading in US/Asia/Europe markets
Calculating and communicating cash equitization levels to traders and PMs to ensure compliance (all funds)
Utilizing a working knowledge of OTC products (futures, swaps, options, initial/variation margin) and the implications they have on funds
Completing ad hoc Portfolio Manager and client requests
Maintaining documentation and innovating operational processes and procedures to reduce risk and increase efficiency in the daily trading process for Investment Division clients
Integrating new best practices/implementing new approaches to processing trades (Bloomberg/other platforms where necessary)
Strong knowledge of derivative contracts
Advanced knowledge of SQL and VBA code

168

Investment Operations Analyst Resume Examples & Samples

Bachelor's degree, or equivalent, in accounting, finance, economics or business required
Prefer candidates who are actively pursuing their MBA, CFA, etc
Demonstrate understanding of investment asset types such as Fixed Income instruments, Derivative Instruments and Equities
Experience with industry tools such as Bloomberg, Aladdin, Charles River, Eagle, Markit EDM/Cadis, FX All, Factset, Vermillion, AcadiaSoft and/or similar tools
Strong analytical skills and the ability to apply those to systems (such as SQL, Visual Basic, strong Excel)
Sr. Investment Operations Analyst: A minimum of 3-4 years' work experience with a registered investment advisor, institutional asset manager and/or mutual fund operations or related field
Investment Operations Lead Analyst: A minimum of 7+ years' work experience with a registered investment advisor, institutional asset manager and/or mutual fund operations or related field

169

Investment Operations Associate Co-op Resume Examples & Samples

2nd or 3rd year co-op preferred
High level of personal accountability and attention to detail
Ability to successfully manage and complete multiple responsibilities simultaneously
Curious and desire to learn, self-starter
Knowledge of investments
Interest in the capital markets
Strong analytical and very strong quantitative skills
Ability to work well on a team and to manage workload within a team
Experience with Excel and Word
Build a network of fellow students on coop/internship assignments
Given the opportunity to volunteer and give back to the community
Attend events on a monthly basis with guest speakers from various departments within our organization to further develop your skills as a professional
Learn about our culture and core values

170

Investment Operations & Platform Control Manager Resume Examples & Samples

Manage the Manager Control Assessment (MCA) Testing for the NAM Operations Team
Manage system access entitlements to the CPB/CGMI Broker-Dealer and RIA Platform
Manage the Vendor Oversight Process for Pershing LLC and related BAU activity interfacing with internal partners to manage issues and related escalations
Compile monthly and quarterly results for Senior Management
Work closely with partners in the CPB COO Office, Front Office, Business Risk, Compliance, and Legal to ensure alignment to compliance guidelines, business objectives, and internal performance benchmarks

171

Retail Investment Operations Intern Resume Examples & Samples

Working with other appropriate departments, participate in the analysis and interpretation of operational data and trends
Provide analytical support to interdepartmental initiatives
Work with multiple business areas to, create workflows, test and implement operational system enhancements that support the strategic goals
Assist in communication, training and field meeting coordination to support implementation and marking of items that support our strategies
Completion of Sophomore or Junior year of undergraduate program with a Finance, Investments or similar concentration
Experience working with Excel spreadsheets, workflow software (Visio) a plus but not needed, we will train
Strong analytical, problem solving and decision making skills with competencies in finance and accounting
High degree of personal initiative, demonstrated ability to work independently, excellent follow-through ability and sense of personal accountability
Strong written and oral communication skills and the ability to deal effectively and professionally with people at all levels of Northwestern Mutual
Demonstrate proficiency and interest in investments and investment analysis
Strong Excel, Word and PowerPoint skills

172

Investment Operations Resume Examples & Samples

Ensure that key processes are operating as expected, and issues are identified and resolved in a timely manner. Some examples of processes are
Data analytics, data mining, and data manipulation knowledge
Strong Interpersonal skills working within a team and more broadly within a department
Advanced proficiency in Microsoft Office products, specifically Excel
Familiarity with relational database structures
A working understanding of operational risk a plus
Must have knowledge of the investment industry, accounting or related fields with a solid understanding of basic investment security characteristics
Experience working in the Middle and/or back office Operations is expected
Applicable college degree or college degree with very closely aligned work experience required
Experience with portfolio management software such as Charles River IMS, is a plus
Experience with Business Intelligence tools, such as Crystal Reports & Tableau, is a plus
Experience in writing and understanding SQL queries, is a plus

173

Investment Operations Specialist Resume Examples & Samples

Bachelor's degree, or equivalent, in accounting, finance, economics or business required, plus a minimum of 1-2 years' work experience in investment/mutual fund operations or related field preferred
Knowledge of financial services and investment related terminology preferred
Good analytical, problem solving, interpersonal, time management and communication skills required

174

Senior Investment Operations Controls Analyst Resume Examples & Samples

Perform independent monitoring and testing of internal control within the functional operational teams, provide suggestions to improve any weaknesses loopholes to enhance the control framework, recommend changes to processes & procedures and follow-up to ensure all corrective actions are implemented completely
Recommend enhanced controls and risk mitigates for the division
Lead projects to deliver improved processes and controls as requested by the business
Help to improve the controls environment across the business, including Financial and non-Financial activities
Engage with independent parties to facilitate support and independent testing of key controls
Work closely with Internal Audit, external auditors and other risk professionals
Develop strong relationships with key business stakeholders to help develop a thorough understanding of the Business's risk profile and core processes and controls
Participate in due diligence and integration activities as requested
Coordinate with functional heads to prepare responds to external audit finding with regards to the company operations
Prepare the annual deficiency analysis for risk and materiality assessments
Carry out ad-hoc control reviews and fraud investigation, if being requested by the CEO
Undergraduate degree (Finance, Accounting or Economics preferred) and minimum 8 years’ relevant experience in financial services or equivalent experience with minimum 3 years of people management experience
Solid knowledge of securities instruments/settlements, banking process and modern securities reconciliation practices
Clear understanding of Control Frameworks and methodologies
Proven planning and project management skills
An appreciation of the importance of delivering quality service with an emphasis on process improvement
Proven experience influencing and working collaboratively with both clients and vendors
Ability to work in a fast-paced environment, to meet tight deadlines, allocates time efficiently, and handles multiple demands
Strong analytical, problem solving skills with the ability to research issues where the solution is not readily apparent
Good team player with the ability to build relationships across multiple levels and investment/corporate business units
Ability to influence and drive people
Ability to set priorities and provide direction in ambiguous situations

175

Senior Analyst, Investment Operations Resume Examples & Samples

Help to ensure a controlled work environment through the understanding, execution and improvement of desktop operating procedures
Works effectively both as a team member as well as an independent self-motivated individual
Share knowledge with, cross-train and coach entry level employees
With limited management assistance, work to implement process flow and operational and control improvements
Act as a liaison with client service teams to drive issue resolution
Responsible for increasing knowledge and understanding of client?s business and financial markets
Understand client Service Level Agreements (SLAs) that are directly related to job function(s)
Develop effective working relationships with key partners internal and external to the organization
Engage other Partners as appropriate to solve client inquiries and issues
Organizational skills necessary to create task lists, prioritize work efforts and multi-task
Able to facilitate collaborative discussions while driving consensus and action
Works with a sense of urgency

176

Senior Associate, Investment Operations Resume Examples & Samples

Ability to explain life policy illustrations to plan participants
Develop, coach, mentor and work directly with staff members
Participate and lead in company, department, team and individual goals along with special projects and task forces
Suggest and promote improvement of department processes, procedures and work product
Will need to understand life policy illustrations. As well as run illustrations to accommodate different scenarios/client needs
Administers the overall functions of the premium-crediting program, including preparation of the premium listing, following up as necessary to ensure monies have been received, and credited
Reconciles and updates weekly records of premiums paid
Monitors 7-pays and MECs with each premium payment
Performs general analysis to determine if and when 7-pay capacity will run out
Ensure compliance with plan rules and regulations
Basic financial acumen with. strong math skills　
Undergraduate degree in related field and/or relevant experience　
Knowledge of qualified or non-qualified benefit plan administration, life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred　
Ability to anticipate needs and take effective action　
Knowledge of Excel spreadsheet database and Microsoft Word　
Ability to manage and prioritize projects and take an active role in problem solving/decision making　
Ability to meet deadlines and work both independently and as a team member　
Excellent verbal and written communication skills

177

Investment Operations Specialist Resume Examples & Samples

Provide functional support to portfolio managers, traders, and portfolio administrators for Eaton Vance’s portfolio and order management systems
Assist with daily activities related to account set-up, maintenance, and portfolio reconciliation
Provide required operational support to traders, portfolio managers, and marketing teams

178

Pgim Fixed Income Global Cash Middle Office Investment Operations Associate Resume Examples & Samples

Developing an in depth understanding of fixed income products in order to increase service levels
Assisting with writing operational policies and procedures
Business related degree preferred but all majors considered. (minimum GPA of 3.2)

179

Investment Operations Manager Resume Examples & Samples

Responsible for production of designated regular investment reports, including fund performance summaries and risk level analyses
Responsible for supporting the development of MI on a regular basis including the cash flows in/out of all funds and AUA on the investment proposition platform
Responsible for taking the lead on the operational aspects of revising the funds on the platform
Responsible for managing enquiries from internal and external parties on investment funds in a timely and efficient manner
Responsible for performing UAT where there is any system enhancement relating to the investment fund platform
Responsible for producing regular review and ad-hoc analysis of the existing investment proposition
Responsible for maintaining effective ongoing communication with designated fund houses
Responsible for production and maintenance of all fund information in marketing materials, ensuring that the information is up to date, accurate and complies with all regulatory requirements
Linking with other teams involved in Investment Operations and providing expertise and support on matters relating to the investment platform
Provide backup support during absence of team members
Assist in ad-hoc projects/tasks as assigned

180

Analyst, Investment Operations Resume Examples & Samples

Gathering, analyzing, and reporting investment data; including creating new reports
Maintaining accuracy and integrity of various applications, systems, and databases
Reconciling information from various sources
Modeling of various securities or other information
Monitoring portfolio compliance and trade settlement processes
Performing month-end closing processes
Researching and resolving complex issues related to security transactions or processes
Producing ad-hoc reports using information from various sources
Independently resolving basic problems and resolving complex problems with guidance from others
Developing in-depth knowledge of policies and procedures within assigned area
Participating in the development and implementation of investment strategies and tactics
Maintaining and fostering effective relationships, both within and outside of the company, with senior leaders, portfolio managers, traders, research analysts, and Wall Street
Maintain pipeline database as it relates to deal flow and portfolio
Generate tickets to affect deal closing
Coordinate all phases of documenting and funding deal transactions
Maintain procedure manual

181

Investment Operations Analyst Resume Examples & Samples

Conduct trade reviews, trade matching and ensures communication to custodian banks, front office and brokerage community to ensure trade accuracy
Execute trade confirmations
Ensure integrity of Trading System (reconciliation and trade evaluation)
Maintain trade detail reference tools
Create operational workflows and create business requirements documents. This will include such tasks as system gap analysis, defining system requirements, identifying issues and recommending solutions
Maintain project plans and ensures that delivery meets target deadlines
3 - 5 years’ relevant industry experience preferred
Strong data gathering, interviewing, analytical/problem solving skills
Experience in drafting process flow diagrams
Proficiency in SQL and MS Access
Proficiency in VBA coding language to maintain and write macros

182

Investment Operations Manager Resume Examples & Samples

Graduate in any finance or business management discipline
Investment Management Certificate (IMC) qualification or equivalent
Strong technical knowledge of Investment Operations, Trade Implementation or related business functions
Previous line management experience essential
Numerate individual with strong analytical skills
Advanced Excel and PowerPoint user
Familiarity with reviewing and tracking budgets and variances
Excellent communicator across all functions and levels, both internally and externally
Strong planning, prioritisation, problem solving and organisational skills

183

Assistant Financial Director Investment Operations Resume Examples & Samples

Designs and manages databases to support the investment office of about $9 billion of assets under management
Ensures efficient data flows between various investment management systems including but not limited to custodian systems, Dynamo, eVestment, Tableau and Bloomberg
Provides complex data analysis and displays analytical outputs visually through charts and other graphics to convey messages effectively
Works as part of the Operations, Risks & Performance team and Investment teams to help oversee portfolio management and implementation
Assists in the development, maintenance, and enhancement of proprietary financial models and processes as part of the asset analytics platform used to analyze portfolio
Independently utilizes asset modeling software to model and understand the risks embedded in our portfolios
Designs and performs cash flow simulations using different scenarios (e.g., private equity cash flow modelling, interest rate changes)
Assists in creating the infrastructure to support asset modeling that better reflect the risk characteristics of the portfolios while facilitating portfolio management decision making

184

VP-investment Operations & Accounting Resume Examples & Samples

Evaluating, in conjunction with professional advisors, and subsequently executing on the capital structures necessary to ensure tax efficient returns to Investors
Provision of assistance to the transaction teams as appropriate, including the coordination of the operational elements of investment activities
Forecasting and managing Investor capital calls and finance drawdowns in such a manner as to ensure funding is available for transactions as required
Integration of newly acquired portfolio assets into BlackRock
Liaison with third party administration, operational and maintenance providers to ensure a proper balance between internal control and operational efficiency at operating project level and to ensure accurate, timely and comprehensive reporting of asset performance by each asset on a monthly basis
Review and assessment, in conjunction with the operations team, of monthly operational and financial reports. Identification and resolution of performance issues
Effective communication of asset performance to Senior Management, Investors and the broader group
Review and implementation of annual budgets for all portfolio assets
Ensure full and timely compliance with regulatory, project and client reporting requirements
Review and assess contracts pertaining to underlying projects
Manage and oversee Valuation process for RPG Assets with Valuation Advisors, Risk and Pricing
Liaise with fund accounting team and auditors on accounting, fund valuation and reporting issues
Qualified Accountant, (ideally Big 4 background) with at least 5 years post qualification experience
Experience in renewable energy (wind and solar), particularly in monitoring and reporting on operational wind or solar assets is desirable
Excellent Excel and financial analytical skills
Experience in managing staff or external service providers an advantage

185

Associate Director, Investment Operations Resume Examples & Samples

Identify and allocate available resources at the divisional departmental level to satisfy operational and project requirements
Build and maintain a high performing team of associates as required by changing business requirements
Establish and monitor KPIs within the group
Facilitate globalization of the trading operations team
Coordinate with various regional investment operations support teams to fulfill regulatory requirements (i.e EMIR, MFID1, MFID 2, ASIC)
Provide functional area expertise, oversight, problem resolution, training, analysis and reporting as required across a variety of group responsibilities
Develop processes, procedures and infrastructure that are required to meet evolving business needs. Ensure best practices (Russell & industry) are implemented
Identify integration points and reduce duplicate processes across product lines. Streamline operations across product lines. You will also manage service providers to ensure Russell Investments is receiving the agreed upon services based upon the stablised SLA
Eight to ten years of investment related experience
Solid understanding of the investment industry, financial markets, trading operations and regulatory requirements
Strong technological aptitude to assist in identifying the most appropriate and efficient way to utilize technology to create a scalable operational model
Ability to effect change across business units and the broader organization
Demonstrated ability to manage and lead projects
Strong leadership and relationship building abilities

186

Investment Operations Business Analyst Co-op Resume Examples & Samples

Performs analysis of business activities to determine business requirements. Works with business users to understand and define needs. Converts business requirements into functional specifications.requirements pertaining to industry, company, and customer needs
Ensures proper data processing through the use of data checks and reports to facilitate error free business processeCollaborates with the QA team in developing high level test plans. Works with automated testing team when needed for performance/load testing as well as automated regression testing
Works to ensure a positive end product for business stakeholders. Creates and maintains proper training materials and business documentation
Supports cross-departmental projects and fFollows the MFS Software Development Lifecycle (SDLC), ensuring that all steps of the process have been followed prior to releasing any code.accordingly
Identify, analyze and interpret trends in large data sets

187

Investment Operations Co-op Resume Examples & Samples

Responsible for all trade affirmation
Verifies trade information to brokers and custodian banks
Monitor various trading and inventory systems for accuracy and exceptions based processing
Works closely with custodian banks to resolve any trade affirmation problems
Communicate/Notify all brokers, internal clients and custodian banks of same day/cash transactions
Research and resolve open trade issues. Escalate trade issues to supervisor/manager where necessary
Ability to learn all inventory, accounting, and trading systems
Ability to consistently, perform in a time sensitive environment with multiple daily deadlines
Strong Communication, organization and prioritization skills needed
Attention to detail, multi-tasking and problem solving skills are essential
Desire to provide exceptional client service to internal and external contacts

188

Investment Operations Associate Resume Examples & Samples

Utilize trade order management software to monitor for investment instructions, trade-flow and transaction status
Ensure the accurate completion of subscription, redemption, and transfer documentation relating to investment decisions
Track fund vehicle and share class information, utilizing proprietary liquidity-tracking application to monitor portfolio liquidity provisions
Adhere to established policies and procedures to support maintenance of controls and risk mitigation
Proactively support investment team objectives for portfolio implementation, maintaining an awareness of current investment themes and client interests
Collect, organise and interpret information relating to clients, their investing entities and their portfolios
Prepare liquidity and audit support reports for client teams and clients
Undergraduate degree and/or industry-specific qualification(s) preferred
2-3 years of related work experience at a custodian, fund administrator, investment manager or transfer agent preferred
Prior experience in a client-servicing role an advantage
Ability to work in a time-sensitive environment and to balance competing priorities
Strong attention to detail, analytical and organisational abilities
Ability to work both independently and as part of a team; to learn quickly and adapt to new challenges

189

Investment Operations Resume Examples & Samples

Act as a single point of contact for Portfolio Managers, Traders, and investing legal entities in respect to Operations activities on the respective assigned portfolios
Perform portfolio administration activities for assigned portfolios - cash management support, cash reconciliations, cash instruction, cash projections, credit impaired and month end processes, with the objective of increasing client satisfaction and delivering the service efficiently
Respond to Investment Accounting inquiries and help facilitate gathering information for clients as a single point of contact for portfolio administration
Support Managers and leadership in partnering with clients, Portfolio managers, GS (information technology/ middle office/ reference data), Compliance, Legal, and ORM Internal & External Audit staff to further develop/ enhance processes, procedures and practices that support product and service requirement
Ensure proper segregation of duties in accordance with policies and procedures
Contribute to addressing service issues with custodians and counterparties
Contribute to drafting and maintaining Portfolio Administration procedures for assigned portfolios
Collaborate effectively with risk management to reduce operational risk for Portfolio Administration activities
Partner with other areas of Investments, and the business to deliver best-in-class Investment Operations services

190

Investment Operations Specialist Resume Examples & Samples

Competitive compensation
Generous Employer RRSP contribution
Countless opportunities to learn and grow within the Company
Fun and engaging environment

191

Investment Operations Analyst Resume Examples & Samples

Reconciliations - Conduct timely reconciliations across asset classes for the EMEA time zone and assist other global time zones as required
Reconcile individual client portfolios held within our internal accounting system to the client account held at the custodian
Support the Investment Division Portfolio teams in the oversight of Investment processes
Act as primary contact for day to day activities. This includes analysing data received from internal systems / clients, custodian and data vendors, setting up the client's portfolio in our internal systems, creating client reports and conducting beta testing
Relationship Management – regular contact with brokers, asset managers, vendors and other 3rd party agents to ensure timely reporting of trade information and payments and prompt resolution of any outstanding issues
Define, document, test and implement adequate and appropriate procedures and controls for all business support processes
This includes developing and implementing a workflow methodology adaptable for multiple business units across all of the Russell offices (continuious process improvement)
Ensure adequate controls and segregation of duties in place
Familiarity with trading and settlement terms within direct or pooled funds
Will need to be motivated, show creativity and exceptional problem-solving skills. The potential candidate must be comfortable in a fast-paced, team-based environment with a high degree of individual autonomy
Must be able to manage work and prioritize multiple assignments under tight deadlines
Ability to gather and analyze requirements and translate them into business deliverables
Flexible attitude with regards to tasks and hours (Analyst will be required to work periodic holidays as well as early morning shifts when required

192

Avp-investment Operations Resume Examples & Samples

To work closely with management in executing the Operations consolidation strategy and align product operations under one unit for both existing countries and new countries planned to be supported by the unit
Requires an individual with matured thinking, excellent leadership, project management and communication skills who can independently interact and work with key stakeholders
To ensure pristine control environment as measured by self-assessment results, internal and external audits, COB, Operational losses etc. Partner with country O&T to ensure robust controls on an end to end basis
Leading and assisting in the implementation of Gold standard for Quarterly Manager Control Assessment (MCA) and Annual Risk Assessment on MCA for Investment Operations
Timely escalations of key risk and control issue to Regional Investment Operations Head/CSIPL Head
Ensuring that relevant procedures and deviations are accurate, complete, and up-to-date, and are reviewed and renewed on a timely basis
Support productivity improvement through process rationalization of existing processes and implement appropriate process design/changes while maintaining effective risk and control measures and compliance with Citi policies
Ensure all daily metrics are captured correctly and presented when required
Participate in governance calls and ensure the calls are held in a timely manner
Degree holder with minimum 10 years of banking experience with minimum 4-5 years in the Investment operations space
Influencing and tactful managing of stakeholders
Presentation skills to Senior Management and stakeholders

193

Business Analyst, Investment Operations Resume Examples & Samples

Identify gaps in business processes, translate gaps into system requirements and facilitate negotiation of requirements with technical solution providers
Participate in functional and user acceptance testing, ensure a smooth implementation of technical solutions including the development of training materials and post implementation support
Ensure fund/client accounts are properly constructed based on portfolio convictions and remain in compliance with established guidelines
2+ years’ experience in Investment Operations or IT with some exposure to business analysis or project management
Undergraduate degree required; knowledge of investment management industry with some exposure to quantitative portfolio management/construction or working towards CFA certification helpful
Experience implementing new technology and business processes within a team preferred, technology aptitude and curiosity required
Ability to communicate and interpret complex technical concepts to stakeholders with varying levels of experience
Capable of managing multiple priorities and meeting deliverable deadlines

194

Investment Operations Analyst, Derivatives Resume Examples & Samples

A working knowledge of derivatives products - futures, swaps, options, and initial/variation margin
Support derivatives trade processing, including trade affirmation, delivery, and collateralization
Setting up the client's portfolio in our internal systems, and creating client reports

195

Cib-ais-hfs Investment Operations Resume Examples & Samples

Ensure all scheduled operational deliverables are processed and reviewed in timely manner
Reconciliation of trades, investment positions and cash balances to external third parties (banks, prime brokers, counterparties and custodians)- Completion of these activities as a checker
Perform & Review trade break analysis with prime brokers and counterparties performed by maker
Perform & Review PB Margin, Collateral Management calculation and signoff to client
Perform & Review OTC long form confirmation document
Work with internal teams to identify and track issues to continuously improve the process
Management reporting for MIS and ad hoc requests
Participate in efficiency/risk project and discuss this with the supervisor

196

Cib-ais-hfs Investment Operations Resume Examples & Samples

Perform PB Margin, Collateral Management and OTC Settlements functions
Process security life cycle events
Work with clients to resolve queries and providing first level account service
Participate in departmental projects as needed

197

Investment Operations Resume Examples & Samples

Contribute to drafting and proactively maintaining Portfolio Administration departmental procedures
Promote teamwork and collaboration across the group, providing guidance and mentorship to junior members of the team
Provide assistance to manager and audit liaison during departmental SOX/Audit reviews
Analyse data and identify areas for improvement and participate in the design and implementation of reconciliation process enhancements

198

Investment Operations Analyst Resume Examples & Samples

Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on corporate actions
Research and acquire all pertinent information about voluntary corporate action events using various vendors, sub custodian banks, depositories, and prospectuses
Provide support to International trading desks located in US, Canada, UK, & Asia
Reconciliation of Manulife records to resolve any entitlement calculation problems due to position breaks
Ensuring integrity of trading system data and evaluating all investment transactions

199

Investment Operations Analyst Resume Examples & Samples

Work closely with Portfolio Managers and Traders to assist and support investment decisions and strategies, with primary focus on bank debt (term loans)
Monitor bank loan notices and payment reports; validate position and payment calculations, update system schedules, instruct banks/custodians, and resolve payment exceptions; handle complex transactions involving PIK and revolvers
Calculate complicated cash flows, payments, and fees
Prepare administrative details and provide to the agents at the time of funding
Provide instruction (including key terms) to the custodian for all closing activity
Manage closing document process on Markit ClearPar
Coordinate and validate transactions within Wall Street Office platform
Reconcile positions and accruals with the trading systems, accounting platforms, agent banks, custodians on daily, weekly and monthly basis
Work with custodians to resolve discrepancies involving holdings, transactions and interest calculations
Interacts with the custodian, administrative agent, and investment team on trades, payments, and other issues
Special projects and research for systems enhancements
Respond to complex ad-hoc research requests

200

Investment Operations Specialist Resume Examples & Samples

Preferred candidates that have a 5 years of work experience and have experience with
Demonstrated experience in post trade processing and compliance process
Demonstrated experience interfacing effectively with all levels of management
Demonstrated financial services operations experience
Solid knowledge and understanding of various asset sectors and their data and settlement requirements (Treasuries, Corporates, Municipals, ABS, CMBS, Equities, Converts, Private Placements, Commercial Real Estate loans, Private Equity)
Solid knowledge and understanding of security master and reference data best practices
Working knowledge of Bloomberg Terminal, Omgeo Alert & Oasys

201

Investment Operations Associate Resume Examples & Samples

Primarily responsible for the daily, monthly and quarterly trust fund reporting to executive management, Board of Directors and SEC financial reporting
Analyze and monitor existing portfolio holdings
Calculate the distribution of trust income and gains/losses monthly
Assist with the preparation of the annual GAAP financials for the trust fund
Assist with the day-to-day trading activity of the investment portfolio
Assist with management of the preneed trust accounts including interactions with 3rd party bank trustees, auditors, data providers, and brokers
Become proficient in using the Bloomberg terminal for daily investment portfolio, checking top news stories, researching company presentations as well as checking trading levels of stock and bonds
Prepare ad-hoc financial analysis and complete special projects upon request
Dedication to learning and commitment to personal growth; self-starter
Willingness to take ownership of assigned tasks from beginning to end
Enthusiasm to deliver the best result on every project
Unquestioned commitment to integrity and ethical decision-making

202

Senior Associate, Investment Operations Resume Examples & Samples

Basic financial acumen with strong math skills.　
Knowledge of life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred.　
Ability to anticipate needs and take effective action.　
Detail oriented, analytical self-starter with a motivation to expand knowledge, skills and responsibility. 　
Experience in and knowledge of Excel, or other spreadsheet/database applications and Microsoft Word is preferred.　
Ability to meet deadlines and work both independently and as a team member.　
Excellent verbal and written communication skills.

203

Investment Operations Specialist Resume Examples & Samples

Provide collateral management support in regards to OTC and cleared derivative related products through liaising with various investment teams
Responsible for monitoring trade capture, derivative affirmations, confirmations, and settlements
Work with brokers and custodian banks to communicate derivative life cycle events
Liaise with legal department and counterparties to support Dodd-Frank and EMIR requirements
Facilitate the onboarding of derivatives trading in new funds and accounts by assisting with ISDA and other documentation requests
Provide internal operational support to other departments within the company
Support fellow colleagues with questions in regards to product inquiries

204

Senior Investment Operations Specialist Resume Examples & Samples

Act as the client’s day-to-day Client contact for Corporate Owned Life Insurance clients (COLI), fielding questions and requests
Act as the internal lead and project manager deliverables; overseeing day-to-day service deliverables and client specific operations to ensure assigned clients receive the highest quality product
Manage and lead efforts related to client conversions and implementations, in conjunction with the Client Relationship Manager (CRM) and Department Manager
Coordinates and leads communications with clients for services being performed by other internal departments (such as Plan Accounting or Analytical Services)
Will take lead in providing options to Client Relationship Managers and Relationship Managers regarding funding issues and asset allocation strategies
Ability to develop complex Excel rebalancing spreadsheets
Escalates client issues and communicate potential sales opportunities to CRM and Manager
Establishes client service expectations with client team members
Trains team members on plan features and client specific processes
Ensure ongoing client procedures are implemented and kept up to date
Assists with conducting regular client team meetings
Determine standard services to be provided to a client, in conjunction with the CRM and Manager
Oversee Service Calendar maintenance
Work with CRMs to ensure service agreement is current and escalate client request to the Manager and CRM for services requested that fall outside of the service agreement’s scope of services
Coordinate delivery and production of non-standard and ad-hoc requests, especially those that involve sophisticated, manual or atypical calculations
Work with clients and other team members to give clarity to the desired output
Develops calculation model & trains team members on procedure
Tests output and assumes responsibility for quality control
Oversees quality control for all client team projects and services deliverables
Provide Managers with input on team members’ performance
Facilitates cross communication within the client team
Ensuring all team members are kept “in the loop” on all client projects and servicing expectations/developments
Oversees insurance consent enrollment activity in conjunction with CRM
Reviews and monitors project timelines
Leads New Client/Plan Implementations, in conjunction with the CRM
Assist CRM with the development and monitoring of the project timeline
Assists as necessary with new insurance purchases
Oversees client’s COLI implementations, conversions, and day-to-day operations
Knowledge of qualified or non-qualified benefit plan administration, life insurance, finance, accounting, financial modeling or other technically oriented benefits-related field is preferred
Poised, calm under pressure and an effective verbal and written communicator
Ability to train and mentor fellow associates
Detail oriented, analytical self-starter with a motivation to expand knowledge, skills and responsibility
Excellent Knowledge of Microsoft Word, Excel and Macros
Ability to manage and prioritize projects and take an active role in problem solving/decision making
Ability to meet deadlines and work both independently and as a team member
Life, Securities licensing and registration

205

Specialist, Investment Operations Resume Examples & Samples

Support the international accounts for the line of business
Serving as primary settlement support and building working relationships with third party managers for international securities
Resolving trade exceptions by coordination with investment managers and/or brokers
Working with investment managers, brokers and internal teams to resolve failed trades on a timely basis
Researching and resolving exceptions, including depository position exceptions
Process Global Settlement
Deliver out sales of securities through the Bank of New York Mellon depository according to industry and department deadlines
Settle purchases of securities through the Bank of New York Mellon depository according to industry and department deadlines
Resolve settlement problems and issues through analysis and collaboration with both internal and external parties
Balance trade settlement activity through Bank of New York Mellon according to department deadlines
Actively work to streamline processes to improve efficiency
Provide a high level of service to both internal and external parties
Be an integral part of the coverage plan for all functions in the department
Participate in other continuous improvement projects
Prior experience in securities industry. Experience in trade settlement, domestic / international securities and/or FX a plus
Ability to identify and articulate possible improvements in process flows

206

Analyst, Investment Operations Resume Examples & Samples

Bachelor’s Degree is required from an accredited four-year university, an emphasis in Accounting or Finance is preferred
Preferably 1-2 years of experience in the investment field with emphasis on portfolio accounting
Experience with financial accounting and reporting
Strong analytical skills and detail oriented
Strong skill set in the following areas: ability to problem solve, meet deadlines, and be organized

207

Senior Manager, Investment Operations Resume Examples & Samples

Proactively identifying areas of opportunity, and evaluating current policies and methodology, will help the organization mitigate risk and increase scale
Developing and maintaining a program surrounding corporate actions will help streamline our investment process
Developing an expertise within the trading platforms/technology will further our alignment with business partners and help create a more robust & efficient end to end operational model
Creating strong and effective relationships, both internal and external, will help drive execution and efficiency
Bachelor’s degree required; completion of, or progress towards graduate degree or CFA preferred
8-10 years of financial services experience, preferably in investment operations, trading or managed accounts
3+ years of proven experience leading or managing projects
Ability to manage up and represent Investment Operations in both internal and cross company efforts
Willingness to take initiative without specific direction; ability to self-motivate
Proven ability to manage a project from beginning to end and communicate results to a broad audience
Data querying skills (SQL, R)
Excel, including VBA

208

Investment Operations Trading Operations Analyst Resume Examples & Samples

Confirm, research, and resolve trade exceptions with custodian and broker dealer across all products and sectors
Work with Trading and Portfolio Management to resolve exceptions
Ensure internal systems are updated to record status of any ongoing investigations
Work with counterparties to address issues, research and resolve discrepancies and ensure trades are confirmed within Regulatory guidelines
Coordinate with other teams within BlackRock to ensure that trades are set up correctly
Ad hoc queries and project work
Take an active part in the various platform enhancement activities in whcih the group is involved
Actively review business processes to ensure that efficiencies are maximised whilst maintaining a rigorous level of control
Produce & distribute departmental MIS
Building the existing ‘One Team’ ethos within the firm by working closely with colleagues in other regions
Experience of working in a middle office/ settlements function in an Investment Management, Custodian, Investment Bank or similar environment
Team player with excellent attention to detail, problem solving/analytical abilities, research skills and willingness to learn
An excellent communicator with good organisational/time management skills
Experience of working to tight deadline’s in a fast-paced environment
Good knowledge of Word and Excel

209

Lead Analyst, Investment Operations Resume Examples & Samples

Provide critical project management support for the securities settlement system implementation, including but not limited to: tracking project milestones and budget, preparing project updates for senior management, scheduling and leading meetings, and serving as a liaison between external third party vendors and internal stakeholders
Confirm and settle all investment securities and derivatives trades, following up with relevant groups regarding pay downs and factor discrepancies, cancel and correct transactions, SPO adjustments, and researching/finding resolution for settlement issues and payment exceptions
Process transfers of collateral, margin calls, pair-offs and substitutions related to forwards, derivatives and wholesale borrowing transactions
Monitor the value of pledged and unpledged securities and reconcile internal records vs. the Custodian bank
Communicate effectively with internal and external business partners, including but not limited to: Trading Desk, Custodian Bank, Accounting, Treasury and IT
Collaborate with our IT team to implement and/or enhance tools and applications for settlements and collateral management processes
Act as an escalation point person for issues that require troubleshooting, detailed analysis and management
Ensure effective controls are in place across daily tasks and functions to mitigate risk. Identify, document, and implement new risk controls
Produce and/or review daily, monthly or quarterly statements/reports for distribution to management and various stakeholders
Develop and maintain ad hoc or custom reports
Coordinate the review and negotiation of new and existing trading agreements (i.e. ISDA, MSFTA, etc.)
Coordinate requirements and participate in Internal Audit/SOX/RCSA reviews

210

Managing Director, Investment Operations Resume Examples & Samples

Leading the four teams, which include Equities and Fixed Income; Derivatives; Access and Business Continuity Management; Operational Due Diligence
Overseeing, measuring and managing overall risk for the investment operations in an environment with significant daily trading volumes
Consistently identifying sources of complexity and implementing technology enabled/process enhancement solutions that are long term and scalable
Building strong relationships with PMI to support investment strategies while also ensuring the overall investment operations maintain integrity and controls
Building partnerships with IT and Data Management to ensure support and synergies/efficiencies
Developing the team’s capabilities

211

Head of Investment Operations Resume Examples & Samples

Manage all investment operations functions and resources, with a focus on continuous process improvement, automation and use of global operations support model
Responsible for efficient, timely and accurate trade and cash-flow implementation for the investment portfolios including coordination of direct trading in stocks, ETFs, futures, forward etc
Responsible for efficient, timely and accurate administrative processes for the managed funds including custody, portfolio valuations, unit pricing, unit registry, distributions, fee accruals, compliance etc
Transition planning and execution (for investment transitions and client transitions)
Responsible for the strategic development of Investment Operations capabilities with a focus on direct trading capabilities being executed for local and developed market equities by the end of 2018
Maintain senior relationships with investment managers, custodian and administrators, managed account platforms and key clients to promote successful servicing arrangements
Efficiently implement client cash-flows and other portfolio management decisions as instructed while ensuring business risks are minimised and that there are no financial claims

212

Analyst, Investment Operations Resume Examples & Samples

Process daily UIT redemptions for all trust holders
Locate long positions to cover UIT short positions held on Nuveen’s books and records
Train others on the UIT Trading process
Participate in any other UIT related activities required to decommission Nuveen’s UIT business
Process block trades including the updating of rotation grids, compliance memos, and investment models. Create a trade to reflect the wishes of the investment manager and execute trades with the appropriate sponsor firms
Accurately convey the instructions provided by the PM when executing orders or updating non-discretionary models
Adjust discretionary models based on direction from Portfolio Manager, rebalance client accounts and execute trades to accommodate changes
Review trade exception reports to find discrepancies from the previous trading day
Correct exceptions by reaching out to the sponsor trading desk or back office of the sponsor firm to research and resolve any discrepancies from the previous day
Review the trades made in an individual account executed on the previous day to ensure the trades properly reflect the parameters of the investment model
Code and un-code appropriate fields in accounting system to ensure the proper management of individual accounts
Review and adjust holdings in new accounts, sell off non-profile names and invest up so that they are in line with the appropriate investment model
Run and review several exception reports to ensure the each individual account is in-line with the parameters of the associated investment model
Process accounts with cash inflows or outflows and rebalance to investment model
Run and Review drift reports to find outliers, research any discrepancy and act accordingly
Process tax harvesting requests – review current account holdings to determine a scenario that best meets the client request to realize gains or losses
Review municipal portfolios and sell off securities that do not match the characteristics of the investment style
Bachelor’s degree from an accredited four-year university
1-2 years previous experience in investment management industry with a focus in managed accounts
Excellent analytical, troubleshooting, and conceptual skills
Self-directed, self-starter, and motivated with the ability to work with minimal supervision
Strong organizational skills and ability to prioritize tasks
Working toward a Bachelor's degree required; equivalent work-related experience may compensate for certain requirements
Intermediate skills in Microsoft Office (Excel, Word, Outlook)
Previous experience with FiServ APL, FiServ Gim2, GEO Trader, CG Trade Connect, or Bloomberg a plus
Excellent communication ( written and oral), with senior leaders and peers, facilitation, interpersonal and collaborative skills
Ability to be flexible and adjust to various Portfolio Managers

213

Consultant, CS Investment Operations Resume Examples & Samples

Works effectively both as a team member as well as an independent self-motivated individual
Responsible for multiple projects of various complexities
Able to identify opportunities for improvement within existing technology applications while acting as a liaison with Partner areas to drive resolution
Responsible for understanding client's business needs and deliverables
Act as the escalation point of contact for client issues or inquiries
Drive the engagement of other partners as appropriate to solve client inquiries/issues
A college or university degree and/or 4-6+ years of relevant work experience
Previous exposure to business process and/or technology enhancement initiatives
Previous Client Service experience in a service oriented environment
Able to prioritize and multi-task
Knowledge of financial services, asset management and/or investment operations. Attention to detail and works with a sense of urgency

214

Specialist, Investment Operations Resume Examples & Samples

Manage operational relationships with clients, service providers, transfer agents, custodians, fund accountants and internal departments; ensure the delivery of high quality service
Oversee specialized projects that impact multiple internal departments; serve as key internal and external operational contact keeping management informed of project progress
Manage escalated issues from internal and external stakeholders; ensure timely resolution and adherence to contractual policies, procedures and controls through review of Service Level Agreements
Oversee daily vendor reporting and ensure system applications remain in control of Dimensional business processes
Manage the development process for mapping, defining, and documenting process flows.; identify areas of improvement and oversee improvement efforts for both internal and external functions
Develop business requirements and gather data for systems enhancements or new features to be integrated from outsourced back or middle office functions into Dimensional processes
Negotiate operational terms during client contract negotiations
Minimum of 5-7 years of relevant experience in back office or middle office operations and accounting; Series 7 preferred but not required
Past experience with third party vendor management of back office functions
Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner
Strong relationship building skills and an ability to work well in a team environment, both locally and globally
Ability to impact and influence others across the organization
Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
Proficient in the Microsoft Office suite including Power Point and Visio (preferred)

215

Investment Operations Analyst Resume Examples & Samples

Preferred Bachelor’s degree in Business or related field; or experience in finance field
Professional demeanor and excellent communication skills
Excellent computer skills, including Word, Excel, and PowerPoint. Advent and/or Bloomberg a plus
Ability to handle competing demands by communicating with all department members to prioritize work
Comfort and proficiency in dealing with quantitative data and time pressure

216

Senior Associate, Investment Operations Resume Examples & Samples

Lead the investor onboarding process for new client accounts; provide product and onboarding support together with Legal, Financial Advisor and Institutional Sales teams
Provide oversight of daily metrics and reporting deliverables received from service provider; track global issues and trends as they occur across vendors, recommend and implement solutions together with service provider
Facilitate periodic updates of operating memorandums; ensure all processes and controls are fully documented
May serve as lead in supervisor’s absence; responsible for reviewing and approving others’work in certain cases
A bachelor’s degree is strongly preferred
Approximately 3-5 years of relevant experience in back office operations and accounting within the mutual fund industry
Experience working with third party vendor management of back office functions and an in-depth understanding of custody, accounting and investment operations workflows and best practices
Strong relationship building skills and an ability to work well in a global team environment
Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment
Proficient in the Microsoft Office suite including Power Point and Visio

217

Investment Operations Trading Operations Resume Examples & Samples

Route trade details/ portfolio allocations & receive written or electronic trade confirmation from counterparties daily
Resolve DK’s, fails and exceptions
Coordinate with dealer community on STP efforts to further automate confirmation process
Bachelors Degree in Finance or similar concentration required

218

Manager, Investment Operations Resume Examples & Samples

Team Management and Leadership
Lead the Insurance Service teams, responsible for the administration of non-qualified life insurance plans and administration
Ensure excellent team performance and account management through staff development, goal identification, team building, weekly team meetings, guidance and coaching
Provide performance feedback. Identify and resolve complex/difficult employee situations and relationships to promote a positive work environment
Initiate appropriate audit processes; utilize appropriate checklist tools; delegate, prioritize, and supervise work to maximize administrative productivity and ensure timely and accurate completion of team deliverables
As requested, track departmental deliverables
Develop, perform analyses on, make recommendations for, and confirm accuracy of a variety of spreadsheets, client specific reports and correspondence produced by the team and department
Coordinate with other teams or departments, as required to ensure team compliance with plan rules
Develop, oversee, review and revise team and client specific transaction documentation, and procedures that are then applied as best practice models for department usage
Oversee management of team’s client specific task and project calendars
Lead or oversee team on client implementations and de-conversions and assist other teams as necessary
Solicit team performance feedback
Act as point of escalation in coordination with Department Head
Identify and resolve complex/difficult client issues to ensure optimal customer service
Exercise sound judgment and display a thorough understanding of business needs as it relates to weighing company cost against benefits gained from a new business change and/or decision
Interpret plan provisions to effectively manage team’s insurance plan and administration
Consult with clients/counsel on insurance, plan design, funding and complex administrative issues
Act as a subject matter expert and assist department, team and clients with various inquiries
Formulate and maintain valued relationships with clients, carriers, peers and associates
Department leader who inspires trust and confidence in others by actively contributing to group discussions and company/departmental objectives
Leader of department improvement initiatives through offering suggestions and challenging the status quo, while exemplifying a positive/motivating force for change
Identify and/or contribute to new sales efforts and service & product offerings through participation in sales presentations and identification of system enhancements
5 to10 years experience of Corporate Owned life insurance products,(COLI)
Life Insurance, Split Dollar Plans, finance, accounting, financial modeling or other technically oriented benefits-related field
Prior management experience strongly preferred
Strong public speaking skills with the ability to clearly identify objectives catered to varying audiences
Effectively addresses and resolves conflict
Effectively articulates point of view and provides feedback
FINRA 6 & 63 registration and state Life Insurance with in 120 days of hire

219

Investment Operations Associate Resume Examples & Samples

1 to 2 years of Retirement Operations / Customer Service experience preferred
Prior experience in a financial services company is a plus
Experience in IRA technical processing preferred
Must be receptive to detailed and frequent performance feedback
Proven record of dependability
Ability to absorb regulatory, compliance and technical rules in a relatively short period of time
Overtime as needed to support business objectives
Bachelor's degree preferred or equivalent work experience
A FINRA Series 7 & 63 are preferred

220

Senior Manager Investment Opérations Centre Resume Examples & Samples

Bachelor's degree in a related field and ten years of relevant experience or Master's degree in a related field and eight years of relevant experience
Extensive experience in personnel management
Capable of setting up a new unit and working in ambiguity
Experience in the wealth management business
Strong knowledge of transversal operational processes required to operate an IIROC or MFDA business (e.g. account opening, transfer, account management, mutual fund trade settlement, etc)
Strong collaboration with colleagues and stakeholders transversally, across various teams in Operations and the various business lines
Demonstrated capability to optimize processes, favour automation and manage change
IT savvy, with experience in complex project implementation and operationalization
Open to travel (Toronto/Montreal)
Bilingualism both spoken and written (English and French)
Knowledge of RPM an asset
Demonstrates the following values: Collaboration, Empowerment, Agility

221

AVP, Investment Operations Resume Examples & Samples

Lead and manage a team of 5-7 professionals in a dynamic, fast paced environment
Manage and oversee Investments Cash Management Team as well as actively participate in daily activities pertaining cash management
Manage and oversee the trade operations for all securities trading that is executed on the US trading desks
Further develop the strategy to build a scalable platform that leverages other areas of MetLife that will improve the operational efficiency of the organization
Work closely with business partners and key stakeholders to stay current with the business direction and influence those decisions from an operations perspective
Partner with Technology to improve operational effectiveness and enhance productivity
Develop, implement, and monitor key performance metrics to ensure quality and efficiency in all business processes
Perform all cash management functions end to end in our Treasury Workstation to support MetLife’s cash flows
Provide information to the Front Office and Traders to analyze the Treasury Workstation reports and Blackrock’s Aladdin systems to support cash forecasting for the Portfolio Manager
Manage all corresponding bank balances and advise on the daily cash position
Reconcile all bank accounts and investigate portfolio outages where necessary
Work with the centralized reconciliation teams to resolve reconciliation breaks occurring in portfolios managed within the region
Trade support functions such as trade confirmations & settlement notifications, corporate action processing and operational cash entries
Perform testing and provide analysis of results that lead to the execution of requirements
Business Administration or BS in Accounting, Finance, or IT related field
Previous management experience (minimum team size of 5-6 individuals)
Strong understanding of cash management, investment operations support, reporting, and fixed income and equity securities analytics
10+ years relevant experience in Financial Services industry, Capital Markets and Investment Products (Fixed Income & equity securities)
Advanced problem solving abilities and communication skills
Ability to maintain high level of visibility inside and outside the firm
Experience with Aladdin, Omgeo, TradeWeb, Bloomberg or other Investment platforms is a plus

222

Analyst, CS Investment Operations Resume Examples & Samples

Responsible for providing client service through the execution of daily functions and tasks
Work effectively as a team member as well as an independent, self-motivated individual
Advise management where current processes do not align to documented procedures
Escalate client requests that contradict established procedures or best practices
Assist in improving process flows and operational and control procedures
Understand current Service Level Agreements (SLAs) that are directly related to job function(s)
Responsible for increasing knowledge of financial services market operations
A college or university degree and/or 0-2+ years of relevant work experience

223

Alternative Investment Operations Associate Resume Examples & Samples

Handling the cashiering and money movement duties, including processing wire transfers, check deposits, and cash journals
Confirming and reconciling Alternative Investments held in Schwab client accounts
Processing client account asset transfers to third party broker dealers, banks and trust companies
Coordinating with clients and investment sponsors on execution of voluntary and mandatory corporate actions

224

Investment Operations Analyst Resume Examples & Samples

Processing investment instructions, investment calls and cash transfers
Managing information and data collation from fund managers for ad hoc projects and requests
Running weekly updates of in-house spreadsheets used by the team for portfolio monitoring
Assisting the team on manager performance analysis and monitoring
Completion of operational forms e.g. account and market opening forms
Assisting with regular portfolio reporting to the investment committee

225

Investment Operations Associate Resume Examples & Samples

2 years of related work experience (financial support, operations or financial analysis/reporting)
Demonstrated verbal and written communication, organizational, customer service, and interpersonal skills
Advanced computer skills including full suite of Microsoft Office and other Windows-based applications
Demonstrated interest in investment field
Ability and willingness to engage in conversation with internal and external parties, including legal counsel and investment managers
Act as primary or secondary contact for LTIP for investment managers, and internal investment team staff. Collect, interpret, and organize information relating to all aspects of client portfolios
Proactively support investment objectives through communication with third-party service providers
Review documentation and maintain correspondence
Coordinate asset transfer between CHOA, custodians, and investment managers and maintain account records
Complete ad hoc projects, creates analytical reports, provides supplemental analysis, and gathers information to aid investment decisions
Assist in conducting operational due diligence on traditional, hedge fund, and private equity investment managers (initial and ongoing)
Prepare presentations, summaries, and other documents as needed for leaders and stakeholders
Investigate and answer operationally driven questions
Provide administrative support to Investment office
Maintain awareness of current investment themes and Investment office

226

Investment Operations Business Process Manager Resume Examples & Samples

Partner with department managers to ensure all processes are accurately documented
Perform periodic checks to ensure process documents are being maintained
Lead efforts of obtaining a Service Organization Controls Report (SOC1) certification for the organization
Own the routine evaluation of SOC1 compliance, serving as point person for examiners and engaging organization teams, as required
Monitor the investment compliance processes within the portfolio management system. Work with the Compliance Manager on periodic reviews and escalate issues according to established policies
Oversee system administration efforts, such as, granting access credentials to systems and generating access audit reports
Provide strategic direction of optimal team structure and develop and implement a strategy to attract and retain top tier talent
Manage team resources to ensure efficient utilization in support of organization’s goals
Benchmark group process with industry peers to ensure platform is consistent with, or exceeds, industry best practices
Develop and maintain key performance indicators to track organization’s adherence to control framework
BA/BS with concentration in Finance, Accounting, or Economics
Prior experience (7+ years) in financial services, insurance, audit or other relevant experience in an investment operations environment
Minimum 3+ years’ experience supervising others in investment operations is required
Significant experience building workflows in a highly controlled and regulated environment is necessary; and prior experience in supporting SOC1 certification is required
Practical experience working with portfolio management systems a plus (Blackrock Aladdin preferred)
Demonstrated ability and desire to learn new concepts quickly. Must have ability to adapt to a continually evolving environment
Demonstrates knowledge of the creation, organization, and retention of transaction documentation
Team oriented individual
Exceptional attention to detail skills are critical
Excellent communication and organizational skills required
Exceptional ability to manage tight timelines
Ownership and accountability for deliverables
Accomplish goals and objectives
Results and detail oriented
Ability to multi-task and execute under pressure
Internally driven and self-motivated
Intellectual curiosity, forward-thinking

227

Senior Associate, Investment Operations Resume Examples & Samples

Manage operational relationships with clients, service providers, custodians, fund accountants and internal departments
Provide oversight of vendor reporting and performance by monitoring KPIs, metrics and adherence to contractual policies, procedures and controls
Oversee specialized projects that impact multiple departments
Map, define and document process flows; identify areas of improvement and oversee improvement and change management efforts
Support new account onboarding by acting as central contact to custodian and middle office setups
Support reconciliation of middle office invoices
Bachelor’s degree (Finance, Business or Economics or related field)
Minimum of 5-7 years of relevant experience in back/middle office operations, with a preference for in-depth middle office experience (portfolio reconciliation, trade processing, and/or corporate actions
Prior experience with third party vendor management of back office or middle office functions
Excellent written and oral communication; ability to deliver presentations in an articulate and convincing manner
Ability to work independently; capable of prioritizing to meet requirements with minimal supervision
Detail-oriented, with strong analytical mindset with an ability to synthesize data

228

Analyst, Investment Operations Resume Examples & Samples

Reconcile confirmations between DTC and the portfolio management system for assigned brokers
Function as liaison for broker/dealers, custodians, traders and internal clients for trade settlement related issues
This group shares a group e-mail and group phone line and all Trade Settlement Specialists are responsible to monitor those throughout the day
Escalate issues appropriately and according to escalation policies
Responsible for gathering data as requested
Create and maintain documentation on policies and procedures
Well developed interpersonal and written and verbal communication skills
Bachelors Degree in business or equivalent work experience
Strong attention to detail, good communication, analytical and problem solving skills
Previous international settlements experience a plus

229

Investment Operations Analyst Resume Examples & Samples

Synthesize business requirements in the form of functional process flows and user journeys and translate them into workable and strategic solution specifications and prototypes
Collaborate with other team leads to identify and develop innovations, technology and system solutions to improve experience and pursue opportunities to adopt new technologies to enhance business outcomes and operational efficiency
Drive implementations of change initiatives including coordination of system testing for relevant projects/initiatives to deliver maximum impact
Provide support to back office operations business processes and systems and oversee the processing of any of the following products: Unit Trust, Structured Deposits, CPF SRS Investments, Corporate action, Unsecured Facilities and other banking activities to ensure due process, accuracy and accountability are followed
Assist Head of Department to create and implement long term business plan to ensure continuity of business operations in the long run
Create a strong workforce by developing competent individuals ready for the future digital banking operations

230

Analyst, Client Service Investment Operations Resume Examples & Samples

Understand and follow control procedures
Responsible for providing timely response to queries
Research and resolve problems within established guidelines
Cultivate relationships with internal partners and client contacts
Responsible for understanding client's business
Is available and responsive to address client needs
Establish and maintain effective working relationships with key partners internal and external to the organization

231

Investment Operations Associate Resume Examples & Samples

Disbursements – executing cash and trade settlements, positioning cash, and supporting the loan origination business
Custody – ensuring safekeeping and reconciliation to the bank for all physical assets
SVO – filing and reporting for all securities to meet insurance industry regulatory requirements
Deal Management – capturing all terms related to the trade into Prudential’s infrastructure system
Performance Reporting – calculation of portfolio returns, reporting asset level valuations and producing various Enterprise and Asset management reports
All Majors Considered - degree in Finance, Economics or Business is preferred
Ability to organize and prioritize tasks and work in a deadline oriented environment
Ability to learn and adapt to database and client server applications and reporting tools
Accuracy and detail oriented a must
Working knowledge of Microsoft Office suite
Adapt to a fast-paced and dynamic work environment. This includes working independently and on a team

232

Investment Operations Analyst Resume Examples & Samples

Bachelor's degree, preferably in Finance or Accounting or equivalent investment operation experience
Understanding of investments, with knowledge of assigned asset class
Demonstrated time management and analytical skills

233

Consultant, CS Investment Operations Resume Examples & Samples

A college or university degree and/or 4-6+ years of relevant work experience Previous Financial Industry Operations, Asset Management and/or Investment Operations experience a plus
Previous exposure to business process and/or technology enhancement initiatives Previous Client Service experience in a service oriented environment
Knowledge of financial services, asset management and/or investment operations Attention to detail

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