Middle Office Trade Support Resume Samples

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C Mayert

Camren

Mayert

2069 Alia Harbor

Detroit

+1 (555) 875 4503

2069 Alia Harbor

Detroit

Phone

p +1 (555) 875 4503

Experience Experience

Dallas, TX

Equity Middle Office Trade Support Manager

Dallas, TX

Schroeder and Sons

Dallas, TX

Equity Middle Office Trade Support Manager

Influence technology teams to prioritize work that will provide benefit to team
Develop members of the team as individuals and a collective support team
Provide support or resolve any adhoc queries pertaining to the booking, p/l or risk representation for traders in the books
Work with Traders, Finance and other groups to resolve various issues affecting PnL
Calculate maturity payoffs and coupon amounts
Liaise with traders and counterparties to ensure accuracy in trade capture
Monitor various controls implemented to mitigate risk to the business

Detroit, MI

CIO & Treasury Asia Middle Office Trade Support Associate

Detroit, MI

Eichmann-Wilderman

Detroit, MI

CIO & Treasury Asia Middle Office Trade Support Associate

Coordinating technology related developments and maintenance with regards to trade processing
Weekly collation of operations KPI’s for submission to senior management
Responding to various ad-hoc information requests by other businesses, such as MRM, VCG, CFO / BM, VARS
Managing operational processes and controls, across asset class, through the transaction life cycle
Building and maintaining strong business, operations and technology relationships
Liaising with both Front Office and Back Office and engaging the back office partners in regular root cause exception analysis
Monitoring and assuring quality of daily deliveries from Tertiary location resources

present

Los Angeles, CA

AM, Middle Office Trade Support Specialist

Los Angeles, CA

McCullough, Haley and Bartoletti

present

Los Angeles, CA

AM, Middle Office Trade Support Specialist

present

Participate in the continuing strategic development of the Middle Office operating model, and help validate proposed ideas/plans prior to implementation
Provide issue resolution for any complications/problems that may arise
Client/Broker Trade Servicing
Support Financial Advisor and new client On-Boarding processes
Regulatory Reporting
Domestic and International Syndicate trading support
Liaison between trading desk and back office

Education Education

Bachelor’s Degree in Accounting

Cornell University

Bachelor’s Degree in Accounting

Skills Skills

Ability to face off to very demanding stakeholders, managing their expectations but moreover develop strong working relationships with them,
Strong communication skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution
A self motivated individual who is able to deliver with minimal supervision, whilst also working effectively as part of a team
Ability to multitask and to work under pressure, prioritizing duties according to risk
Excellent problem solving skills in order to identify, understand and address operational and technical issues
Strong analytical and problem solving skills
Strong understanding of the transaction lifecycle
At least 2 years of experience managing a team of multiple people
Previous experience in the Financial Services industry, ideally with understanding of Equity Derivative and/ or Cash Equities products

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Securities Middle Office Trade Support Analyst Resume Examples & Samples

Commission/Fee Billing
Exception Management
Service Level Agreement (SLA) management and metrics
Process improvement
Risk Management
Develop industry knowledge of the products supported by the team
Display excellent analytical/problem solving skills in addition to having a sense of urgency regarding his/her responsibilities

Corporate Operations Group Middle Office Trade Support Resume Examples & Samples

Have minimum 2 years experience ideally in Equity Finance and Stock Lending
Work well in a team environment with good interpersonal skills
Demonstrate flexibility
Have high attention to detail and accuracy
Confirmation and verification of Equity DVP trades
Confirmation and verification of Stock loan transactions
Producing reports for compliance and risk
Producing and distributing Front office reports for the Stock lending and Collateral trading business

Private Banking Middle Office Trade Support Resume Examples & Samples

Processing of transactions initiated by Private Bank clients, Private Bank Investors, or events initiated by the issuer of financial products. This covers the trade booking on products such as global equity, fixed income, structured products, derivatives, dual currency notes and foreign exchange transactions. Coordinate with various internal/external counterparts to ensure timely trade processing/settlement
Identifying areas for a continuous improvement of operational efficiency and control, initiating new operational procedures while effectively managing risk and operational policy
Ensuring that confirmation of trade execution is sent to clients timely and accurately (pre-confirmation process)
Education Background
Excellent client orientation, able to learn the business quickly and provide effective solutions
Good analytical skills (good at problem solving and devising solutions)
Ability to make quick, logical decisions in fast changing environment
Minimum 5 years of experience in banking operation with a combination of middle/back office function
In-depth knowledge of securities & Foreign Exchange processing, transfer and settlement. Strong knowledge of all financial products across different asset class (shares, bonds, FX, structured products, derivatives, etc)
Proficiency in MS office applications (Word, Excel, Access with be an advantage)

Cib Operations Equity Middle Office Trade Support Associate Resume Examples & Samples

Oversee end to end reconciliations of firm positions and trade bookings
Perform a variety of daily control functions
Provide direct support to the trading desks as it relates to bookings, positions, and client and settlement queries
Partner with other MO and BO teams globally to resolve issues
Verify accuracy of risk and p/l required for trading
Coordinate creation and redemption of ETFs
Identify process weaknesses and work with technology teams to implement solutions
Understanding of the Equity business and control environment Experience in an operations role
Ability to multitask and to work under pressure, prioritizing duties according to risk and client profiles
Excellent communication and interpersonal skills, ability to partner with teams across Operations, technology, finance and the front office
Knowledge of derivative products including Equity Swaps, Div Swaps, Options and ETFs is preferable

Middle Office Trade Support Resume Examples & Samples

Trade confirmations
Settlements
Instructing Trades
Internal and External query resolution

Middle Office Trade Support Equity Derivatives Resume Examples & Samples

Confirmation and verification of Equity DVP trades
Confirmation and verification of Stock loan transactions
Producing reports for compliance and risk
Clearing reconciliation issues relating to a number of different derivative products
Producing and distributing Front office reports for the Stock lending and Collateral trading business
Direct contact to clients confirming Derivative payments
Trade booking and settlement queries

Derivatives Middle Office Trade Support Specialist Resume Examples & Samples

Confirm derivatives transactions (OTC’s, Swaps, Futures, etc.) with executing brokers
Process derivatives transactions from trading to internal systems
Prepare and distribute settlement letters to custodians
Resolve outstanding derivatives / collateral issues with brokers and custodians
Trade settlement (resolving settlement issues)
Maintaining and updating procedures for all derivative / collateral processes
Systems and data maintenance
Bilateral and Cleared OTC product knowledge and operational process knowledge (Experience with Futures and Collateral a plus)
Working knowledge of Markit, DTCC, Markitwire
Proactive/Team oriented
Strong analytical and mathematical skills
Quantitative orientation
Ability to prioritize responsibilities

CIB Ops-tokyo Equity Derivatives Middle Office Trade Support Resume Examples & Samples

Book trades in risk management system for OTC derivative / Cash Equities which are executed by Tokyo trading
Ensure the risk is correct in risk management system
Be responsible to monitor any types of control breaks
Be responsible to prepare regulatory reporting
Be accountable for ad hoc queries from various groups within the firm related to EDG
Drive and implement process improvement related initiatives
Analyze new business initiatives
Manage projects related to E2E review, efficiency realization, new initiatives, etc in local, regional, and global scale
Well motivated, enthusiastic, and strong work ethic
Ability to work in a pressurized environment with tight deadlines to meet on a regular basis
Ability to prioritize and deal effectively with multiple tasks
Ability to develop good relationships among the middle office members, front office, clients, operations, and others key functions within the organization
Derivative Middle office experience preferred but not essential
Numeric person with a good eye for detail
JSDA 1st and 2nd class Sales Representative license holders
Strong PC Skills (Excel, Word, Lotus Notes) essential, Excel Macro and MS Access (preferred)

AM, Middle Office Trade Support Specialist Resume Examples & Samples

Support Financial Advisor and new client On-Boarding processes
Provide issue resolution for any complications/problems that may arise
Trade Error and correction Reporting and Monitoring
Trade Allocations
Retail Broker Services
Client/Broker Trade Servicing
Liaison between trading desk and back office
Domestic and International Syndicate trading support
Call backs
JPMCC operational Knowledge and background
2+ years of Operations experience
Experience working with various complex products groups
Understanding of Brokerage Business
Ability to multi-task and strong attention to detail
Adapt to changing needs & deadlines and remain calm when under pressure

Global Fixed Income Cash Middle Office Trade Support Resume Examples & Samples

Product coverage includes Corporate bonds and US Treasuries
Working directly with the traders and structures to understand each deal to ensure seamless trade entry and flow to subsequent back-office systems
Reconciliation of trades between front and back end trading systems
Understand trade reporting rules to regulatory bodies including FINRA (TRACE)
Metrics reporting for upper management and control teams within the Middle Office
Ensures all issues are dealt with effectively and resolved accordingly in a timely manner

Global Fixed Income Cash Middle Office Trade Support Associate Resume Examples & Samples

Provide operational support for the NA Corporate Credit High Grade and High Yield desks
Understand system flow and front to back operations of trade processing including settlements, PnL and confirms
Drives Middle Office change management in coordination with Technology to increase automation and controls

CIO & Treasury Asia Middle Office Trade Support Associate Resume Examples & Samples

Managing operational processes and controls, across asset class, through the transaction life cycle
Monitoring all settlement queries relating to these trades
Monitoring and reporting around daily IBOR submissions across the region
Responsibility for submission of new swaps to London Clearing House and other relevant Clearing Houses
Full participation in all unwinds/assignment packages for IRS & Credit derivatives (including novation consent via DTCC)
Liaising with both Front Office and Back Office and engaging the back office partners in regular root cause exception analysis
Weekly collation of metrics for submission to FED
Weekly collation of operations KPI’s for submission to senior management
Responding to various ad-hoc information requests by other businesses, such as MRM, VCG, CFO / BM, VARS
Coordinating technology related developments and maintenance with regards to trade processing
Driving synchronisation of operations & technology engagement in the delivery of change
Swift resolution of trade related issues & understanding the fundamentals of the transaction cycle
Ownership of trade break resolution
Ability to quickly understand a complex matrix of operating systems and their interrelationships and dependencies
Relevant product knowledge
Experience of central electronic clearing/execution platforms (ICE, LCH, DTCC, Morcom, TradeWeb, Markit etc.)

Jpms Middle Office Trade Support Associate Resume Examples & Samples

Participate in the continuing strategic development of the Middle Office operating model, and help validate proposed ideas/plans prior to implementation
Trade breaks
UIT Trading
Regulatory Reporting
2 years of Operations experience
Experience interfacing with Custodians, Fund Accountants/Administrators
Have excellent attention to detail and concern for all aspects of the job
Are able to evaluate and analyze data from multiple sources in a fast-paced environment
Have exceptional communication and personal skills
Are focused on the customer

Asset Management GWM Investments Middle Office Trade Support Analyst Resume Examples & Samples

Support users of the following Private Bank applications: Workstation, Brokerage Trade Tickets, SDI Prism, and GSTP
Addressing ad hoc queries from operations, technology, and the front office
Participating in User Acceptance Testing (UAT) phases for defect fixes, enhancements, and other strategic initiatives
Facilitating training for new application users
Working with the business, technology, and operations to determine priorities, schedule of releases, and writing specifications
FINRA Series 7
Private Bank, Private Wealth Management or Chase Wealth Management experience preferred
Must be highly disciplined, a self-starter, and have the ability to execute on assignments independently
Client Service, Brokerage/Trade Operations or Technology background is a nice to have

Equity Middle Office Trade Support Manager Resume Examples & Samples

Coordinate with different areas, including Technology, Product Control, Business Management, Market Risk, and Settlements to implement process, system and product changes
Liaise with traders and counterparties to ensure accuracy in trade capture
Provide support or resolve any adhoc queries pertaining to the booking, p/l or risk representation for traders in the books
Work with Traders, Finance and other groups to resolve various issues affecting PnL
Calculate maturity payoffs and coupon amounts
Investigate and resolve issues causing breaks or failures for the supported business
Monitor various controls implemented to mitigate risk to the business
Produce statistics and MIS
Develop members of the team as individuals and a collective support team
Drive business, control and regulatory agenda
Influence technology teams to prioritize work that will provide benefit to team
First point of escalation for desk heads
Consistent focus on improving efficiency and control
Previous experience in the Financial Services industry, ideally with understanding of Equity Derivative and/ or Cash Equities products
At least 2 years of experience managing a team of multiple people
Ability to face off to very demanding stakeholders, managing their expectations but moreover develop strong working relationships with them,
Excellent problem solving skills in order to identify, understand and address operational and technical issues
Strong communication skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution

GIO Middle Office Trade Support Resume Examples & Samples

Education: Bachelors degree required (Degree in Finance or Economics preferred)
Work Experience: 5-8 years broker dealer or wealth management experience
Problem Solving Skills: ability to identify complex risks early and develop actionable mitigation plans
Client management and teamwork skills: demonstrate ability to be flexible in working with stakeholders and colleagues at all experience levels
Project Management skills: candidate must have ability to create practical and comprehensive implementation plan and partner with all levels of management and stakeholders to gain consensus
The ability to work in high-pressure situations
Strong Excel skills; VBA macros a plus
Strong understanding of derivatives and how they are used
Series 7 license required
Series 63 license required
Language Skills: Ability to speak and write Spanish at Professional level is a plus

CAO Ops-ib Equities Middle Office Trade Support Resume Examples & Samples

Check to ensure all trades are fully routed to downstream systems
Ensure that all books are closed & run at EoD and that P&L is signed off
Pre-match trades against counterparty
Resolving and managing the risks associated with failing trades – requiring frequent communication with trading desks and back-office settlement teams
Maintenance of trade flow and counterparty reference data to ensure trades are processed accurately
Analysis of trade cancels/ amends and late bookings to identify systematic, trade flow or behavioural trends to drive procedural and strategic process improvement
Timely resolution of breaks on system-to-system reconciliations and trade flow controls
Acting as SME for core systems (e.g. Firestar, Sphinx, Napoli) and ensuring systems offer required functionality and that user configurable logic is up to date and accurate
Ensuring issues are escalated in a timely manner to allow proactive corrective action and avoid the business incurring unnecessary costs or reputational risk
Understanding specific client/ product/ market sensitivities
Building collaborative relationships with technology teams, the business and other MO and BO teams
Identifying and applying best practice
Looking for innovative solutions to reduce error potential and improve control infrastructure
Staying up to date with market wide initiatives, technology developments and new business initiative
Strong securities knowledge is required; understanding of derivative products is a plus
A minimum of one year prior Operational and/or line experience, is required
Keen to question everything and understand the detail behind the process
Strong PC Skills : in particular Excel, Word and PowerPoint

Interest Rates Derivatives Middle Office Trade Support Resume Examples & Samples

Trade booking and processing STP trades into risk management system
Trade verification and review against legal documents
Maintaining controls and events for transaction lifecycle including refixes, settlements, confirmations, and so forth
Supporting Front Office and Operations partners with P&L, Risk and operational queries for the trading books within the Tokyo Rates business
Partnering with technology and other stakeholders in view of developing strategic operating and risk management agendas
Participating in local and global led projects aimed at streamlining the business and increasing efficiency
Experience working in banking or securities operations
Understanding risk and controls within Operations
Experience working in banking, securities operations, financial institution or Big4 accounting firm
JSDA qualification is a plus although not mandatory

Fixed Income Middle Office Trade Support Analyst Resume Examples & Samples

The candidate will be the liaison between back office settlements and three main front office groups- High Yield, High Grade, and Loan Funding
Candidate will be responsible for trade reconciliations, position balancing, daily trade breaks, client interaction, physical and regular way settlements, corporate actions, and loan closings
Prospective hire will be working in a fast paced high stress environment
Significant opportunity to learn about all aspects of Global Credit Products
Interaction with clients and trading counterparties

Middle Office Trade Support Specialist Resume Examples & Samples

Fluent verbal and written English
Bachelors Degree or Master Degree in Finance, Economics, Management
Interest in financial markets and trades
Proficiency in Microsoft Word and Excel would be an asset
Ability to provide support to other team members by answering questions and offering guidance

Rates Middle Office Trade Support Analyst Resume Examples & Samples

Take a leading role assisting with a wide range of Middle Office tasks, ensuring the accuracy of processes and the firm's book, as well as providing a high level of service for clients
Work closely with the Rates Business providing full operational Trade Support
Managing the pre-on boarding of clients and responding in a timely manner to different internal business partners, including, Finance, Settlements and many others
Producing of daily P/L reports as well as support to Risk Managers in modeling of markets
Position reconciliation and resolving of any breaks
Fluency of Japanese and English in the business level is a must
Understanding of how a Investment Bank works
Knowledge of IT, Microsoft application particularly in Excel

AM, GIO Middle Office Trade Support, VP Resume Examples & Samples

Must have good prioritization and multi-tasking skills
Knowledge of clearing, settlements, and asset services
Series 99 license required
Series 7 and 63 license are a plus
Ability to speak and write Spanish at Professional level is a plus

CFI Middle Office Trade Support Specialist Resume Examples & Samples

Bachelor’s degree in a business related field
5 or more years experience in a fixed income trading or operations environment
FINRA Series 7 license strongly preferred
Thorough understanding of bond market dynamics and best practices
Proficient user of MS Excel and/or Access - other database/query skills
Experience with Bloomberg or Phase3 a plus

Global Mortgage Products Middle Office Trade Support Specialist Resume Examples & Samples

Trade exception resolution
Ad hoc queries from traders/sales/clients
Liaise with internal teams on break resolution
Manage life cycle events, allocation support, and/or novation management
Support new products and activities for the credit business
Industry initiatives and internal enhancements
At least two years of professional experience in Operations
Excellent teamwork skills and ability to work with a wide user group across multiple functions
Innate curiosity and drive
Significant control and risk management mindset
Self-motivated and confident when dealing with senior members of the firm