Operations Resume Samples

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R Hegmann

Roxane

Hegmann

4319 Bechtelar Creek

Phoenix

+1 (555) 804 7377

4319 Bechtelar Creek

Phoenix

Phone

p +1 (555) 804 7377

Experience Experience

New York, NY

Operations

New York, NY

Johnston, Marquardt and Pacocha

New York, NY

Operations

CI Portfolio Management: Track, manage, and govern IZ improvement delivery and continuous improvement portfolio including creation and maintenance of KPI?s
Coach, mentor, develop and conduct performance evaluations on leadership staff to improve their performance
Work to create / improve metrics that record key risk indicators and the quality of our data and maintain a process to efficiently execute on these
Work closely with Ops Senior Management, Sec Div Compliance, and Sales PMDs in the Securities Division to develop and execute on firmwide compliance strategy
Use your innovative mind to make improvement to the expense management work flow and system to achieve greater efficiency and effectiveness
Assist manager(s) in Proving status updates to internal clients and our management on a regular basis to create transparency and to reduce risks
Perform trade settlement/fail management for managed account platforms where trades are executed with external counter parties

present

Chicago, IL

Operations

Chicago, IL

Dibbert-McGlynn

present

Chicago, IL

Operations

present

Assist manager(s) in providing status updates to management on a regular basis to create transparency and to reduce risks
Liaison with Asset Management PMO to provide assistance and management of project management processes, tools/templates and reporting
Work closely with Ops Senior Management, Business Partners, and Operations counterparts to develop and execute on firmwide strategy
Change Management: Execution of projects and initiatives to introduce efficiency and improve the Team?s risk management framework
Balance Scorecard Development: Collaborate with business areas to define key performance indicators, establish baselines and set performance targets
Business Case Development: Develop problem statements and evaluate them in relation to baseline performance and improvement goals
Work to create / improve metrics that record workload drivers and build process to efficiently maintain changes to these

Education Education

Bachelor’s Degree in Communication With Salespeople

Ball State University

Bachelor’s Degree in Communication With Salespeople

Skills Skills

Calculation and issuance of margin calls, including validation and follow up, ensuring calls are met in a timely manner
Perform approvals and manage workflow
Respond to and manage incoming queries
Proactively working on enhancing the team’s process and controls
Resolution and escalation of all client disputes and queries
Project and initiative management and participation within the team and across all regions
Manage the planning/implementation of projects in Asia Pacific Operation
Partner with Technology to create solutions that are technically viable and operationally acceptable
Capture business benefits, ensure solutions will deliver the benefits and track the delivery of those benefits to the department
Production of project plans in partnership with Technology, management of changes to those plans in a controlled manner

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Operations Resume Examples & Samples

Lead efforts to design and develop taxonomies and evolve the Operations Division’s ontology
Facilitate discovery sessions with a wide range of business and technology stakeholders
Evaluate existing taxonomies and knowledge sets for inclusion in Operations Division taxonomies
Conduct logical validation and inference analysis for new taxonomies using taxonomy management tools
Advocate the use of ontologies and semantic technologies within the Operations Divisions
Act as the Operations Division contact for Technology regarding data and functionality requirements for a taxonomy management platform
Advanced degree in mathematics or philosophy with a strong emphasis on logic
Professional experience applying ontologies in data, artificial intelligence, or application environments
At least 5 years of experience in developing and managing large or multiple taxonomies and search technologies
Experience with developing and implementing strategies for enterprise taxonomy development and deployment
Experience developing and managing business-specific taxonomies, controlled vocabularies and metadata schemas for organizing information assets
Experience implementing taxonomies in enterprise content management systems and with taxonomy and thesauri management software
Working experience in the financial services industry
Strong communications abilities, especially with synthesizing and arbitrating different points of view
Must have strong problem solving and conceptual thinking abilities
Successful track record of integrating enterprise taxonomies with enterprise information systems

Operations Resume Examples & Samples

Manage exceptions relating to sub-allocated trades
Demonstrate knowledge of settlement and payment procedures and deadlines in order to avoid fails (including DTC, fed wire, physical, European domestic and Euroclear)
Facilitation of the account opening and documentation process with Operations, documentation, credit and Legal teams
Assist in day-to-day settlement activities primarily in Americas and European markets
Interact externally with GSCO Institutional clients, DTC brokers, counterparties, custodian banks, and transfer agents; interact internally with operations (securities/clearing/global control) and revenue businesses
At least 3.5 years of work experience in Finance or related field

Operations Resume Examples & Samples

Engage with Operations subdivisions to review business processes, generate recommendations leveraging different analysis techniques including Six Sigma, and quantify business cases for subsequent implementation
Lead the effort to integrate design standards, approaches, tools and other enablers into one coherent Business Process Management capability for Operations to use in designing solutions. In developing our design capability we are first and foremost focused on process design and need to establish a strong business process management capability
Collaborate with change groups both inside and outside of Operations to ensure our BPM capability is understood, adopted and supported
Drive the streamlining and standardization of business processes performed across the Operations Division
Build relationships with key stakeholders in Operations and be an evangelist for BPM throughout the Division
Bachelor's degree required, preference for an engineering discipline
Previous experience in financial services, management consulting, industrial process design, and business process outsourcing
Experience using Aris (Software AG) or Signavio
Hands on experience of one or more quality management methods i.e. LEAN, Six Sigma, Kaizen, TQM, BPR
Process modeling, design and optimization experience using BPMN
At least 2 years of work experience in practical process improvement and/or process re-engineering
Graduate Degree in business or engineering preferred

Operations Resume Examples & Samples

Support the delivery of cross-Operations, high priority projects across all typical project phases
Project initiation and scoping, including definition of plans and setting and managing realistic expectations for successful delivery with project stakeholders
Business analysis and requirements definition
Testing and implementation, in particular user acceptance testing
Ongoing project management, including progress monitoring, reporting and quality assurance throughout the project
Build and manage strong relationships with project sponsors and stakeholders in Operations, Technology and the business. Manage competing priorities across these groups
Understand the firm’s and Operations’ strategic plans, business, process and architecture in order to influence design and develop solutions
Work with Operations business units to assess and streamline processes in order to mitigate risk, cost or service issues and generate efficiencies
Note: Flexible work schedule may be available
Minimum 3 years of work experience in a business analysis / project management function supporting both business process and technology implementations&#8217
Previous experience in Operations, Financial Services industry and / or Management Consulting
Demonstrate excellent process and project management skills
Strategic thinker with strong business analysis and planning skills
Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding
Ability to formulate the implications of a specific solution across processes, e.g. costs, risk, service
Project management skills including project scope definition; project issues, challenges, risks definition; status reporting; User Acceptance Test execution
Have a proven track record of scoping and driving delivery of projects and achieving results independently, on time and to budget inclusive of
Strong analytical skills including process analysis. Very strong interest in the underlying detail of the analysis is a must
Ability to design practical solutions
Strong organization skills - ability to handle multiple tasks and prioritize accordingly
Exemplary attention to detail and ability to work to tight deadlines under pressure

Operations Resume Examples & Samples

Play a major role on cross-Operations process and product solution definition, implementation and support
Co-ordinate cross-functional teams to develop key product solutions
Be the go-to Subject Matter Expert on a number of key core products
Co-ordinate and participate to ensure rigorous and high-quality functional user acceptance testing of core applications prior to deployment or major upgrades
Support and coordinate global communication efforts through many media and forums – video conferencing, email, training materials, global team meetings, product status updates
Define and implement sustainable governance processes around product deployment
Understand the firm’s and Operations’ strategic plans, business, process and architecture
Bachelors / Undergraduate Degree
1-3 years of work experience in a business analysis / project management function supporting both business process and technology implementations&#8217
Demonstrate excellent process, analysis and project management skills
Possess good facilitation and excellent data gathering skills
Highly collaborative, team player
Excellent communication and interpersonal skills written and oral; confident in interaction with stakeholders
Strategic thinker with strong business analysis and planning skills. Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding. Provides creative & innovative solutions. Ability to understand the implications of a specific solution across processes, e.g. costs, risk, service
Has good understanding of assisting in delivery of projects and achieving results independently, on time and to budget including
Ability to understand complex problems or opportunities, and define practical solutions
Great organization skills - ability to handle multiple tasks and prioritize accordingly
Demonstrate understanding of Operations processes and procedures and an ability to learn quickly. Knowledge of products and processes related to the financial services industry would be an advantage, as is related experience in technology strategy or in a client service or business function and / or management consulting
Demonstrate comprehensive understanding of job-related operational and compliance procedures
Understands and appropriately addresses Goldman Sachs compliance and reputational judgment issues

Operations Resume Examples & Samples

Approve asset movements leaving client accounts
Maintain integrity of customer accounts
Strong-self management, presentation, communications, escalation and interpersonal skills
Attention to detail and strong organizational skills
Compliance and/or regulatory experience a plus, not required
Series 7, 63 a plus, not required
Internally driven

Operations Resume Examples & Samples

Ensure timely and accurate capture/validation of corporate actions that affect GSAM portfolios
Maintain relationships with GSAM fund managers and custodian/prime broker contacts
Timely communication with the aforementioned contacts on relevant corporate actions
Effective and timely execution of relevant steps in the lifecycle of a corporate action
Bachelor’s degree
Experience with Microsoft Office applications, specifically Excel
Capability to prioritize and make decisions in a fast-paced environment
Energetic team player, able to work well inside a group
Demonstrates ability to independently troubleshoot and resolve most common problems that arise
Demonstrable operational product knowledge of at least one of equities, fixed income, derivatives and/or currency
Prior knowledge and/or experience of client reporting or fund reporting (1940 Act, Collective Trust, Cayman, Luxembourg)
Proactively seeks and undertakes appropriate training to further enhance client / market / industry knowledge
Demonstrates an in-depth understanding of how Operations supports the business, how risk is managed and how controls operate

Operations Resume Examples & Samples

Allocation and booking of client trades in GS systems
Reconciliation of GS books and records to the exchanges
Exchange and Intercompany margining
Reconciliation of consistency across GS entities and among various ledgers
Brokerage fees payment, receipt and reconciliations for give-up trades
Client and sales support for Listed Derivatives statement delivery
Monitor and follow up with counterparty brokers on trade and brokerage related queries
Generating various reports for regulators and internal clients
Testing new systems and architectures
Manage all executions done on Exchanges covered by Bangalore region
Allocation and booking of client/house trades
Resolving discrepancies between the firm’s books and records v/s exchange
Resolving any queries raised by clients on a T 1 basis
Look for constant innovation & process improvements
Monitor and report positions to various stakeholders
Minimum 3-4 years of experience
Proficiency with Microsoft Office (Word, Excel, PowerPoint)
Demonstrates the ability to manage and track multiple tasks and deliverables simultaneously
Strong ability to understand the complex process and to be able to articulate it clearly
Ability to proactively approach senior management at the appropriate timing, with the right amount of detailed information
Excellent analytical, communication both verbal and written, and organization skills
Strong professionalism and dynamism to act as a role model
Meticulous attention to detail and the ability to meet strict, aggressive deadlines
Strong risk management skills with the ability to come up with ideas for process improvement
Positive attitude, proactive approach and strong interpersonal and leadership skills
Ability to work and coordinate with teams across locations
Willingness to work flexible hours
Leadership and people management skills with ability to set a goal, make strategy and drive team to achieve it
Coaching skills to motivate team members, applying most suitable leadership approach
Understanding clearing of Listed derivatives on Asia and EMEA exchanges
Knowledge of specific applications such as GMI and exchange systems
Prior experience in similar field

Operations Resume Examples & Samples

Leverage firm systems to analyze position exceptions in customer HIC accounts, and work with hedge fund clients to resolve any resulting issues
Monitor and control risk associated with Prime Brokerage exceptions
Perform root-cause analysis on client issues, and work with technology and other operations teams to reduce exception volumes and prevent reoccurrence of errors
Help ensure the integrity of the firm’s books and records by proactively identifying control gaps and best practices
Develop and implement process improvement methodologies to enhance daily efficiency
Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint, Microsoft Word, and Access

Operations Resume Examples & Samples

Calculation and issuance of margin calls, including validation and follow up, ensuring calls are met in a timely manner
Perform approvals and manage workflow
Respond to and manage incoming queries
Project and initiative management and participation within the team and across all regions
At least 3.5 years of work experience in Operations or related field (Associate)
At least 3.5 years of work experience in Finance or related field (Associate)
Prior experience with the Margin Lending business, systems, flows, products and client base

Operations Resume Examples & Samples

Support new product origination and issuance of structured securitised derivatives
Portfolio lifecycle management of scheduled and market driven events (coupons, barriers, callable features)
New issuance documentation review to ensure integrity of risk and legal product document definitions
Monitoring and resolving open items on the suite of business critical control and position reconciliations
Constant interaction with the trading and sales desks on live issues and resolutions
Work closely with all Federation areas to resolve both client and internal issues whilst also expanding understanding of the business
Interaction across Operations and the broader Federation on strategic infrastructure development and business expansion
University degree holder
Minimum 2 years’ experience in Equity Derivatives Operations
Good understanding of equity derivatives products (eg: CFD’s, Options, Swaps and Certificates) an advantage
Middle office experience in an exotic/structured environment is preferred

Operations Resume Examples & Samples

Manage the planning/implementation of projects in Asia Pacific Operation
Undertake business analysis tasks on current operational workflows to redesign and document requirements for any new technology solutions
Identify and communicate the impact of business requirements on functional processes, work with impacted areas to implement those changes
Partner with Technology to create solutions that are technically viable and operationally acceptable
Capture business benefits, ensure solutions will deliver the benefits and track the delivery of those benefits to the department
Production of project plans in partnership with Technology, management of changes to those plans in a controlled manner
Facilitate communication across multiple areas including Sales teams, operations, technology, legal and compliance departments. Liaise with global counterparts to ensure best practices and global consistency
Define quality assurance and testing approach for projects. Document test cases and scripts, and run various types of testing phases including user acceptance, production data, production parallel, and conversion tests
Develop migration strategies for the operational processes, including risk mitigation, conversion and recovery plans
Perform post implementation reviews, including benefits analysis and lessons learned reviews
Minimum of 1.5 years industry experience in the Financial Services industry, preferably in Operations or Technology
Minimum of 1.5 years experience in a project management position with a proven track record of delivering complex projects individually or as part of a team
Proven track record delivering technology projects. Ability to understand and challenge technical designs and plans and to partner effectively with systems developers is essential
Project management skills and ability to execute a complete project lifecycle
Strong business analysis and business requirements skills, with the ability to identify, review and prioritize business requirements across multiple user groups. Evidence of active engagement in defining improved processes and solutions
Effective quality assurance and testing skills, including the ability to create test plans and test scripts, and track and resolve testing issues
Ability to collaborate effectively across front office, operations, technology, legal and compliance teams
Strong technical skills and familiarity with project management processes
Outstanding leadership, interpersonal, presentation and communications skills
Highly organized, attention to detail and excellent follow through skills, and ability to work independently and motivate a team. Capability to proactively determine next steps and break through stalemate situations

Operations Resume Examples & Samples

Provide innovative solutions to meet the ever changing risk management environment; define a vision for execution of a risk-management strategy
Facilitate industrialization efforts as part of the joint venture between the Industrialization team and risk
Build and manage relationships with key contacts and senior managers across all Operations business units, Operations Risk teams, Technology, Operations Strategists and other firmwide risk groups
Manage projects involving architecture changes, new system builds and enhancements to existing systems
Articulate concepts & ideas into technical requirements; produce detailed requirements documentation and achieve sign off from stakeholders
Communicate project goals and status through the life-cycle of the project
Develop testing and implementation approaches and manage user acceptance tests, production parallels and migration plans
Provide process / procedures and a framework for production support of the newly-built applications or processes

Operations Resume Examples & Samples

Analyze operations process flows continually for the enhancements of quality, reliability, cycle time, cost reduction, and yield
Investigate production quality issues to identify root cause and implement appropriate corrective actions
Create and analyze ad hoc reporting, to determine trends and trouble shoot business process problems and issues. Deliver recommendations to leaders and business process owners
Establishes critical success factors for the processes including the associated metrics to assess success, communicate results and drive the changes to effectively increase performance
Coordinate with operations business units to align their work functions to end to end processes and collaborate with business areas to define key measures of performance and analyze potential improvement actions
Establish and maintain process metrics and take corrective actions to correct process deviations
Lead the implementation of small capital projects
Bachelor's Degree in Engineering or Operations Management
Process modeling, design and optimization experience
Lean Six Sigma skills with Black Belt certification preferred
Experience with aligning stakeholders, facilitating conflict, and communicating information in a way that enables leaders to have transparency on the underlying issues and potential solutions in varying settings including workshops, small group sessions or one-on-one meetings
Minimum 5 years' experience in-house at a financial services firm or consulting firm
Previous Operations related experience

Operations Resume Examples & Samples

Provide technical expertise related to the implementation of new processes, global consistency, risk management, efficiency, and technology convergence initiatives among other projects
Minimum 2 years of experience
Has personal impact and experience to negotiate effectively with other internal groups, including front office

Operations Resume Examples & Samples

Join team focused on client data quality and executing regulatory requirements while working with colleagues across multiple divisions globally
Resolve issues and identify and implement process improvements related to client data by partnering with PWM Business, Compliance, Legal, and Operations groups
Review client provided legal agreements and other account documentation for completeness and accuracy
Create test plans, test cases, and scripts for full integration testing of complex applications and ensure that they support project goals
Produce various executive status reports, and analyze data to ensure an accurate and meaningful consolidated global view on a regular basis

Operations Resume Examples & Samples

Monitor daily reports on exceptions and problems by identifying root causes, and manage risks associated
Coordinate pre-settlement activities including trade confirmation reviews and inventory management
Respond to Ad hoc queries from traders, sales or clients
Work with Operations business units to assess and streamline processes in order to mitigate risk or control issues and generate efficiencies
Drive change management process for Industry Initiatives and internal enhancements
Bachelor’s Degree (US or equivalent)
Demonstrate strong communication skills and confidence in both written and verbal forms
Demonstrate strong organizational/multi-tasking skills to cope with rapidly changing priorities throughout the day
Demonstrate strong analytical and problem-solving skills
Demonstrate understanding of Operations processes
Takes initiative to improve performance outside scope of day to day
Proficient with computer application and comfort with learning complicated systems

Operations Resume Examples & Samples

Liaise with Derivatives, Clearing and Security Operations teams across the globe to ensure accurate application of cash and reduce client and liquidity risk
Maintain close relationships with market counterparts, agent banks & internal business partners, as well as daily interaction with Global Treasury Operations teams in Tokyo, Hong Kong, Singapore, London, New York and Salt Lake City
Assessing reconciliations and systems requirements for New Products as well as being involved in any initiatives undertaken to improve application of cash such as SWIFT messaging improvements
Oversee the execution of high value or sensitive transactions (for Equities, Bank Loans, IBD and IPO’s amongst others)
Manage and resolve payment related investigations, such as amendments, recalls, tracers and cancellations
Minimize financial, reputational and regulatory risk to the firm and its clients
Analyse and resolve exceptions, escalate risk items to management and the business
Work towards improving efficiency & control of existing processes
Defining and implementing necessary controls for new business flows in emerging and growth markets
Develop and motivate diverse teams on departmental vision and strategy
Exhibit confidence in communicating in a variety of forums, including one-to-one feedback sessions, formal presentations, training sessions and town halls
Translate Firm and Operations strategies into objectives for the Department, and proactively manage performance against these deliverables
Managing risks in the process by implementing and reviewing relevant controls
Represent Treasury Operations on various cross department initiatives
Manage and develop team members

Operations Resume Examples & Samples

Partner with AML Compliance to ensure all AML requirements are met for new clients and/or accounts and new AML policies and regulations are fully implemented within Global PWM
Work closely with PWM Teams to prepare Account Opening Documentation and ensure all necessary documents and disclosures are correctly sent to and obtained from client
Ensure new accounts comply with all jurisdictional laws, regulations and firm policies
Review client documents including organizational documents for entities to ensure proper account set up and all required signatures have been obtained
Ensure suitability review has been completed via Client Profile Form (CPF)
Identify red flags at client onboarding stage
Liaise with other Operations Teams to ensure additional client documents received through onboarding process (Tax Forms, Banking Services Forms) are delivered to appropriate teams in timely manner

Operations Resume Examples & Samples

Support the Goldman Sachs loan portfolio through ongoing monitoring of client compliance with financial covenants
Communicate with internal groups to highlight credit risk concerns through weekly reporting and calls with Lending and Credit teams
Correspond with external and internal parties to collect all required deliverables for covenant compliance
Generate and distribute reporting to alert Lending Team of delinquent and non-compliant covenants
Coordinate with internal tax and insurance team to monitor client’s collateral
Manage projects for process and system improvements
Loan servicing or operations background
Some depth of loan product knowledge

Operations Resume Examples & Samples

Document functional requirements for technology to describe the required changes to reporting processes as a result of rule changes or other change management initiatives
Serve as stakeholder representing the group in firm-wide new business initiatives, managing the impact assessment reviews and implementation of changes to reporting as needed
Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiatives on regulatory reporting
Conduct deep dive reviews into existing reporting rules, processes and associated infrastructure
At least 4 years of business experience in financial services
At least 3 years of Project Management experience including development and tracking of project plans and preparing scope and user requirements documents
At least 3 years of securities processing/clearing experience
At least 2 years of preparing test scripts and coordinating user acceptance testing
Strong technical skills, along with general understanding of system development lifecycle
Strong analytical skills (strong Excel skills; basic SQL a plus.)
Excellent communications and organizational skills
Strong ability to partner with other areas e.g. Legal/Compliance to understand complex regulatory reporting requirements

Operations Resume Examples & Samples

Interact with end users, senior management, and others to understand current issues in Operations, gaining broad exposure to the division’s and the firm’s business activities
Total experience of 3+ years
Strong understanding of computer science fundamentals and programming experience in a variety of languages ( Python, Java, Scala, C, C++, etc.)
Strong interest in database technologies, such as SQL or Hadoop
Understanding of distributed systems

Operations Resume Examples & Samples

Process all loan related asset servicing: borrowings, repayments, rollovers, conversions, commitment reductions
Communicate with external counterparties which may include Agent banks, borrowers and lenders daily regarding loan activity
Communicate closely with internal counterparties such as Middle Office, Legal, Tax, Controllers, etc
Cash/Wire Reconciliation Experience

Operations Resume Examples & Samples

At least 2 years of work experience in accounting
At least 2 years of cash/wire reconciliation experience
At least 2 years of work experience in loan operations
Ability to work in fast paced environment; need to think and make decisions quickly
Fast learner with a proactive approach

Operations Resume Examples & Samples

Perform daily transaction and position reconciliations such as subledger to general ledger, with external clearing agents/depositories, between intercompany accounts and other types of internal books and records functions
Research reconciliation discrepancies, provide follow up and complete resolution
Interact continuously with various operational areas such as Securities, Derivative, Clearing and Controllers to name a few groups
Perform root-cause analysis on exceptions and make recommendations for process improvements
Continuously assess reconciliation workflows to ensure maximum efficiencies and auto-match statistics
Monitor and report suspense account balances to report differences in securities and/or cash settlement amounts
Perform month-end procedures to meet regulatory requirements
Work with other team members to ensure that the group’s overall goals and deliverables are met
Knowledge of Operational Process Flows
Client service oriented
Proactive approach in addressing issues
Exhibits strong problem solving and organizational skills
Able to handle multiple tasks and prioritize accordingly
Must demonstrate considerable energy, focus, drive, and a sense of urgency

Operations Resume Examples & Samples

Risk Management (RM) team has a primary responsibility to provide a rigorous framework that enables future activity to take place in a consistent and controlled manner. This involves providing a comprehensive and structured understanding of business activity, volatility and project opportunity / threat as well as providing risk mitigation and prevention services and optimising operation efficiency
Fund Administration (FA) has primary responsibility for Net Asset Value and Portfolio Accounting as well as providing high quality Fund Administration services for the client funds administered. This involves daily trade date cash and position reconciliations as well as daily settle date position reconciliations, between the client and Prime Broker. In addition, they will undertake monthly price and position reconciliations between the Client, Prime Broker, and GSAS. In this process they work closely with, and in support of, Fund Accountants
Daily Cash & Position Reconciliation with custodians & Prime Brokers
Daily Price/Position/Total Equity reconciliation for Futures and OTC derivatives products
Daily/Monthly Portfolio Market Value reconciliation with Fund administrators
Daily projection & reporting of tradable Cash & Position to respective desks
Monthly Standard Client reporting for Institutional Client Portfolios
Processing, controlling, confirming and settling the firm’s and our client’s transactions to a high quality standard as well as internally generated transactions necessary to conduct business
Obtaining sound understanding of a wide range of financial products and markets as well as broad knowledge of our systems, with emphasis on life cycle, market practices and regulations
Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Operations Resume Examples & Samples

Assist in developing and integrating quality control framework for new and existing processes
Responsible for managing local team comprising of analysts and associates
Regional point of contact for managing queries and escalations
Partner with Compliance to implement new and updated policies to satisfy regulatory obligations
Collaborate with line teams to ensure sound and consistent practices across the division
Coordinate and conduct training sessions for regional teams on new and updated policy guidance
Conduct quality assurance reviews to ensure adherence to firm policies
Assist with audit preparations in response to internal and external regulatory inquiries
Participate and contribute to industry-wide initiatives

Operations Resume Examples & Samples

Interface with, and understand all facets of the GSEC franchise to serve as the centralized point of contact for operational inquiries
Foster premium client service by building single point of contact relationships and attending client visits
Drive strategic root cause analysis on client’s operational allocation and trade processing (booking / amendments / settlements / fails) exceptions and inefficiencies
Partner with the Operations Client Experience (OCE) and the Clearing Client Service (CCS). teams to drive client service and functional consistency
Obtain in depth equity, fixed income, and option product knowledge

Operations Resume Examples & Samples

Liaising with external & internal clients to maintain the integrity of data
Process improvement and increased efficiency, and working to ensure costs are managed at the same time as maximizing control
Accelerate Industrialization strategy which helps adapt to the new environment by selecting the right goals, developing the right behaviour’s and investing in the right tools
Minimum 4-6 years of experience
Strong communication and interpersonal skills written and oral; confident in interaction with all levels of employees
Proficiency in Microsoft office applications (Excel / Power point / Word)
Ability to deliver / Attention to details & deadlines along with adhering to risk and controls
Forward thinking with the ability to assert new ideas and follow them through / finds alternative solutions and identifies clear objectives
Be responsible for, willing to continuously invest in learning / training to stay abreast of constantly changing policy requirements including keeping abreast of industry developments related to AML and be able to demonstrate this
Where needed act as the intermediary between Compliance, Legal and the business to achieve commercial outcomes that does not compromise our ability to comply with the AML Policy

Operations Resume Examples & Samples

Minimum 2 years work experience in relevant function
AML Compliance or other risk assessment experience strongly preferred
Ability to understand large and complex regulations and rule sets
Previous experience in writing policies and procedures
Previous experience in people management
Understanding of Risk – operational, reputational, client confidentiality etcResourcefulness, strong judgment and problem solving skills
Previous exposure to project management or business analysis is desirable
Ability to communicate effectively in both written form and verbally with peers and management
Ability to work in a dynamic environment and respond to tight deadlines and changing requirements

Operations Resume Examples & Samples

Assist in day-to-day settlement activities in US (DTC & FED), Canadian, Latin American and International markets
Integral part of overseeing and satisfying regulatory requirements for 15c3-3 and Rule 204
Interact externally with counterparties, custodian banks, and transfer agents; interact internally with Operations and revenue businesses
Understand process flows and market requirements to help direct global convergence strategies
Ensure risk, control and service level requirements are maintained
Management reporting and transparency, leading by example
Build on commercial effectiveness between firm desks and settlements while maintaining control/risk based judgment
Assist with project initiatives designed to improve and streamline existing processes
Devise and implement process improvements by partnering with Technology
Solid leadership skillset with proven track record (people management experience a bonus)
Self starter – Ability and motivation to learn new functions quickly
Demonstrate accountability, integrity and quality of work
Able to work under time critical constraints and execute to deadlines in a high pressure environment
Experience in project planning, coordination and implementation

Operations Resume Examples & Samples

Review and analyze master documentation (e.g. ISDAs/CSAs)
Model complex legal and credit terms into firm systems for downstream consumption
Identify key risks in documentation and develop new workflows or controls to mitigate this risk
Liaise with Legal, Credit, Middle Office, Strats, Corporate Treasury, Collateral Management and other internal GS teams on adhoc issues
Develop a comprehensive understanding of how various legal and credit systems impact other areas of the firm
Streamline existing processes to increase throughput for documentation review
Work with Technology on strategic enhancements to the firm’s existing infrastructure
Coordinate with the global team to produce reports and metrics
At least 4 years of professional work experience in a related field
Knowledge of ISDA documentation and supporting CSAs
Knowledge of Derivatives business
Understanding of Securities
Legal, Credit, Corporate Treasury, Funding background
Strong attention to detail - goal of zero defect in work product
Strong control orientation
Ability to work independently as well as be part of an interactive team
Ability to multi-task, prioritize, and manage projects
Good problem solving skills/solid judgment
Excellent verbal and written communication – role requires a lot of interaction with internal clients
Ability to grasp complex concepts quickly
Self starter who will push themselves to learn

Operations Resume Examples & Samples

Communicate effectively across regions and with regional managers
Resolve issues/disputes with clients
Delivers superior client service
Collaborate with GSS’s business unit to support client business and resolve issues
Prime Brokerage/GSEC/Listed Derivatives and/or cash management experience a plus, but not required

Operations Resume Examples & Samples

New account opening
Account maintenance
Performance of account linking
Prime Brokerage functions
Support and execution of on-going projects

Operations Resume Examples & Samples

Ensure due diligence is performed to comply with “Know Your Customer” regulations
Draft procedures to reflect changing regulatory requirements
Implement process improvement efficiencies
Coordinate with internal and external clients to obtain relevant on boarding requirements
Approve the opening of new accounts
Knowledge of Customer Identification Programs (CIP)
Understand structure of trading counterparts
Knowledge of financial markets and products
Prudent in escalating potential risk to the Firm
Securities Registrations

Operations Resume Examples & Samples

Primary functions will be to assist with the regs requirements and necessary regulatory filings for our physical commodities
At least 3.5 years of relevant work experience
Strong understanding of Physical Commodities specifically, Coal, Crude Oil, Uranium, Freight and Base Metals
Previous experience of working directly with the Front Office
Strong communication, interpersonal, and presentation skills
Excellent technical and analytical skills, absolute attention to detail, accuracy, and control focus required
Control awareness
Proactive, self starting individual with high levels of ownership
Ability to work well under pressure, in a high-pressure environment
Ability to prioritize workloads and use a proactive approach to meet deadlines
Mature and pro-active approach to generating solutions for daily and long-term challenges
Be driven, enthusiastic and dynamic in search of improving processes, controls and procedures
Excellent team player, with high level of team orientation
Excel Skills preferred but not essential

Operations 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
Excellent teamwork skills and ability to work with a wide user group across multiple functions
Significant control and risk management mindset
Self-motivated and confident when dealing with senior members of the firm
Ability to work in a high-pressure environment
Good PC application skills and comfort with learning complicated systems
Derivatives background a plus

Operations Resume Examples & Samples

Bachelors Degree (BA/BS) with competitive GPA
Strong communication and interpersonal skills, both written and oral
Proficient in Microsoft Office tools
Bachelors degree in a quantitative discipline
Self-starter, who thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives
Previous internship experience in
Financial Services
Management Consulting

Operations Resume Examples & Samples

Bachelors Degree (BA/BS)
Minimum 4 years of professional experience
Minimum 2 years of practical process improvement and / or process re-engineering
Hands on experience of one or more quality management methods i.e.: LEAN, Six Sigma, Kaizen, TQM, BPR
Ability to work across products, regions and functions
Ability to work in project teams to help formulate the implications of a specific solution across the process, e.g. costs, risk, potential for re-use of services developed, etc
Excellent communication and interpersonal skills, both written and oral
Highly collaborative, team-oriented and strong consensus builder with confidence in interaction with senior stakeholders
Masters Degree in business or engineering
Previous experience ideally from
Financial services
Management consulting
Industrial process design
Business process outsourcing
Experience in use of Aris or Signavio

Operations Resume Examples & Samples

Handle cash management, assist teams in subscription and redemption of Hedge Funds, Private Equity Funds and Money Market Funds
Assist on projects related to new business development, strategic planning, product development and other marketing infrastructure issues
Infrastructure re-engineering – working with global project team in enhancing the platform
Training – formulate training and development for analysts
Minimum 2 years of work experience with previous client service experience preferred
Cantonese and Mandarin language skills a must (Business level)
Highly motivated and results orientated, have a high level of self initiative to challenge and improve processes
Able to manage multiple task or projects and manage deadlines effectively
Strong team player who is able to work under pressure
Strong understanding of risk and control framework in operations

Operations Resume Examples & Samples

Involvement in both short term and longer term initiatives employing typical project phases
Project initiation and scoping, plan definition and setting and managing expectations for successful delivery with project stakeholders
Testing and implementation, coordination of user acceptance testing
Preparing status reports, conduct meetings to follow-up on issues and monitor progress of all work threads
Ongoing project management and quality assurance throughout the project
Build and manage relationships with key project stakeholders in Operations and Technology
Develop broader global partnerships across Operations, broader Federation and the derivatives business
Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiatives
Minimum of 5 years experience in a project management or business analysis role
Have a proven track record of assisting in delivery of projects and achieving results independently on time and to budget including
Ability to coordinate and gain consensus across multiple groups (Operations, Legal, Compliance, Technology), in multiple regions, at various levels of seniority
Solid understanding of the derivatives business and related products
Highly articulate with strong verbal and written communication skills
Demonstrate understanding of Operations processes and procedures and an ability to learn quickly – knowledge of processes related to Operations or the Financial Services industry, particularly in respect of derivatives or regulatory reporting, would be an advantage
Demonstrated ability to work across products, regions and functions, preferably in the financial services industry and / or management consulting
Technical aptitude and ability to partner with and provide sounding board to IT on technical solutions
Very organized, able to work independently, and manage conflicting priorities

Operations Resume Examples & Samples

Identification and reconciliation of operation risk items
Partnering with internal counterparts to provide the best operation services to the clients
Liaising with the Trading/Sales desks to ensure correct risk representation in Front Office risk systems
Defining new system specifications and carrying out subsequent UAT testing
Quick to pick up new concepts, challenge the status quo, identify inefficiencies in trade processing and execute change
System literacy, (i.e. Programming Excel Macros, VBA etc) is an advantage

Operations Resume Examples & Samples

Provide support for priority cross-operations strategic initiatives, including analysis, business requirements, senior management communications and program execution
Support all phases of major initiative development from concept through tangible deliverables, resulting in multi-year implementation plans for significant segments of Operations’ strategic architecture
Interact comfortably with stakeholders and other constituents at all levels in Operations and Technology
Graduate or of graduate calibre
Minimum of 4 years experience in investment banking operations and business analysis/project execution
Proficient in Microsoft Word, Excel, Project & Visio or other business process management software
Excellent communication and interpersonal skills both written and oral; confident in interaction with all levels of employees and navigating organizations
Self motivated and well organized. Proven track record; ability to handle multiple tasks, prioritise accordingly and make decisions as required
Strong background in technology including understanding of technology architecture and strategy and good numerical analytical ability
Able to build and manage relationships between various user groups, technologists, and management

Operations Resume Examples & Samples

Liaise with clients in order to track all requests for daily, weekly and monthly pricing
Consolidate requests in order to communicate pricing needs to Trading
Interact with Sales and Trading in order to validate and obtain all pricing requests
Deliver all prices to clients in a timely and efficient manner
Constantly recommend and develop more efficient methods of price consolidation and delivery
Participate in development and implementation of Strategic Pricing System
Plan and execute projects under Manager's direction
Ability to generate creative solutions to problems and challenge processes; be willing to dig into the detail to resolve issues
Some experience of portfolio reconciliations would be desirable

Operations Resume Examples & Samples

SPG middle office supporting SPG Trading and Equity Sales team
Interaction with ED Trading & Sales, ED Trade Processing and Control teams, and Prime Brokerage Reps to resolve client processing and booking issues
Perform allocation, daily control and client service functions and work with Legal, Credit, Compliance, and Controllers to resolve daily issues
At least 2 years’ experience in Equity Derivatives Operations
Highly detail orientated and strong sense of control
Good interpersonal skills with strong analytical / problem solving abilities
Proficiency in Microsoft office applications (Excel / Powerpoint / Word)
Desire to continuously reengineer existing processes, to leverage off previous Operational best practices, and apply it to our team

Operations Resume Examples & Samples

Perform daily account opening, maintenance and closure based on the authorized request
Verify the completeness of account document to fulfill internal/regulatory requirements
Ensure timely report to Taiwan Exchange and Taiwan Central Depository Corp on account/settlement related updates
Arrange proper documentation of the client instruction and account package
Identify gaps in current processes and provide recommendations for better risk control and efficiency
Establish relationships with brokers and custodians to streamline workflow
Ensure relevant procedures are up to date
Qualified Brokerage License for Taiwan market
Minimum 2 years relevant experience in Operations in the finance industry
Demonstrated team working skills as well as excellent communication skills
Attention to detail and good follow up skills; ability to demonstrate initiative and ownership of issue resolution
Self-motivated, driven to achieve and able to manage pressure and prioritize multiple tasks
Fluent in both spoken and written Chinese and English
Experience in Taiwan securities business
Understanding of local regulatory and market practice

Operations Resume Examples & Samples

Experience with speaking with trading desks and Middle Office teams
Financial Product Acumen
Derivatives product knowledge (Eg,Credit/Equity/Rates)
Strong understanding of risk management principles
Good Attention to detail with strong analytical and logical skills
Strong client service
Inquisitive mindset
Good technical/system knowledge
Ability to manage competing priorities and stay focused throughout the day
Self motivated team player who takes ownership and accountability for work
Proactive and can work well independently

Operations Resume Examples & Samples

Determine, analyze and document business requirements leveraging Operations and business users knowledge as appropriate
Liaise with Technology teams to define estimates for proposed development work, and track status of technical build and testing
Plan, manage and support UAT phases leveraging Operations and Business users as appropriate, and work closely with
Experience in either product, process and industry knowledge of derivative products e.g. credit, rates, FX, commodities, equity OR project / change management
A strong understanding of how technology supports this kind of business areas
Where the candidate has not performed a dedicated change management role, he/she must be able to demonstrate a key contribution to change in their current environment
IAQ qualified
Exposure to, or involvement in delivery of change in their current organization (business analysis / project management)
Formal Project Management and/or Process Improvements qualification (e.g. Prince2, Six Sigma, PMP)

Operations Resume Examples & Samples

Proactively manage external relationships for GS including agent banks, central counterparties, settlement and payment systems and other third party post-trade service providers to achieve the firm’s commercial and strategic goals
Work with divisions of the firm to analyze and influence industry strategy and change
Partner with divisional and business stakeholders to identify and execute on opportunities to develop optimal industry operating models, thereby facilitating GS business needs
Provide transparent connectivity for agent bank and market infrastructure relationships at all levels of the organization
Seek opportunities to facilitate the delivery of the Operations industralization strategy by creatively leveraging existing or establishing new external relationships to develop optimal sourcing solutions for the industry and the firm
Coordinate the firm’s vendor management program for market infrastructure providers, which will assess vendors’ risk management, fee structure, service level, and issue resolution
Ability to operate independently and effectively drive multiple initiatives
Detail oriented with the ability to quickly identify and learn pertinent information across wide range of businesses
Outstanding analytical and decision-making skills
Ability to combine tactical and strategic thinking
Excellent communication skills with the ability to influence a wide range of stakeholders, both internally and externally

Operations Resume Examples & Samples

Manage real-time trade booking exceptions internally between the trading desk and sales force
Liaise with trading, sales and various operations teams to resolve trade exceptions
Monitor trade flow exceptions and perform necessary resolution. Respond to inquiries from trading and sales force
Mitigate risk by reconciling discrepancies between the trading desk’s positions and the firm’s books and records
Engage in various industry and regulatory initiatives in a constantly changing environment
Collaborate with technology teams on the implementation of process flow improvements and efficiencies
At least 2 years of relevant experience
Excellent PC skills (Word and Excel)
Ability to communicate with individuals at all levels

Operations Resume Examples & Samples

Preparation of data and systems for monthly statement reporting cycles
Follow-up with other Operations teams to clear statement holds
Ad-hoc regulatory communications
Manage projects to support the monthly statement process

Operations Resume Examples & Samples

Understand the variety of different products supported by the team
Identification and reconciliation of trade booking errors
Liaising with Trading/Sales to ensure timely booking of new trades and amendments to existing bookings
Management of life cycle events on existing Trade population with Trading, including interaction with internal teams to ensure relevant actions are taken
Provide assistance to other Operations teams dealing with trade related queries (during the trade confirmation drafting and settlement process) acting as an intermediary and liaising with Trading/Sales where necessary
Awareness of ISDA, key definitions and standards and current industry initiatives would be useful
Industry Regulatory Reform Agenda

Operations Resume Examples & Samples

Provide support for PWM special investments such as GS hedge funds, AAG hedge funds, and private equity
Serve as single point of contact for PWM Teams, Operations, & Product Manager inquires
Responsible for order management and settlement flows with third party fund administration/record keeper
Liaise with third party fund administrator/record keeper, PSC and/or SIG on trade flows and strategic initiatives
Perform trade and position reconciliation for PWM accounts
Participate in projects and process improvements to create efficiencies within the alternative investment platform
Understanding of the securities industry; experience with Wealth Management brokerage functions preferred
Order management and trading experience
Hedge Fund industry knowledge preferred
Strong commitment to quality, controls, and procedures

Operations Resume Examples & Samples

College or graduate degree required
Minimum of 5 years Operations experience (Reference Data preferred)
Financial sector experience desired
Critical thinking: ability to suggest improvements and identify risks
Service orientation: sense of urgency, ability to manage internal clients’ expectations and professionalism
Strong knowledge of Microsoft Office (Word, Excel, access, etc.)
Team-work oriented, strong interpersonal skills

Operations Resume Examples & Samples

Calculation, review and analysis of the daily regulatory client money requirement – this will involve daily interaction with Operations and Finance areas globally
Review of client documentation to ensure regulatory compliance
Participation in project work to develop and improve reporting systems
Establish close links with Legal and Compliance so as to keep up to date with Client Money developments and initiatives
Oversight responsibility for custody functions executed out of Bangalore
Proficient in the Regulatory rules, governance around their application including providing daily guidance on process queries (includes discussions with Compliance)
Provide client money training to Operation groups that provide input to the daily client money lock up number
Challenge the status quo – challenge, test and enhance the client asset to further enhance the control environment
Increase the awareness around client asset lock up process and strengthen the control mindsets of the Operations teams impacting the process
Strong communication skills to clearly articulate issues and ideas with different levels across Operations and Federation stakeholders
Aptitude for understanding and appreciating the importance of regulatory and control frameworks
Proven track record of improving processes and demonstrating successful teamwork
Proven ability to effectively manage operational risks and to develop control enhancements
Good management skills
Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations
Innovative and flexible in coming up with suggestions and ideas
Practical experience of working in Operations or Internal Audit

Operations Resume Examples & Samples

Responsible for one or more drafting asset class teams within the Cross Product Confirmation Drafting Group
Responsible for managing day to day risk of the team, ensuring we are adhering to internal risk and control policies
Responsible for developing, challenging and progressing all individuals in the team
Working knowledge of one or more product ISDA Definitions
Maintain high standards of accuracy and consistency around termsheets, risk bookings and confirmations
Liaise with internal groups (sales, trading, compliance) to resolve and escalate issues
Partner with IT and Sales/Trading on systems enhancements and development
Liaise with Legal Department to standardise templates for repeat structures and create templates for new structures
Spearhead the development of the documentation function in accordance with market standards as well as regulatory requirements
6 years of full time work experience
Undergraduate Degree Required
Vice President level position with experience managing a team in a Derivative Operations environment
Experienced in drafting ISDA Confirmations and reviewing structured products across one or more asset class
In-Depth understanding of risk and controls required to support structured transactions
Demonstrates the capacity to think strategically about how they approach and manage their functions day-to-day
Is a risk manager who understands the businesses they support and the teams they supervise and owns the details of their teams day-to-day functions, demonstrating accountability, completeness and a strong culture of escalation
Exhibits ability to influence senior leadership and manage business relationships on a range of topics such as processes, technology investment, resourcing and business priorities
Able to operate autonomously, managing complex projects and functions with minimum management oversight, but knows when to engage management appropriately and timely. Has a track record of success that optimizes across the risk, client service and economic needs of the businesses they support
Ability to deal with multiple demands through effective prioritization, load balancing, time management and a focus on delivery
Demonstrates strong management skills that inspires, develops and motivates high performing, diverse teams

Operations Resume Examples & Samples

Cashflow validation: Settlements is made aware of any issues that may prevent a timely settlement like high-risk payments, incorrect/missing account set-up
Payment confirmation: Prior to instructing payments, Settlements ensures that cashflows have been pre-agreed with counterparty
Payment instruction: Before instructing any payments, Settlements ensures that payment instructions have been properly entered and approved by managers
Releasing payments: Ensure that payments are released from internal systems utilizing the established procedures
Break resolution: analysts will investigate any discrepancies or fails associated with payments, to ensure the timely resolution of any breaks in booking and settlement systems

Operations Resume Examples & Samples

Supporting trade flow, verification, and books and records accuracy of listed and OTC FX products
Ensure positional integrity and trade flow between risk systems, processing systems, and books and records
Serve as a central point of contact for Trading and other Operations teams
Generate and review management reports and risk analytics
Ensure the accuracy and completeness of the firms daily Funding Requirements
Awareness of key middle office risks and controls
Email & query management through application of critical thinking skills
Experience and ability to interact with Sales and Trading teams on a daily basis
Foreign Exchange Operations experience – specifically FX product knowledge
Understanding of trade allocation and confirmation processes, including trade discrepancy resolution
Reconciliation and reporting analysis and problem solving skills
Ability to network and interact across Global Derivative Operations, and Technology teams

Operations Resume Examples & Samples

Nominating oil positions to relevant Market/System Operators and managing intraday issues related to oil flows
Ensuring counterparty and Operator submitted data reflects our trading positions
Providing Traders & Sales Teams with timely and accurate market data
Reconciling inventory between internal systems and Market/System Operators
Interfacing with Settlement teams to provide information and resolution to settlement issues
Develop a detailed understanding of the Oil Industry with particular emphasis on physical transportation & storage
Participate in ongoing development of the Global Logistics team procedures & processes required to support our developing business
Project Management to facilitate trading in a new market including external interfaces and internal IT systems
Interfacing with Legal, Compliance, Credit, IT, Tax & relevant external bodies
Work well under pressure and meet deadlines
Ability to learn quickly in a fast moving environment
Team oriented approach – openness and good communication skills within the team and the ability to work across functions inside and outside of Operations
Innovation, able to suggest & implement ideas to complement & develop new processes as they evolve with the business
Self-motivated to manage projects and seek opportunities to enhance business benefit
Focus on control issues, processes and procedures

Operations Resume Examples & Samples

Risk Hunting – identify new risks in Clearing Operations processing for which there are currently no mitigating controls in place and also identify control failures and gaps in the processes; put forward remediation and suggestions to mitigate the risks and enhance the control framework
Post Implementation Reviews – perform an analysis of a recently implemented process or mitigating control to ensure it has been fully and consistently implemented across Clearing Operations
Challenge the status quo – challenge the risk and control framework to further enhance the control environment
Incident Review & Analysis – conduct deep dive reviews on the incidents, aiming to define common risk themes and issues, and put forward suggestions for remediation. Participate in the Level 1 incident sharing process to work with the line managers in reviewing and sharing the lessons learned
Risk Metrics and Analysis – work with the Clearing Operations team and other regional/functional Operations groups to identify key risk metrics (e.g. via Risk Quotient) and highlighting areas of concerns, working with line managers on remediation efforts
Risk & Control Self Assessment (RCSA) – work with line managers in ensuring the RCSA risk and control templates reflect the current risk environment and also vet through RCSA issues raised to ensure proper remediation is in place
New Product Process/Migrations – provide guidance and advice from a risk and control perspective to ensure risks arising from new products and/or business, migrations, etc. are properly addressed
Work closely with other risk managers in other locations to share key initiatives and best practices; better integrate with the wider global Operations Risk Management teams
Increase the awareness on risk management and strengthen the control mindsets of the Operations teams in the region
Provide risk management related training to the Operations teams in the region
Excellent communication skills to clearly articulate issues and ideas with different levels across Operations and Federation stakeholders
Strong control mindset with a passion for risk management
Practical experience working in Operations

Operations Resume Examples & Samples

Processing of Voluntary EMEA Equity and Fixed Income Corporate Action and Income events
Execution of client instructions to local custodian banks
Reconciliation of cash and security positions
Distribution of entitlements
Supporting and liaising with internal trading desks, Prime Broker clients, Stock Loan counterparties and external brokers
Extensive interaction with Client Services Group and other operations departments
Assisting the stock lending desk with arbitrage opportunities
Resolving internal breaks and reconciliation of elections on accounts related to hedge fund clients, trading desks, private wealth clients and external brokers prior to market deadlines
Opportunity to participate in a wide range of projects
Superior organization skills with regards to day to day and project work
Logical and proactive thinker
Ability to work in a high risk environment to challenging deadlines and targets
Proven track record of using initiative and implementing process improvements
Understanding of a broker dealer environment and key associated market risks
Experience of Crest and UK market is preferential

Operations Resume Examples & Samples

Management of relationship with client through daily communication and regular client visits
Timely and accurate response to queries raised by direct hedge fund clients and other business partners
Risk management & reporting - the monitoring of various reports for distribution to clients and senior management
Supporting and liaising with internal trading desks, Prime broker clients, Stock loan counterparties and external brokers
Extensive interaction with the Global Asset Servicing Group and other operations departments
Strong Client relationship skills
Experience of Asset Servicing

Operations Resume Examples & Samples

Provide process, procedures and framework for production support of Syndicate balances
Build and manage relationships with key contacts and senior managers across Firmwide Groups, IBD, Operations Risk teams, and Technology
Provide management reporting around different metrics to ensure a strong understanding of the business progression
Ensure strong career growth and mentoring for team members through both formal and informal feedback
Develop, motivate and organize staff to encourage accountability and achievement within the team
Ensure that the team adheres to all policies, procedures and controls through consistent review of checklists and control reporting around risk management framework
Identify opportunities to standardize and improve procedures and processes across the global framework
Identify areas of potential risk and implement best practice and appropriate process and procedures to mitigate

Operations Resume Examples & Samples

Establish, lead and champion the Testing Centre of Excellence (TCOE) including
Understand and manage expectations for successful delivery with project stakeholders
Lead test execution and test automation delivery for initial areas in scope (regulatory reform testing delivery for the Derivatives Operations Sub-division)
Set up the TCOE capability by defining the strategy and roadmap with key milestones and deliverables
Ensure programme alignment with wider Operations and Technology testing goals
Define the business case for the TCOE
Define the Target Operating Model including functions / processes supported in the TCOE, methodology, functional architecture, systems architecture, number of people, skills required, pace of ramp up, key performance indicators and management information (MI) required
Define and agree a comprehensive test methodology across all aspects of testing involving Operations – test strategy and preparation linked to requirements, User Acceptance Testing, regression testing, test management, test automation, TCOE entry and exit criteria, etc
Define systems needs and select packages or in-house applications
Design, build, test and deploy the appropriate testing framework to support the testing methodology
Develop a framework to helps prioritize work done by the TCOE
10 years of professional change experience with 4 years of test management and / or with experience in establishing or running a TCOE
Demonstrate excellent people management skills
Work closely with Derivatives Operations Regression Testing team in Bangalore and their consulting vendor
Define and agree transition plan for consulting vendor exit
Build capability (people, processes, systems) to enable that transition plan
Lead, manage and champion the TCOE including
Day to day management of people, processes, systems and communication to stakeholders
Research industry best practice and provide thought leadership in GS on improving our testing capability
Promote and advocate overall quality excellence and encourage innovation to enhance team efficiencies to maximize the ROI for TCOE
Define and communicate strategic vision and goals for the team
Provide transparency on the TCOE performance, utilization and accomplishments
Implement and evolve appropriate measurements and metrics
For the TCOE as a whole including business case as well as daily MI
To be applied against the product under test To be applied against the testing team
Manage and grow testing assets (processes, people and tools) required for meeting the testing mandate
Act as a client manager to key sponsors and stakeholders in Operations, Technology and the business
Communicate effectively to identify and evolve testing solutions and strategies
Identify new ways to increase stakeholder satisfaction and deepen relationships
Deliver superior solutions to stakeholders and proactively seeking out feedback Face off with Operations and Technology senior managers to resolve risks and issues in a timely manner
Build and manage strong relationships with project sponsors and stakeholders in Operations, Technology and the business
Manage competing priorities across these groups
Understand the firm’s and Operations’ strategic plans, business, process and architecture in order to influence design and drive change related conversations. Link closely with related initiatives – RTMA, Zebra, etc
Provide guidance to project resources on applicable use of the methodology and project organization for testing

Operations Resume Examples & Samples

Strong team-player, excellent communication skills
Ability to work independently, to take initiative and to be proactive; exhibit analytical and creative thinking in problem solving
Proactive client service orientation to the business and to external clients
Ability to multi-task in a high pressure environment
Ability to analyze and improve existing process

Operations Resume Examples & Samples

Perform day to day Asset Servicing processing including reconciliations and approval of event set up
Ensure timely and accurate capture/validation of corporate action and proxy events
Maintain relationship with several Ops teams and agent banks/custodians
Timely communication with the above mentioned contacts on relevant issues
Effective and timely execution of relevant steps in the lifecycle of an Asset Servicing event
Strong problem solving skills with analytical and control mindset
Strong organization and multi-tasking skills with attention to detail
Technical Skills - Demonstrates strong technical skills, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles
Client and Business Focus - Effectively handle difficult requests, build trusting, long-term relationships with clients and manage client/business expectations
Teamwork – Gives evidence of being a strong team player and interpersonal skills collaborates with others within and across teams, encourages other team members to participate and contribute
Judgment and Problem solving - Thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues

Operations Resume Examples & Samples

Minimum of 3.5 years work experience in relevant function
Understanding of Risk – operational, reputational, client confidentiality etc
Resourcefulness, strong judgment and problem solving skills
Proven ability to work well in a team environment

Operations Resume Examples & Samples

Work closely with the Trading and Sales desks to resolve post execution discrepancies on a variety of credit related products
Participate in and lead ISDA Working Group discussions to establish greater standardization in the Credit Derivatives space and drive industry initiatives forward
Execution and management of lifecycle events and support project teams in meeting objectives related to departmental wide initiatives
Risk mitigation, ensure economic trade details are agreed with counterparties promptly post trade execution
Close interaction with experts from various different teams such as Technology, Projects and Trade Management. This role will involve a large amount of facilitation and negotiation
Resolve trade breaks between GS proprietary systems and the vendor systems
Work closely with other team members and management to achieve both industry set and internal targets
Create, manage and own close relationships and partnerships with business partners and external clients
Develop and implement strategic changes to re-engineer and industrialize processes and reduce risk surrounding the function
Accuracy and absolute attention to detail required
Ability to demonstrate initiative and curiosity through past experiences
Sound judgment, analytical and communication skills
Derivative product and technical process knowledge is beneficial

Operations Resume Examples & Samples

Negotiate Master Confirmation Agreements (“MCAs”) for Equity Derivative products (ISDA published and in- house MCAs, vanilla and structured templates) with counterparties
Liaise with Legal, Trading and Sales to agree documentation with Counterparties
Timely resolve mark-ups on outstanding trade confirmations
Resolving queries and exceptions where necessary, understanding the importance of effective escalation
Participate on Industry & ISDA working groups to establish standardised templates for new products
Partner with other teams, departments and management on strategic and ad hoc projects
Minimum of 3 years experience in Operations, derivatives and/or legal documentation
Client focused and target driven
Flexible team player with an ability to work well under pressure
Effective problem solver and consensus builder
Be driven, enthusiastic and dynamic in search of improving processes, controls & procedures
Understanding of ISDA Documentation structure
Previous negotiation or drafting experience, preferably within Equity Derivatives at a broker dealer
Understanding of regulatory timeframes and the impact on documentation issues
Advanced degree in business and/or law could be combined with years of experience

Operations Resume Examples & Samples

Based on the operations floor within our main campus, you will be part of a team concerned with the capture and processing of all post trade life cycle events relating to cleared derivatives positions held by our clients and internal trading desks
Events covered include Exercise, Assignment and Expiry of futures and options positions, Corporate Action processing and physical delivery of underlying instruments as applicable
Prompt investigation and resolution of queries raised to the team via our client facing and internal middle-office teams
Prompt escalation of any unusual or erroneous activity relating to clearing
Root cause analysis of breaks and issues experienced by the team with a drive to improve and streamline failing or inefficient processes
Liaising with CRM & Sales to help streamline processes in partnership with our clients
Providing input and participating in UAT for a broad range of projects and upgrades
Ongoing enhancement of our Business Continuity Process (BCP) cross-regional training and handovers
Proven track record within operations, preferably within Listed or other Derivatives area
The ability to work efficiently in a fast paced and dynamic environment
A proactive, self sufficient and mature work ethic
A strong team player who is able to work efficiently under extreme pressure and time sensitivity
Enthusiasm and a strong desire to learn about trading and markets
A highly confident and professional approach

Operations Resume Examples & Samples

Perform daily reconciliation functions and ensure breaks are resolved on a timely manner
Demonstrates a strong understanding of the process flows and able to resolve complex breaks
Effective escalation on critical & high value breaks to senior management
Work with the wider team and management to effectively & efficiently manage process & business targets
Communicate in a clear and concise manner with global and regional leadership
The role may not involve direct client interactions but is a key component of superior client service delivery; hence it requires a good understanding of clients business & priorities

Operations Resume Examples & Samples

BA or BS degree is required; concentration in Finance or legal studies a plus
3+ years of Operations experience, preferably in derivatives
Ideal candidate should have an understanding of credit derivatives, including the current regulatory environment
Legal documentation experience
Excellent PC skills, including Microsoft Word and Excel
Knowledge of current industry focuses and structured transactions a plus
Excellent team player, able to work well inside a group and broadly across an organization
Proven ability to organize and prioritize own workload and drive results
Familiarity with the firm’s risk and control framework
Ability to multitask and work in high pressure environment
Strong written and verbal communication skills; demonstrated confidence in communicating in a variety of forums and with varied audiences, including: formal presentations, training sessions, larger meeting venues, and with external/internal clients
Attention to detail, particularly with regard to legal language and a sense of urgency in escalating and resolving outstanding issues
Demonstrated commitment to quality controls and procedures
Understanding of the derivatives industry; knowledge of Credit Derivatives preferred
Experience working with legal counsel and external customers a plus

Operations Resume Examples & Samples

Becoming an SME for the processes covered within the department, i.e. trade management, support of structured transactions, reconciliation, lifecycle event processing to name a few
Oversight for a number of these functions, facing off to the trading desks, sales, as well as senior management within the Federation and Securities division and other internal groups
People management – ensuring that the team continues to grow and develop, providing career guidance and support to team members and fostering their growth
Involvement and contribution towards strategic project initiatives – we have a number on-going within the department, and we are looking for someone who is able to drive and influence as well as provide subject matter expertise
Ability to demonstrate a sound of understanding of a range of Equity Derivative products as well as Cash Securities, or technical expertise demonstrated through experience with other Derivatives products
Track record in the development of client relationships and key stakeholders, both internally and externally
Ability to gain a strong understanding of the business and work with Prime Brokerage, Marketing, Structuring, Trading and Sales desks
Ability to thrive and remain composed under pressure
Strong leadership skills essential – this role will require a self-starter who can manage competing deadlines and can prioritise appropriately

Operations Resume Examples & Samples

Build and manage relationships with key contacts and senior managers across all
Operations business units, Operations Risk teams, Technology, Operations Strats and other Firmwide risk groups
Develop testing and implementation approaches, and manages user acceptance tests, production parallels and migration plans
Minimum of 5 years of experience; At least 2 years of project management experience
Experience working on a large-scale project and/or program management experience
Strong written and verbal communication skills, including the ability to pitch to senior and junior audiences
Ability to multi-task, as well as the ability to prioritize technology resource utilization
Highly developed analytical skills with commercial focus and ability to perform business analysis
Technical aptitude including proficiency in MS Office (Excel, Access, PowerPoint, Word, Visio; MS Project is a plus)
Understanding of how technology works (Visual Basic / C or SQL understanding preferred)
Knowledge of the technology development lifecycle, ability to understand process/system flows and ability to write detailed functional/technical specifications
Ability to understand process/system flows

Operations Resume Examples & Samples

Trade management – timely allocation of trades, dealing with trade queries from internal and external clients
Support execution of Structured and bespoke transactions
Reconciliation – trade reconciliation, corporate actions processing and reconciliation, risk reconciliation, P&L reconciliation and completion of tasks associated with control around the business
Identification of areas for improvement in processes
Documentation of procedures and process flows to help enhance our controls around the business
Daily review of control reports to ensure all trade bookings and risk management is accurate
Working with internal clients to ensure that all breaks are resolved - these include external clients, internal trading desks, PB reps, Sales, Structuring, Settlements, Documentation etc
Training and development of team members to a high standard
Liaising with other teams within GS to ensure timely resolution of queries
Ability to demonstrate a sound of understanding of a range of Equity Derivative products as well as Cash Securities. Strong Team-working skills – for working with both internal departments in London and globally
Strong leadership skills essential – this role will require a self starter who can manage competing deadlines and can prioritise appropriately

Operations Resume Examples & Samples

Support new product origination and issuance of securitized derivatives
Corporate actions management
Daily risk mitigation duties such as risk booking analysis, ensuing the accuracy and completeness of hedging activities

Operations Resume Examples & Samples

Bachelor’s Degree (BA/BS)
1-3 years of professional experience
2+ years of practical process improvement and / or process re-engineering
Be proficient in Microsoft Office tools
Bachelor’s degree in a quantitative discipline
Master’s Degree in business or engineering

Operations Resume Examples & Samples

Coordinate with other areas of the Firm when need be (i.e. Risk, Compliance, Legal, Business, Operations, etc)
Coordinate directly with either CDD team members, sales and/or clients to obtain relevant on boarding requirements
Perform capacity and authority reviews as necessary
Possible oversight responsibilities
Ability to adapt to new changes and new challenges
Use best judgment to prioritize work flows and ensure deadlines are met
Ability to forge strong relationships with colleagues and clients
Pro active, self motivated
Ability to deliver while working under pressure and tight deadlines
Language skills Spanish and/or Portuguese (ability to speak and read)
Proactive, self-motivated

Operations Resume Examples & Samples

Proactively assisting the Business, Operations, Compliance, and IT management in understanding the impact of business initiatives on regulatory reporting
Analyzing the distributed workflow front to back to identify the root cause of report inconsistencies
Conducting deep dive reviews into existing reporting rules and associated infrastructure
Developing reconciliation tests and process control improvements
Recommending infrastructure improvements; and developing recommendations for process control improvements
At least two years of work experience with solid understanding of the Equities, Derivatives and Fixed Income industry and products
Certification or industry accreditation preferred
Prior experience in project management, risk management product development and implementation of strategic operational plans
Prior Experience in complex financial products/functions with experience including data analysis, information technology, business operating processes, and compliance
Experience in the regulatory reporting area is a plus (OATS, ACT, TRACE, Bluesheets, SEC)
Ability to train staff to understand complex workflows
Developing and tracking of project plans
Strong ability to partner with managers to understand complex regulatory reporting requirements
Coordinating user acceptance testing

Operations Resume Examples & Samples

Develop methods for assessing data integrity and identifying corrupt or inaccurate data
Work closely with senior managers in Risk to develop new risk measurements and tools
Assist in the standardization of risk measurement and management tools and their deployment and periodic refreshing
Minimum of 3 years of professional experience
Proficiency in Access a plus
Basic knowledge of key concepts and methods in statistics
Previous experience in Operations, Financial Services industry and / or other Technical discipline
Attention to detail and experience in driving standardization of processes
Strong communication and interpersonal skills both written and oral

Operations Resume Examples & Samples

Ensure timely and accurate confirmation of all trades
Ensure prompt resolution of breaks and failing trades
Establish and maintain relationships with broker operations teams
Identify and escalate issues
Identify opportunities to improve systems and processes where possible
General knowledge of markets and financial products
Well-developed organizational skills

Operations Resume Examples & Samples

Calculation and issuance of margin calls for PWM, PB and GSEC clientele
Responding to all incoming queries and interacting with many different areas of the bank, in particular with Risk, Credit and Technology
Strong organizational and multi-tasking skills to balance competing priorities and meet deadlines
Exceptional understanding of products, risks, controls and escalations process across Operations
Excellent problem solving skills; comfort dealing with large datasets and strong numerical aptitude
Motivated, enthusiastic and career focused. Strong motivation to succeed, both as an individual and as a team
Desire for continued improvement and new challenges, both on a business and personal level
Excel skills an advantage
Good working knowledge of product flows and systems, including OTC derivatives and intercompany processes

Operations Resume Examples & Samples

Technical Expertise: Experienced candidate in this financial industry who has product and functional expertise in Listed Equities or Fixed Income products. The candidate needs to be able to represent Middle Office to the business and to our external clients
Risk Management Framework: Ensure that the team adheres to all policies, procedures and controls through consistent review of checklists and control reporting. Identify opportunities to integrate Risk Quotients into the daily workflow to assist with prioritization. Identify areas of potential risk and implement best practice and appropriate reporting to mitigate
Change Management: Work cooperatively across the team and project managers to advocate for process improvement whether through technology or workflow enhancements, to think outside of box. Use root cause analysis, time in motion studies and metrics to evaluate work drivers and to target and drive process improvements within and across teams
Business level Chinese or Japanese (verbal and written) is required as the role will require interaction with clients/colleagues based across the region
Strong record of working proactively with Operation's Clients and Business partners
Strong control focus and understanding of operational tools to mitigate risk
Either Fixed Income products or Listed Equities products knowledge

Operations Resume Examples & Samples

At least 8 years financial industry experience that includes managing a department or team
Excellent communication skills; Can face off with various internal teams including the business
Strong problem solving skills; Able to quickly step into an issue and perform a risk assessment
Experience working with Technology on strategic system enhancements
Experience with KPIs to track productivity
Knowledge of master derivative documentation including ISDAs and CSAs
Knowledge of the derivatives business and the securities market
Experience negotiating derivative documentation
Experience validating trade/document terms against internal systems

Operations Resume Examples & Samples

Perform impact assessments on tax processes for new markets, new products, business reorganizations, system changes and new/changed tax regulations
Investigate and remediate issues with tax processes and develop control improvements
Work with senior management across the regions from both the Federation and Revenue generating divisions to manage change programs and issue resolution
Define and produce comprehensive project documentation, including project plan/milestones, business requirements, process flow diagrams and management/project status reporting
Produce test scripts and coordinate/participate in testing activities with Operations and Technology
Conduct risk reviews and in-depth assessments of existing reporting infrastructure and recommend improvements
Provide program oversight and regular feedback / reporting to management
Act as a risk manager for the firm through ongoing assessment and awareness of the tax regulatory environment and the firm’s adherence to its tax reporting obligations
Be flexible to contribute to other activities of the group where necessary
Interact with Tax, Technology, businesses and the rest of Operations to manage change programs and issue resolution
Develop expert knowledge in taxation requirements, processes and systems for a number of transactional based tax procedures
Minimum 3 years post graduate experience with exposure to tax and/or project management
Analytical thinker with the ability to generate innovative ideas and translate strategy to execution
Problem solving and documentation skills with an ability to understand complex workflows
Strong data analysis skills; MS Access or basic SQL skills a plus
Proven ability to organize and prioritize workload and drive results
Excellent communication skills with an ability to influence senior business stakeholders and make decisions
Proactive and self-starting individual with solid teamwork skills
Flexibility and ability to learn quickly

Operations Resume Examples & Samples

Produce and/or validate for accuracy daily, weekly or monthly regulatory reports
Analyze daily, weekly and monthly reporting metrics to identify trends and areas for improvement
Manage maintenance of procedures and other documents relating to the team
Maintain a strong focus on streamlining inefficient processes
Maintain strong risk management within the daily production process
Proactively assist the business, operations, compliance, and IT partners in understanding the impact of business initiatives on
Bachelor’s degree required. Certification or industry accreditation is also a plus
5 years of professional work experience in Operations, preferably in Derivatives
Understanding of the derivatives business and related products
Experience of process improvements and system upgrades/testing cycles
Strong technical skills, along with general understanding of system development
Strong ability to partner with colleagues in the business and other Federation teams
Proactive self-starting individual
Ability to spot ‘red-flags’, and strong understanding of when/how to escalate issues/concerns

Operations Resume Examples & Samples

Monitor all equity and fixed income trades for GSEC clients globally
Mitigate risk by prioritizing all high risk trades pre and post settlement date
Foster premium client service by ensuring timely settlement of all trades
Drive strategic root cause analysis on reducing fail rate, enhancing client reporting and improving controls to mitigate financial and regulatory risks
Drive industrialization by looking for functional consistencies across all Fails teams within Clearing organization
Perform daily reconciliation between GSEC and GSI Books and Records
Address inbound requests (via team hotline or distribution group) from Clients, Counterparties, Operations and Business Unit in a timely and accurate manner
Drive strategic initiatives and projects to enhance controls and close efficiency gaps
Adhere to the teams written policies and procedures
Bachelor's degree required; candidates must possess a college degree from an accredited university
In depth analytical and risk management skills
Knowledge of post trade equity processing
Ability to multi task and undertake project work on an ad hoc basis
Ability to communicate with individuals at all levels within the organization

Operations Resume Examples & Samples

7 years of professional experience with 4 years of project / change management experience in business process and technology implementations
Ability to engage with and influence stakeholders outside their direct control
Comfortable leading project working groups and possesses strong facilitation and data gathering skills
Strategic thinker with strong business analysis and planning skills. Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding. Provide creative & innovative solutions. Ability to formulate the implications of a specific solution across processes, e.g. costs, risk, service
Great organization skills - ability to handle multiple tasks, prioritize accordingly and make decisions
Excellent communication and interpersonal skills, both written and oral; confident in interaction with senior stakeholders
MBA / relevant change management certifications like PRINCE, PMI, PMP would be a plus

Operations Resume Examples & Samples

Proactively manage external relationships for GS including central counterparties, settlement and payment systems and other third party post-trade service providers to achieve the firm’s commercial and strategic goals
Provide transparent connectivity for market infrastructure relationships at all levels of the organization
Seek opportunities to facilitate the delivery of the Operations industrialization strategy by creatively leveraging existing or establishing new external relationships to develop optimal sourcing solutions for the industry and the firm
At least five years of professional work experience, with previous experience in Operations, Financial Services industry and / or Management Consulting
Track record of scoping and driving delivery of projects

Operations Resume Examples & Samples

Expiry and delivery notification management ensuring clients are fully aware of positions and risk
Root cause analysis and strategic resolution of re-occurring problems
Strengthening the Client and GS Business relationship
Understanding of industry regulations including Dodd Frank, CFTC, SEC, EMIR
Minimum 3 years of experience working in Finance
Previous client service experience
Understanding of the regulatory landscape governing derivatives products
Passion for working collaboratively with external clients and internal stakeholders
Common sense coupled with a strong analytical and logical approach to all work undertaken
A flexible, proactive, energetic approach is essential
A highly confident, mature and professional approach to all work undertaken and most importantly other members of the team

Operations Resume Examples & Samples

Help analyze client requirements and service standards from legal documentation and business requirements supporting all account events
Identify and communicate the impact of business and client requirements on internal systems and processes
Ensure that all client documentation required by the Firm’s Customer Identification Program (CIP) is received, reviewed and approved within the appropriate timeframes
Process and control analysis to ensure effective oversight and risk management
Basic knowledge of the asset management business and investment products across major asset classes (fixed income, alternatives, equities, money markets)
Understanding of the trade lifecycle, from order and execution management, allocation, confirmation and fail management a plus
Client interaction and commercial sense
Able to deliver high quality results while meeting deadlines
Experience working effectively across business, operations, technology, legal and compliance teams
Understanding of the firms risk and control framework with the ability to identify and improve control weakness

Operations Resume Examples & Samples

Develop technical understanding of flows and processes across Liquidity and Trade Management functions
Partner with the local and global functional teams across Funding Ops
Build and manage relationships with key stakeholders in Operations, Technology and the businesses
Contribute to the broader Funding Operations and LCO organization outside of specific business analysis deliverables

Operations Resume Examples & Samples

Prepare and review draft documents to clients
Provide OTC derivative trade confirmation
Discuss confirmation provisions with clients
Liaise with internal groups (sales, trading, compliance) to execute all confirmations for customer base
Liaise with Legal Department to agree upon acceptable language for documentation
Spearhead the development of the documentation function in accordance with market standards and participate in industry knowledge forums
At least two years of experience in the Derivatives industry, preference for experience in a documentation role
Ability to meet multiple deadlines in a Trading Environment
Strong communication skills, working to contribute to the effectiveness of the team and experience in negotiating effectively with other internal groups, including front office
Skilled at gathering and analyzing quantitative data to guide decision-making
Experienced in monitoring and ensuring that controls are in place and procedures are followed

Operations Resume Examples & Samples

Assist with running the global risk and controls self- assessment quarterly program. This includes co-ordinating with various global stakeholders, preparation of the presentation material and analysis. This is a key part of the risk framework which has a high level of global and senior management participation
Challenge the status quo – challenge, test and enhance the Operations risk and control framework (e.g. RMT reviews, RQ, Self-Assessment, Incident Reporting, Spot Checks) to further enhance the control environment
Production of various risk reports required by senior management to oversee risk across the division, analysis of the trends and highlighting these as needed to senior management
Risk Metric Review & Analysis – conduct deep dive reviews on the incidents and other risk metrics, aiming to define common risk themes and issues, and put forward suggestions for remediation
Work closely with the respective product aligned Embedded Risk managers and DRM teams in other locations to share key initiatives and best practices; better integrate with the wider global ORM teams

Operations Resume Examples & Samples

Supporting trade flow, verification, and books and records accuracy of listed products
Bachelor’s degree or M.S. Finance
At least two years of experience, to include Foreign Exchange Operations experience – preference for FX product knowledge
Strong understanding of trade allocation and confirmation processes, including trade discrepancy resolution
Reconciliation and reporting skills

Operations Resume Examples & Samples

Lead the effort to integrate design standards, approaches, tools and other enablers into one coherent Business Process Management. capability for Operations to use in designing solutions. In developing our design capability we are first and foremost focused on process design and need to establish a strong business process management capability
Bachelors Degree – preference for an Engineering discipline
7 years of professional experience
5 years of practical process improvement and / or process re-engineering
Masters Degree in business or engineering—preferred
Experience of use of Aris (Software AG) or Signavio is desirable
Demonstrated ability to work across products, regions and functions, preferably in the financial services industry
Highly collaborative, team-oriented and strong consensus builder and confidence in interaction with senior stakeholders
Demonstrate excellent communication and interpersonal skills, both written and oral

Operations Resume Examples & Samples

Develop expert knowledge in taxation requirements, processes and systems
Drive strategy and solution design for key projects and change management initiatives by interacting with senior managers and other project resources across Corporate Tax, Technology, other Operations groups, and Revenue generating divisions globally
Manage the end-to-end project lifecycle for key initiatives within Tax Ops including documentation of requirements and test cases, execution of testing, and project status reporting
Coordinate and participate in testing activities for exiting system enhancements and new strategic technology builds
Act as a risk manager by remediating issues and defining control mechanisms in order for the firm to remain in regulatory compliance with its tax reporting obligations
Minimum three years post graduate experience with professional experience in project management and or/ business analysis within within Operations, Financial Services industry and/ or Tax

Operations Resume Examples & Samples

Monitor and investigate reporting breaks and process failures; synthesize and implement corrective actions
Find and resolve booking discrepancies across complex derivative businesses
Engage with front office and operations technology to help facilitate the resolution of technical production issues
Develop and implement strategic changes to re-engineer processes and reduce risk
Be a key player in projects specific to Regulatory Reform which will include understanding regulatory guidelines across multiple jurisdictions
Ensure that processes are continually reviewed and improved, risk is managed, and results are achieved that meet expectations for timeliness, quality and cost effectiveness within the Department
Bachelor’s degree with competitive GPA
At least 3 years of professional work experience in financial services operations
At least two years of experience with Microsoft applications like Excel and Word
Ability to demonstrate strong technical skills and keen attention to detail
Middle Office experience highly recommended
Team player with a collaborative style and strong interpersonal skills
Effectively handle difficult requests, build trusting, long-term relationships with the business and be able to manage expectations
Strong written and verbal communication skills with ability to be clear, and concise
Able to successfully multi-task, work towards extremely challenging goals and persist in the face of obstacles

Operations Resume Examples & Samples

Rapid development of desktop solutions across multiple platforms (Access, SQL Server, Excel, Outlook, SharePoint, C# and/or VB.NET, etc.)
Provide technical support and manage enhancement requests for existing applications
Conduct functional validation reviews on existing tools to mitigate risk, improve functionality and reduce support requirements
Oversee the application Lifecycle Management process for assigned area(s) of responsibility, providing instruction where needed as well as enforcing policies and procedures surrounding application development
Work with end users to model business processes, elicit functional requirements
Drive process optimization and reduce risk, increase productivity and lower costs through intelligent automation
Demonstrated ability to work independently as well as within a team
Professional work experience with the following, with five years of experience preferred
Microsoft Excel and Access development (Office 2010 or higher)
Proficiency with Visual Basic for Applications (VBA) programming
Proficiency using Microsoft Visual Studio 2008 or higher
Ability to analyze, debug and/or enhance existing VBA applications
Knowledge of MS SQL Server programming and SQL languages
Ability to analyze, debug and/or enhance SQL Server stored procedures
Understanding of relational database design
Experienced with web application design using ASP.NET (other platforms a plus)
Tableau and/or Business Objects experience
Dashboarding and data visualization skills a plus
JIRA administration/management
Confluence (general Wiki) development/administration
Business Process Modeling; Signavio experience a plus
Business Decision Management experience a plus
Business Analyst skills
Essbase/OLAP experience a plus
Requirements gathering, design, development and testing of applications
Ability to communicate clearly with end users, development managers and other stakeholders
Financial Services industry experience a plus
Proficiency creating and delivering presentations
Ability to manage several projects/tasks simultaneously
Self-motivated with strong problem solving skills

100

Operations Resume Examples & Samples

Risk reporting – responsible for the production of a variety of risk reports:- weekly risk meeting, risk mitigation team,, incidents, regulatory response
Automation – partner with the Operations Risk Technology Strategy team and the Risk Technology teams to design, enhance and automate the various risk reports for the division
Reference data maintenance – update and maintain multiple risk reference data tables and sharepoint sites
Risk Analytics Platform (RAP) – responsible for identifying enhancements and testing
Coordinate the updating and close out of Risk Action Items
Risk Metrics and Analysis – work with the ORM team and to identify key risk metrics (e.g. via Risk Quotient) and highlighting areas of concerns & themes across the division
Risk & Control Self Assessment (RCSA) – work with the global ORM team in ensuring a smooth and efficient quarterly risk and control signoff process
Practical experience in Operations
Minimum 1.5 years of experience
Microsoft Excel and Access development skills required
Visual Basic for Applications programming language required
Experience creating Excel and Access applications required
Ability to debug and/or enhance existing VBA applications required
Ability to analyze existing Macros and VBA code required
MS Office automation using MS products like Outlook, PowerPoint, etc

101

Operations Resume Examples & Samples

Strong Microsoft Excel and Access development skills required (3 years minimum)
Ability to perform several tasks simultaneously
Ability to work independently, as well as within a team
Business Objects, Essbase & Crystal Reports experience a plus
Business Analyst skills a plus, especially in the Financial Services industry
Ability to communicate clearly with end users and development managers

102

Operations Resume Examples & Samples

Comfortable facilitating project working groups and possesses strong data gathering skills
Excellent communication and interpersonal skills, written and oral; confident in interaction with senior stakeholders
Strategic thinker with strong business analysis and planning skills. Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding. Provides creative & innovative solutions. Ability to formulate the implications of a specific solution across processes, e.g. costs, risk, service
Have a proven track record of scoping and driving delivery of projects and achieving results independently, on time and to budget including

103

Operations Resume Examples & Samples

Daily Settlement of IRS/FX/Equity Derivative/Credit Derivative cashflows and authentication of settlement instructions
Monitoring of exceptions preventing trades settling in time, by working closely with Middle offices, Treasury and Funding teams
Completion of a series of daily system reconciliations which ensure consistency of trade data between operational systems and the firm’s ledgers
Work with the business, IT and other Operations teams to maintain and build scalable systems to support growing business with straight through processes
Work on line initiatives and projects to meet regulatory requirements in the current dynamic regulatory environment
Support sales and client regarding general queries in general
Attention to detail and good follow up skills
Ability to demonstrate initiative and ownership of issue resolution
Fluent in both spoken and written Japanese and English
Minimum 2 years' of experience in the financial industry

104

Operations Resume Examples & Samples

Perform trade processing, settlement, and reconciliation functions for GS and third party mutual funds
Investigate and resolve trade activity and position level breaks related to onshore and offshore mutual fund trading
Liaise directly with transfer agencies and vendors to ensure accurate settlement of trades and resolve trade, position or record-keeping issues
Provide daily support to PWM sales teams
Enforce regulations pertaining to mutual fund trading
Continuously identify and implement process improvements
The candidate will be expected to gain thorough knowledge of the function and relevant risk management systems within first 12 months

105

Operations Resume Examples & Samples

Lead and participate in Projects and New Business Initiatives
Supervise and process daily trade matching and booking, and margin settlement with exchange and clients
Perform client on-boarding process for foreign and domestic clients inclusive of documentation, due diligence, and account opening setup
Prepare regulatory reports, such as, daily/monthly FSS regulatory reports, KOFIA reports, and ad hoc data requests from regulatory bodies such as BOK, KOFIA, FSS, KRX
Perform daily reconciliation for client balances, broker margins, and bank balances
Minimum 3 years' experience of Korea Listed Derivatives Operations
In-depth knowledge concerning Korea markets, listed derivatives products and regulations
Fluency in written and spoken Korean is mandatory
Strong English communication and interpersonal skills
Profound understanding of risk and control required in Operations
Ability to prioritize and balance issues and workload and to manage and track multiple tasks and deliverables simultaneously

106

Operations Resume Examples & Samples

B.S. in technical field (math, physics, engineering)
Strong understanding of Computer Science fundamentals such as analysis and design of algorithms, basic data structures, etc
Programming experience in a variety of programming languages like C, C++, Java, Scala, etc

107

Operations Resume Examples & Samples

Supporting traders and portfolio managers across various asset management businesses
Trade & payment confirmation / instruction
Monitor daily reconciliations between various trading systems
Interface with the Trading and brokers to resolve day to day issues and ensure efficient settlement of trading activity
Problem solving capability for complex trade flow, accounting issues and trade discrepancies
Process analysis to improve control, scalability and efficiency
Manage collateral across various derivative instruments
Provide liquidity analysis for GSAM’s funds, working closely with Portfolio Managers and Global Risk teams
Providing project management leadership and/or support for new and existing products, with an emphasis on co-operation with Information Technology for the development and enhancement of processes and systems
Building relationships with outside financial institutions (brokers, custodians, prime broker and fund administrator) to improve quality and productivity of work, integrating best practices as appropriate
Providing regular and ad hoc management information on STP rates, risks and volumes
Proactively identifying opportunities and enhancements to improve functions
Maintain team procedures and provide regular management reporting to senior Operations managers and the business
At least 3.5 years of professional experience
At least 3.5 years of professional experience with financial products, knowledge in one, or more, derivative/core products with an interest to expand into other areas
Preference of at least 1.5 years asset management or middle office experience (experience or solid understanding of OTC derivatives/Mortgages/Mutual Funds/Private Investments/Bank Loan confirmations/settlements or related trade support functions preferred)
Understanding of industry agenda & platforms (e.g. DTC, ClearPar, SWIFT, FED, Oasys, MBSE, DTCC, Trade Warehouse
Swaps wire etc) is a plus
Fail trade/payment investigation experiences preferred
Experience in broker and/or client facing activities
Proactive, self motivated individual with high levels of ownership, and driven to achieve
Demonstrate ability to identify inter-relationships and understand the broad impacts of work and projects across the organization
Possesses excellent communication skills and attention to detail
Strong interest in Operations and asset management trade support and/or middle office

108

Operations Resume Examples & Samples

Daily planning of deliverables and resource requirements
Maintaining the expected turnaround time and accuracy level for functions performed by the team
Direct point of contact with business unit queries. Partnering with various business units to ensure regular and timely payment of invoices or settlement of expense reports
Manage various projects which are kicked off in the department
Represent Accounting Services on various cross department initiatives
Strong accounting knowledge
General experience in execution of payments and financial transactions
Knowledge related tax and compliance reporting related to 3rd party payments
Minimum 3.5+ years experience in a similar role
Ability to motivate teams to high levels of productivity and accuracy while retaining risk and control focus
Strong analytical, organizational and interpersonal skills
Good teamwork skills and ability to work with a wide user group in different regions of the world
Strong communication and problem solving skills
Committed and proactive with a desire to succeed
Forward thinking with the ability to assert new ideas and follow them through
Previous experience in people management in a collaborative team environment

109

Operations Resume Examples & Samples

At least 5 years of work experience in Operations or related field
At least 5 years of work experience in Finance or related field
Proficiency using the Microsoft Office Suite in particular Excel, Access, PowerPoint and Microsoft Word
Experience reviewing legal documentation including but not limited to trust agreements, partnership agreements and LLC operating agreements
Strong focus on control, maintaining accuracy and attention to detail
Ability to work independently, multi-task and prioritize work under tight deadlines
Intellectual curiosity, a strong work ethic and commitment to a superior work product
Strong interpersonal skills with a focus on providing superior client service
Excellent writing, communication and presentation skills; must be confident in interacting with all levels of employees and navigating a global organization
Foreign Language Skills in French, German, Italian, Chinese or Japanese
Experience leading complex projects across multiple regions and/or lines of businesses and products

110

Operations Resume Examples & Samples

Have experience of designing decision model strategies that can support a holistic and broad scale BDM deployment within an organization
Have experience of developing BDM strategies and methodologies that capture both the tactical and strategic goals of the organization, and which can be mapped to metrics to provide ongoing governance
Have extensive knowledge of building decision models to fundamentally change the way that teams manage their businesses, and that are both high technical quality and cost efficient
Have experience of designing and managing the appropriate control frameworks to ensure optimal standardization and re-use of decisions across organizations
Be a subject matter expert for evaluation of business decision models and ensuring that they fit with our divisional strategy for BDM
Have experience of building rule-based systems and analytical models for enabling high-volume, automated decision making
Have demonstrated experience of eliminating business rules complexity and delivering return on investment through expedited implementation of decision and rules frameworks
Have experience of enterprise architecture and building consistency and governance in the way that decisions are implemented across organizations
Minimum of 3 years’ experience in investment banking operations
Minimum of 5 years’ experience in Business Decision Modelling / Management or similar
Experience of the lead business decision management software applications, including but not limited to Sapiens, BLAZE, BizzDesign, Pegasys
Proficient in Microsoft Office applications
Self-motivated and well organized. Proven track record; ability to handle multiple tasks, prioritize accordingly and make decisions as required
Competent in Microsoft Office applications, particularly MS Excel
Ability to articulate solutions clearly to senior management

111

Operations Resume Examples & Samples

This is a highly interactive role and as such requires the capability to work effectively with a diverse range of professionals both internally and externally, covering a wide variety of products and functions
Work with trading counterparties to provide the necessary documentation and information to allow them to conduct credit review and open derivative trading lines
Partner with the Desk to understand investment and trading strategies to be able to provide suitable trading line coverage
Work closely with Legal, once they negotiate legal documents to support the operational set up of accounts with trading counterparties
Build a comprehensive understanding of the GSAM legal documents and structure – e.g. IMAs, ISDAs, GMRAs
Identify potential risks in operational processes; develop and implement controls to mitigate risk
Analyse, suggest and execute process improvements
Managing relationships with key trading counterparts including performance metrics and issue tracking
Minimum 3-5 years works experience in financial industry
Ability to manage multiple deliverables and prioritise accordingly to meet completing deadlines
Acute attention to detail
Sound understanding of risk – operational, reputational, client confidentiality
Ability to build strong relationships with internal stakeholders and external trading counterparts and vendors
Excellent organisation skills
Legal/Para-legal, Credit or on boarding experience strongly preferred
Knowledge of Asset Management business and investment products across major asset classes is desirable
Understanding of regulatory landscape – with particular focus on EU and US regulations will be useful

112

Operations Resume Examples & Samples

Participation various aspects of account event management, including onboarding, restructures, and terminations
Developing an advanced understanding of the German client base to be able to identify trending issues and drive change that will benefit both the client and GSAM
Engaging with clients on daily basis to answer operational queries and attending client due diligence meetings on a ad hoc basis
Operational risk oversight of clients portfolio’s relating to reconciliations, guideline breaches and trade exceptions
Responsibility for delivering best in class client experience, using innovative approaches to identify and address clients’ needs
Ad hoc analysis and reporting for Portfolio Managers, Distribution and Clients
Managing and driving key projects for clients/wider GSAM operational initiatives. This involves structuring deliverables and effective communicate to key stakeholders
Strong academic background including a Bachelors degree
Minimum 6 years experience with a global asset manager
Demonstrable background in client reporting
Proven team management skills
Thorough understanding of NAV’s and fund reconcilliations
Demonstrable progression within previous positions and consistency of employment
Keen to possess a good understanding of client types, relevant markets, products, processes, regulations and systems required to achieve business objectives
Demonstrates and develops ability to independently troubleshoot and resolve problems that arise
Ability to demonstrate success in improving processes and experience of working on projects to deliver efficiency gains
Experience in being able to scope, drive and deliver projects through self-initiative
Proficient organisational skills, with ability to coordinate regular communication key stakeholders

113

Operations Resume Examples & Samples

Using systems to analyze and process client trades with incomplete information or rejected based on internal controls
Extensive communication with clients, Product Data Quality, Technology, as well as representatives within Prime Brokerage area
Escalation of issues to management in a fast paced, deadline driven environment
Continue to ensure that optimal controls are in place in performing daily functions
Participation in cross-training, procedures, and ad hoc team projects / initiatives
Strong product knowledge and an understanding of domestic and international markets

114

Operations Resume Examples & Samples

Liaising with the Trading/Sales desks to ensure timely processing of amendments to existing bookings
Provide technical assistance to Trading/Sales when booking new trade types
Provide assistance to the wider Operations teams, dealing with trade related queries and acting as an intermediary when liaising with Trading/Sales where necessary
Opportunities to participate in high profile project work at an industry/team level
Minimum 2 years of experience in the financial industry

115

Operations Resume Examples & Samples

Ability to break down and fully understand complex transactions and their payoff formulas
Ability to communicate complex issues to demanding internal clients and to build relationships
Japanese or Chinese language skills

116

Operations Resume Examples & Samples

Minimise financial, reputational and regulatory risk to the firm and its clients
Flexible team player / works well under pressure
Demonstrated Risk Management acumen
Good organisational skills and ability to prioritise workload and work to tight deadlines
Be able to use own initiative and work with minimal supervision
Control and Accuracy orientated

117

Operations Resume Examples & Samples

Interpret and determine client requirements and service standards from legal documentation and business requirements supporting all account events
Manage the vetting/negotiations of all contractual, guideline and supplemental agreements (i.e. IMA, ISDA, FCM, Direction Letters, etc.) with both internal and external parties. Ensure that any and all agreements are finalized and executed prior to account opening and all client issues are resolved in a timely and satisfactory manner
Detailed understanding of the trade lifecycle, from order and execution management, allocation, confirmation and fail management
Highly organized, attention to detail and excellent follow through skills

118

Operations Resume Examples & Samples

Execute team responsibilities such as client specified reports, advise specialist view on reporting requirements to new and existing
Minimum 2 years Asset Management or financial industry experience in Operations or any type of reporting functions
Solid understanding of financial products such as equities, fixed income, derivatives and foreign exchange
Demonstrated success in project management especially working with Technology. Able to deliver high quality results while
Understanding of risk and performance measurement is a plus
Understanding of regulatory requirements in Japan and prior experience with audits

119

Operations Resume Examples & Samples

Manage the end-to-end project lifecycle for key initiatives within Tax Ops including documentation of requirements and test cases, execution of testing, and project status reporting, to drive change and ultimately bring projects to completion within budget and with minimal risk to the organization
Industrialize current processes and procedures by applying process improvement methodology and work with IT to automate manual process components where possible
Minimum six years post graduate experience with professional experience in project management and or/ business analysis within within Operations, Financial Services industry and/ or Tax

120

Operations Resume Examples & Samples

Execute team responsibilities such as client specified reports, advise specialist view on reporting requirements to new and existing clients, and implement reporting procedures with proper control
Lead or participate in global and local project initiatives designed to improve operational efficiency by providing project scope, system specification, cost/benefit analysis, test scripts, issue log, and meeting coordination. Typical projects include system automation, workflow engineering, and insourcing and outsourcing projects
Act as a trouble shooter to resolve issues, and handle ad-hoc queries with internal and external parties
Provide audit support for internal audit, regulatory bodies and independent auditors as well as for control initiatives such as SSAE16, Legal ledger requirements, etc
Demonstrated success in project management especially working with Technology
Ability to effectively manage multiple tasks and relationships
Able to fully utilize various systems to maximize control benefits and efficiency
Proactive. Able to recognize possible problems and act independently to fix issues
Strong desire for personal growth and willingness to take ownership for team issues
Flexible and creative. Able to adjust quickly to new business environments and welcome changes
Proficiency with MS Office applications (Outlook, Excel, PowerPoint, Word)

121

Operations Resume Examples & Samples

Participate in and contribute to industry-wide initiatives
Understanding of Risk – operational, reputational, client confidentiality, etc
Compliance or other risk assessment experience preferred

122

Operations Resume Examples & Samples

Assist with cross-Operations, high priority projects across all typical project phases
Project initiation, including definition of plans
Ongoing project management support, including progress monitoring and reporting throughout the project
Build and manage strong relationships with project sponsors and stakeholders in Operations, Technology and the business. Manage competing priorities and escalate as appropriate
Work with Operations business units to assess and design processes
1 to 3 years of work experience in a business analysis / project management function supporting both business process and technology implementations&#8217
Provides creative & innovative solutions
Ability to understand the implications of a specific solution across processes, e.g. costs, risk, service
Ability to define practical solutions
Project management skills including project scope definition; project issues, challenges, risks definition; status reporting; test strategy definition and User Acceptance Test execution

123

Operations Resume Examples & Samples

Assist with cross-operations, high priority projects across all typical project phases
Work with the Federation and other firm business units to assess and design processes
At least 1 to 3 years of work experience in a business analysis/project management function supporting both business process and technology implementations
Has good understanding of assisting in delivery of projects and achieving results independently, on time and to budget
Strong analytical skills including process analysis
Capable of identifying and interpreting wider-ranging issues: ‘big picture’ understanding

124

Operations Resume Examples & Samples

Liaison with internal groups (Credit, Sales, Trading, Middle office, Legal, Front Office, Settlements, and Corporate Treasury) to resolve collateral issues
Maintenance of reference data in Firmwide Product and Pricing systems
Ensuring accuracy and integrity of the firm’s books and records
Bachelor’s degree, preference for a degree in a numerical major
At least two years of professional work experience in a related field
Strong numerical, analytical and problem solving skills
Strong communication skills, highly articulate
Language skills, as potential to interact with clients from across regions

125

Operations Resume Examples & Samples

Excellent business analysis mind-set & skills to bring order to the abstract
Modelling experience in Sapiens DECISION (or equivalent) Business Decision “Rules” Engine
Impact and influence – be able to shape discussions and build consensus
Clarity and confidence in both written and verbal communication
Good interpersonal skills and ability to partner with others face-to-face and remotely
Experience of mapping Business Process (in BPMN preferably)
Drive and determination to bring about change without needing to be driven

126

Operations Resume Examples & Samples

Track docs, verify deal requirements regarding docs, post docs to required systems
Communicate with external counterparties which may include Agent banks, borrowers and lenders daily regarding docs
Communicate closely with internal counterparties such as Servicing, Legal, Tax, Closers, Deal Managers, etc…

127

Operations Resume Examples & Samples

This role supports the oversight of Net Asset Value provided by accounting agents for both proprietary and external mutual funds
Knowledge of SEC, U.S. GAAP, U.S. GAAS, IFRS procedures and standards, the Investment Company Act of 1940 and the AICPA Audit and Accounting Guide - Investment Companies
Perform initial and ongoing fund administrator due diligence
Support the control framework and operating policies
Identify and resolve accounting agent issues
Act as a central interface with accounting agents and external Investment Managers
Partner and communicated with internal groups such as compliance, legal, risk, and the business in the monitoring of sub-advisors
Coordinate the delivery of fund oversight related activities including material preparation, inquiry responses, and investigations and reporting
Support department driven initiatives
Self-motivated, well organized and attention to detail
Strong economics background
Proven analytical and time management skills
Interest in portfolio management
Energetic team player, able to work well within a group
Flexible individual, able to learn quickly
A proactive self-starter, able to manage own time, prioritize and independently identify and complete implied tasks
A leader who works effectively in a team setting and is passionate about providing innovative solutions for complex business needs
Strong delivery focus with a proven track record of achieving results and demonstrating proficiency in managing multiple competing tasks on a daily basis

128

Operations Resume Examples & Samples

Exhibit confidence in communicating in a variety of forums, including one-to-one feedback sessions, formal presentations, training sessions and town halls. ?
7 years experience in the financial services industry / domain
Change management – The ability to identify opportunities for improvement in order to gain efficiencies and enhance controls
Knowledge of accounts reconciliation requirements is desirable

129

Operations Resume Examples & Samples

Take ownership for developing the next generation of managers (i.e. focus on Team Managers)
Manage relationships with global divisional finance teams
Performance and management reporting of non-comp expense data
Manage relationships with risk partners like Global Control, Treasury and Controllers
10 years experience in an Ops role (financial services industry / domain)
Should be able to effectively communicate and develop/sustain good working relationships with other teams and stakeholders
Ability to motivate teams to high levels of productivity and accuracy during periods of increased volume and retain risk and control focus is also essential to the role
Excellent partnership building skills and strong customer service perspective
Effective organisational and time management skills

130

Operations Resume Examples & Samples

Determine, analyse and document business requirements leveraging Operations and Business users knowledge as appropriate
Plan, manage and support UAT phases leveraging Operations and Business users as appropriate, and work closely with Technology team to ensure the prompt resolution of fixes and retesting
Identifying, developing and driving process improvements within department and participating in department or divisional Industrialization initiatives
Prepare status reports, conduct meetings to follow-up on issues and monitor progress
Work with other Business, Operational and Firmwide areas to ensure necessary input and support for projects
The individual will be expected to lever their existing product and process knowledge and develop a good understanding of the existing GS processes and systems
Build strong relationships with Line & Business resources, and with Technology Teams who support the Business & Operations
Start to take responsibility for the end-to-end delivery of workstreams within the agenda for Regulatory Reform
Demonstrates comprehensive understanding of relevant regulations, operational and compliance procedures
Graduate Degree
Minimum 2 years experience in Operations or a Finance related field
Product, process and industry knowledge of Derivative Products e.g. Credit, Rates, FX, Commodities, Equity. OR
Project / Change Management
Self-motivated and confident when dealing with people from all areas of the firm
Possess necessary leadership skills, self-motivation and determination to drive and complete projects
Strong teamwork skills and ability to work with a wide user group in different regions of the world
Strong organisational skills and ability to work independently
Ability to successfully analyse issues and see them through to conclusion
Ability to deliver multiple project threads, whilst working under pressure and to tight deadlines
Good PC application skills
Ability to engage with and influence key stakeholders
Provides attention to detail, able to work to deadlines and provides creative & innovative solutions
Capability to prioritise and make decisions in a fast paced environment
Exposure to, or involvement in delivery of change in their current organisation (business analysis / project management)

131

Operations Resume Examples & Samples

Drive strategy for a team of ~35 people globally alongside flawless execution and coverage of the control environment
Take responsibility for delivering best in class client experience, using innovative approaches to identify and raise trends in client behavior to Client Clearing Services teams
Work to create / improve metrics that record workload drivers and build process to efficiently maintain changes to these
Contributing to the development of the methods to improve processes, reduce risks, increase controls, and / or increase customer satisfaction
Liaison and ad hoc analysis for Client Clearing Services, senior leadership and external Hedge Fund clients
Demonstrates and develops ability to independently troubleshoot and resolve most common problems that arise
Excellent process manager and good at time management - BAU, mandatory projects, discretionary projects
Effective at managing stakeholders in a global matrix organization (Sec Div, Ops mgmt, Technology)
Demonstrates the ability to re-engineer manual processes with an eye on automation
Excellent risk management skills (financial, reputational, client service)
Assertive personality that is able to grasp detailed concepts quickly and operate consensually / within a team environment
Ability to work effectively with tight deadlines and under high pressure situations

132

Operations Resume Examples & Samples

Produce and/or validate daily, weekly or monthly Regulatory Reports
Investigate and resolve exceptions generated during the Regulatory Reporting process
Respond to enquiries from the Regulators and internal teams such as Compliance and Legal
Support Business Analysis team delivering strategic projects to improve the regulatory reporting infrastructure, e.g. completing
Support team involvement in other GS activities outside of daily work

133

Operations Resume Examples & Samples

Review and analyze ISDA/CSA and other Master documentation; Identify key risks in documentation
Develop a comprehensive understanding of the Legal and Credit systems
Liaise with Legal, Credit, Middle Office, Strats, Corporate Treasury, Collateral and other internal GS teams on issues
Work closely with IT to identify/resolve system issues, and implement system enhancements to increase efficiency in current processes
Work with the global team to produce reports and build metrics
Adhoc issues
At least 3 years financial industry experience
Understanding of securities
Self-starter who will push themselves to learn

134

Operations Resume Examples & Samples

Proactively assisting Lead Project Manager coordinating the requirements gathering, development, testing, implementation, as well as posting on the progress of multiple work streams to all relevant stakeholders
Documentation of Business Requirements, partnering with the Business, Operations, Compliance, and Technology ensuring all the requirements are well documented
Assist in design and implement oversight controls and reconciliation processes
Assist in functions related to non-financial regulatory reporting daily exception management handling

135

Operations Resume Examples & Samples

The Client Onboarding team within ODQM Operations is primarily responsible for satisfying the firm’s regulatory obligations as well as ensuring adherence to all Compliance policies, procedures and regulatory obligations with regard to Anti-Money Laundering / Know Your Customer
Performing Anti-Money Laundering checks locally and working closely with the offshore Anti-Money Laundering team within Client Onboarding. This includes drilling down on beneficial ownership for higher risk clients, identifying politically exposed individuals, and liaising with the Enhanced Due Diligence team in relation to entities in high risk jurisdictions, negative media, and sanctions issues
Responding to queries and assisting with problem-solving of matters received from the business desks and other departments to ensure prompt responses to client queries where applicable in the Onboarding process
Assisting with defining, discussing and enhancing process efficiencies both for EMEA and for global Onboarding initiatives
Delivery of excellent client service during the Onboarding process to gather KYC documentation and ensure the appropriate legal documentation is in place including regulatory reform information
Participating in regular meetings with Management, Compliance, Legal, Credit and the Business to maintain strong relations with regard to client pipeline discussions and Onboarding capacities / efficiencies
Participating in ad hoc Onboarding projects as required
Provide further assistance as may be identified within the Client Onboarding team
Minimum of 18 months prior experience in the field of Anti-Money Laundering / Know Your Customer checks required
Excellent attention to detail organised approach and strong problem solving/facilitation abilities
Mature approach and influential communication skills
Must be capable of working to deadlines in a high volume, high-pressure environment while maintaining 100% dedication, excellent attitude and flexibility
Legal & Compliance experience / awareness of regulatory reform requirements in the derivative market for financial institutions
Proactive and takes initiative to improve processes and create efficiencies

136

Operations Resume Examples & Samples

Collateral issues
Problem and break resolution
Proficient in Microsoft applications (Word, Excel, PowerPoint etc)

137

Operations Resume Examples & Samples

Develop expert knowledge in regulatory requirements, processes and systems for a number of transactions and position based regulatory reports
Perform impact assessments on these reports for new markets, new products, business re-organizations, system changes and new/changed regulations
Investigate and remediate issues with these reports and develop control improvements
Contribute to strategic initiatives relating to these reports, for example strategic Technology developments
Act as a risk manager for the firm through ongoing assessment and awareness of the regulatory environment and the firm’s adherence to its reporting obligations
Be flexible to contribute to other activities within the group where necessary, e.g. daily report production
Bachelor’s degree required (Engineering or Sciences a plus), Graduate degree preferred
Minimum 4 years work experience in the Financial Industry
Proficient in the use of MS Office products
Engineering or Sciences undergraduate degree combined with MBA or Financial Services experience
Strong data analysis skills with a working knowledge of databases and SQL
Business process reengineering experience
Ability to learn quickly and adapt to new changes and new challenges
Working knowledge of financial products, e.g. Equities, Fixed Income, Exchange Traded & OTC Derivatives
Previous exposure to regulatory reporting a plus
Knowledgeable about securities processing, corporate actions, and asset servicing a plus

138

Operations Resume Examples & Samples

Rapid development of Microsoft-based desktop solutions across multiple platforms (Access, SQL Server, Excel, Outlook, SharePoint, C# and/or VB.NET, etc.)
Actively seek out ways to improve processes, reduce risk, increase productivity and lower costs
Microsoft Excel and Access development
Business Objects experience

139

Operations Resume Examples & Samples

Negotiate Master Confirmation Agreements (MCAs) for Equity Derivative products (ISDA published and in- house MCAs, vanilla and structured templates) with counterparties
Participate on Industry & ISDA working groups to establish standardized templates for new products
Minimum of 3 years of experience in Operations, derivatives and/or legal documentation
Driven, enthusiastic and dynamic in search of improving processes, controls & procedures

140

Operations Resume Examples & Samples

Responsible to initiate and actively participate in document analysis and template implementation
Definition of document XML schema and understanding of Thunderhead Business Objects Schema
Rationalization of document templates along with Customer SME/BA team
Design the approval workflows
Good understanding of the enterprise content management space
Good with effort estimation
Developing document templates, layouts, style sets in business content studio
Business Objects creation and validation
Unit testing using Sample data
Developing interface with external systems using Thunderhead WebService API
Training templating team members

141

Operations Resume Examples & Samples

Scheduling and management of metals contracts in real time
Using commercial understanding to manage logistics along supply chain from source to final delivery point
Building close relationships with the trading /structuring desks to provide support and information pertinent to new business
Providing expertise in the contract drafting and negotiation stages
Establishing and operating an extensive control process and resolution of any disputes that may arise
Establishing and building strong working relationships with external counterparties both domestically and internationally
Management and organisation of all documentation relating to the physical metal and transportation
Keeping track of inventory at every stage in the supply chain
Minimum of 7 years of physical Metals logistics/traffic operations
Broad knowledge of physical commodity products and markets
Experience with warehouses and agents
Possess excellent communication skills
Innovative and able to suggest and implement ideas and new processes as they evolve with the business
Demonstrates ability to drive project success and process efficiency as well as to secure cooperation from other areas as necessary
Degree qualified or be of graduate calibre
Understanding of Financial Services Operations
Language Skills

142

Operations Resume Examples & Samples

Primary point of contact within Operations responsible for building strong relationships with a defined portfolio of clients
Responsibilities include daily processing of margin, managing position breaks or fails, and investigating client queries
At least 4 years of experience working in finance
Understanding of the regulatory landscape governing securities and derivatives, specifically futures products
A highly confident, mature and professional approach to all work undertaken and most importantly to supporting other members of the team

143

Operations Resume Examples & Samples

Manage the planning/implementation of projects globally
Develop and implement operational infrastructure to support changes in industry standards and regulatory requirements
Facilitate the assessment of regulatory rule impact to Operations, Business, and Technology
Design and manage the monthly performance metrics package for the division
Analyse and present metrics effectively on a monthly basis
Work with Finance to provide on-going validation, reporting, tracking and forecasting of headcount, expenses and allocations and ensure alignment with business priorities
Coordinate globally with senior stakeholders and colleagues across Operations, Technology, Finance, and Business/COO divisions around our project portfolio management process: to identify project needs, perform feasibility analyses, coordinate resource estimation, and agree on prioritization
Calculate project ROI and other relevant data points in support of senior management prioritization decisions
Minimum of 3.5 years industry experience in the Financial Services industry or Asset Management Operations
Minimum of 3.5 years’ experience in a project management position with a proven track record of delivering complex projects individually or as part of a team
Experience with Microsoft Word, Excel, PowerPoint, Project and Visio
Asset Management experience preferred
Experience in managing global financial industry regulatory reform initiatives (Dodd Frank, CFTC, EMIR, etc.) preferred
Strong quantitative analysis skills and ability to work with large amounts of data
Ability to collaborate and communicate effectively across front office, operations, technology, legal and compliance teams

144

Operations Resume Examples & Samples

Drive organizational adoption of BPM concepts and technology and work with the BPM practitioners to mature BPM delivery methodology and best practices
Lead strategic planning and development of the BPM capability roadmap in alignment with business and IT strategic priorities
Collaborate with business sponsors to promote BPM capability and adoption through the enterprise; work with the project management team to set-up BPM reviews, track project life cycle metrics and drive for continual improvement
Drive implementation and enterprise-wide adoption of process governance as well as the process measurement system
Support the sub-division BPM leads in establishing their practices and ensure successful design reviews
Expert knowledge of Business Process Modeling (BPMN 2.0) and BPM Methodology as well as a track record of hands-on experiences in defining and implementing BPM initiatives to achieve targeted business value
At least 6-8 years of experience in developing and managing and hands-on experience in core aspects of BPM including process frameworks, process architecture, process governance, measurement systems in complex environments
Strong analytical skills with a demonstrated ability to analyze business processes and build an integrated end-to-end future state vision across functional silos
Experience facilitating workshops and focus groups at the leadership level
Strong business / client engagement skills

145

Operations Resume Examples & Samples

Take responsibility for delivering best in class client experience, using innovative approaches to identify and address clients’ needs
Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture
Scalability analysis of workflow cost drivers and trends to help drive process improvements and efficiency, budgeting and cost allocation to various revenue producing desks
Owning relationships with brokers, custodians, prime brokers and fund administrators to improve quality and productivity of work, integrating best practices as appropriate
Represent GSAM in industry forums and help define market and GSAM processes to meet changing regulatory requirements
Liaise with internal and external business partners / clients
8 years with either an asset/investment management or financial services background
Background in Portfolio Accounting and Relationship Management
Need to be strategic leaders, thinkers, demonstrate real ownership for problems and strategy
Proactively seeks and promotes appropriate training to further enhance client / market / industry knowledge
Ability to forge strong rapport with our client base

146

Operations Resume Examples & Samples

Leverage operational consulting skills, business knowledge, processes skills, change management and continuous improvement methodologies, measurements & tools to analyze issues and drive operational improvement solutions for the business units
Manage the implementation of policy change and infrastructure improvements in the areas of regulatory reform, business expansion, global consistency, risk management, efficiency initiatives, and technology convergence initiatives
Coordinate full project lifecycle for global projects, including business analysis, technology design and development, integration testing, user acceptance testing and production rollout
Define quality assurance and testing approach for projects, document test cases and scripts, and run various types of testing phases including user acceptance, production data, production parallel, and conversion tests
Provides business process or systems support that may include duties such as root cause analysis, mapping of current processes or systems, iterative problem definition and hypothesized improvement opportunities
Graduate Degree with a minimum of 3 years' experience in-house at a financial services firm
Operational consulting experience, either internally or at a large external consulting firm
Lean Six Sigma skills with Green Belt certification preferred
Project Management Institute (PMI) certification, or equivalent, preferred
Process modeling, design and optimization experience using BPMN preferred
Fluent with technology solutions to manage projects including appropriate Microsoft Office programs (i.e., Word, Excel, PowerPoint, Project, Visio) and also SharePoint
Strong quality assurance and testing skills, including the ability to create test plans and test scripts, and track and resolve testing issues

147

Operations Resume Examples & Samples

Rapidly product and oversee the development of software to meet high impact business needs while working concurrently on multiple projects of limited duration
Strong understanding of computer science fundamentals and 2+ years of programming experience in a variety of languages ( Python, Java, Scala, C, C++, etc.)
Experience with database technologies, such as SQL or Hadoop

148

Operations Resume Examples & Samples

Risk mitigation, ensure the risk in GS’ outstanding trades is effectively mitigated and controlled through timely affirmation and confirmation
Ensure processes and systems are continuously reviewed and improved and risk is managed
Achieve results within the team that adhere to expectations around timeliness, quality and cost effectiveness
Conduct a complete diagnosis of most business problems, factoring in a seasoned and detailed understanding of the processes and system used in the department
Close interactions with senior experts and peers from various different teams and regions including GS sales/trading, Technology and Compliance for issue resolution and process improvement. This role will involve a large amount of facilitation and negotiation
Oversee implementation of creating efficiency within the team to support regulatory changes as well as new client and business requirements
Participate and lead discussions in Industry Working Group and actively work with the wider team and management to achieve both industry and regulatory targets
Establish, manage and own close relationships and partnerships with business partners, external clients and regional stakeholders
Develop a vision and implement strategic changes to re-engineer processes and reduce risk
Provide thought leadership to the wider team both locally and regionally Develop plans to retain and grow talent
Lead the implementation of organization wide initiatives and projects

149

Operations Resume Examples & Samples

Monitor trade bookings by trading and sales real-time to ensure data consistency and to limit market risk
Identification and resolution of transaction errors preventing trades from flowing into our operational confirmation and settlement systems
Support trading desk on monitoring of cross-product trading, futures, and fixed income products
Completion of a series of daily system reconciliations which ensure consistency of trade data between risk management/operational systems and the firm s general ledger
Co-ordination with the business and IT to maintain and build scalable systems to support a growing business
Monitoring and co-ordination of the firm s global currency tom/next roll, liaising extensively with trading, treasury and funding groups; liaison with Treasury to action intraday funding requirements
Co-ordination of trading requirements for securities-related activity in the growing emerging market business
Work on line initiatives to meet regulatory requirements in the current dynamic regulatory environment
Support sales and client trade setups, including broker platform setups, account openings
Native Japanese speaking and writing ability is preferred
Experience with financial regulatory reform policies (eg. CFTC, EMIR) will be highly beneficial
Previous experience in Derivative Operations/strong derivatives product knowledge is highly preferred

150

Operations Resume Examples & Samples

Improving risk indicators and metrics, performing incident analysis, addressing root causes, increasing awareness and instilling ownership and accountability, developing partnerships and developing best practices within Securities Operations in Asia
Assist with incident management by reviewing incidents when they occur in Asia Sec Ops with Global Sec Ops management teams. This is achieved by the Risk Manager partnering with the relevant line team(s) to clearly identify the root cause, control failures and mitigating action plans surrounding the incident in order that the Sec Ops Management teams can review the incident(s)
Conduct annual Risk and Control Self Assessments (“RCSAs”) of specific product areas by partnering with the line teams to identify inherent risk, update the control framework and apply residual risk ratings. This includes reviewing the findings with the appropriate management teams before facilitating the briefing of senior Sec Ops management on the process and the subsequent approval process
Manage an associate within the Asia Risk Team
7 to 10 years of working experience with a line operations background within investment banking operations (including settlements, trade support, client support group etc.)
Experience in risk managementwould be advantageous
Good knowledge in front back process flows
Good presentation, interpersonal and analytical skills

151

Operations Resume Examples & Samples

Analyzing market developments (including short term emergencies) and working with BU and Infrastructure colleagues to ensure appropriate responses
Understanding and negotiating requirements for agent bank participation in new Morgan Stanley product development
Agent Bank relationship management

152

Operations Resume Examples & Samples

Engage in the testing and implementation of rule changes that impact reporting processes
Analyze regulatory inquiries related to trade, transaction or position data
Maintain a strong focus on streamlining in efficient processes, drive forward solutions to remediate production issues in order to improve both accuracy and timeliness
Recommend infrastructure improvements; and
Experience in working with complex financial products and functions including data analysis, information technology, business operating processes, and compliance
Past responsibility for project management, risk management, or operations work including regulatory reporting
Certification or industry accreditation is also a plus
Solid understanding of the securities / derivatives business and related products

153

Operations Resume Examples & Samples

Risk mitigation through review of daily reconciliations across risk systems and books and records
Determine trade calculations for exotic transactions
Collaborate with Strategists and Technology to improve front-office risk systems and implement enhancements
Rate verification
Opportunities to participate in project work at an industry/team level
Strong judgment and problem-solving skills
Risk Prioritization
Basic product knowledge
Basic trade service and support experience (any product)

154

Operations Resume Examples & Samples

At least 2 years of work experience in operations or related field
Experience with Microsoft Office applications-specifically Excel
Knowledge and experience in financial services a must. Asset Servicing knowledge is preferred
Experience in dealing with multi-functional teams to resolve issues and drive solutions
Pays attention to detail and can multi-task

155

Operations Resume Examples & Samples

Perform ongoing client level and balance sheet driver analytics for GSEC
Determine amounts and initiate stock lending activities with GSCO and GSI
Evaluate the funding impact of new clients as well as the liquidity of their portfolios
Monitor daily GSEC’s cash flow and liquidity needs
Maximize the use of collateral at the OCC
Participate in the innovation and implementation of new systems and applications
Process requests for other teams to release securities to meet delivery obligations
Prepare daily funding strategy reports and monthly/quarterly senior management update reports
Ability to create and handle complex Microsoft Excel spreadsheets
Risk and control-oriented

156

Operations Resume Examples & Samples

Work with the business and internal stakeholders to come up with creative ways of enhancing our revenues
Fee and membership maintenance
Fee accruals, reconciliations, invoice payment and associated cost allocation
Exception report management
Day to day query resolution from both internal and external parties and first point of contact for any issues that should be escalated
Set up and management of vendor service changes for clients
Contribute to development of team, ensuring that we use best practice in what we do at all times
Involvement in initiatives which re-design the flow of incomings/outgoings to improve the process, provide extra client service offerings and/or enhance our controls

157

Operations Resume Examples & Samples

Perform analysis on the firms regulatory obligations to define the relevant reporting requirements and document into formal requirements for Technology
Actively participate in the development of the strategic control framework for Regulatory Operations
Participate in strategic initiatives across the global Regulatory Operations department
Develop solid working relationships with many other areas of the firm including the Front Office, Technology, Legal, Compliance, as well as interaction with external clients and regulators to support various reporting functions
Degree Qualified or be of graduate calibre
Experience in an Operations Control Environment
Strong analytical skills with an ability to understand complex workflows
Proven ability to organise and prioritise own workload and drive results
Proactive and self-starting individual with high levels of ownership
Working knowledge of trade lifecycle
Working knowledge of tradable financial products, e.g. Equities, Fixed Income, Exchange Traded Derivatives, OTC Derivatives

158

Operations Resume Examples & Samples

Apply statistics, econometrics, and machine learning to perform forecasting, prediction, and pattern recognition for the support of data-driven decision making
Guide the use of data and analytics to answer business questions and make recommendations including design of its visualization delivery
Drive and review the development of software to aid and streamline the application of analytics
Collaborate with end users, senior management, and our business partners to identify, understand, and tackle current issues, gaining broad exposure to the firm’s business activities
Bachelor’s degree in a technical area (e.g. Math, Computer Science, Physics, or Engineering)
Programming experience in a general purpose language (e.g. Java, C, Python, Scala)
Experience or coursework in probability, statistics, and regression analysis
M.S. or Ph.D. in a technical area
Expertise in Machine Learning, Data Mining, Econometrics, or other numerical field

159

Operations Resume Examples & Samples

Liaise with FX, Funding Desk and business units to assess liquidity requirements on a real time basis
Work with agent banks to consolidate the Firm's cash positions, within each markets currency cutoff
Maintain close relationships with market counterparts, agent banks & internal business partners, as well as daily interaction with Global Liquidity Management teams in Tokyo, Singapore, Bangalore, New York and Salt Lake City
Assessing funding and systems requirements for New Products as well as being involved in any initiatives undertaken in Growth Markets
Manage funding flows for highly regulated Goldman Sachs entities
Defining and implementing necessary controls for new funding flows in emerging and growth markets
Strong performing graduate or experience hire
Minimum of 1 year’s experience in Operations
Demonstrated risk management acumen
Control and accuracy orientated

160

Operations Resume Examples & Samples

3 to 7 years of relevant experience within loan operations
Self-motivated and adaptable, and have good attention to detail
Strong team player, with good interpersonal skills and be able to work under pressure to tight deadlines
Excellent communication skills in English and a high level of professionalism as this position require extensive interaction with Business Unit and external counterparts
Able to read loan agreements in Chinese. Language skill on conversational Mandarin is preferred
Capable of maintaining confidentiality in relation to non-public or market sensitive information
IT literacy is a requirement, and the candidate should have a good working knowledge of Word and Excel, with knowledge of SAFE system being advantageous
Experience in the administration of loans, particularly syndicated facilities is preferred

161

Operations Resume Examples & Samples

Assist in day-to-day settlement activities in US (DTC & Fed), Canadian, and Latin American markets
Interact externally with counterparties, custodian banks, and transfer agents; interact internally with operations and revenue businesses
Management reporting and transparency
At least two years of professional experience
Strong analytical/problem-solving abilities
Able to work under time critical constraints in a high pressure environment
Past experience of process improvement analysis, project planning/coordination and implementation

162

Operations Resume Examples & Samples

Process payments, journals and securities movements in accordance with Firm guidelines
Identify control and exposure points within transaction/workflow
Recognize the importance of maintaining the integrity of the firm’s books and records
Streamline tasks by identifying deficiencies and escalating ideas for process improvement and efficiencies to manager
Propose solutions for day-to-day business improvement and issue resolution to manager
Develop a detailed understanding of all activity within the CCM organization
Deliver superior client service
Demonstrated ability to apply tactical office product based solutions (Excel/Access)
Able to demonstrate successful relationships with Business and Technology partners
Excellent teamwork skills and ability to work with a wide user group across multiple functions and regions
Ability to successfully analyze issues and see them through to conclusion
Ability to multi-task and deliver while working under pressure and to tight deadlines
Good PC application skills particularly Excel and Access
Excellent interpersonal skills and the ability to work well within a team environment
Excellent analytical skills, with focus on application of root cause analysis and contribute to process improvements
Excellent communication skills for liaising with Operations, Client Reps, and/or Technology teams on day to day issues
High level of proficiency with Microsoft Office products, especially Excel
Comfortable presenting complex information in a structured manner
Professional experience in relevant industry (8 years)
Ability to learn new functions quickly

163

Operations Resume Examples & Samples

Monitor event information in the market and ensure accurate set-ups in the system
Facilitate market elections for voluntary corporate actions and proxies
Process income payments of coupons, redemptions and dividends and mandatory corporate actions
Closely liaise with Compliance and Tax divisions to comply with various rules and taxation
Closely liaise with global Asset Servicing teams for global coverage and industrialization

164

Operations Resume Examples & Samples

Identify, develop and drive process improvements within department and participate in department or divisional Industrialization initiatives
Work with other business, operational and firmwide areas to ensure necessary input and support for projects
Leverage existing product and process knowledge and develop a good understanding of the existing GS processes and systems
Build strong relationships with line & business resources, and with Technology teams who support the business & Operations
Demonstrate comprehensive understanding of relevant regulations, operational and compliance procedures
Experience in either product, process and industry knowledge of derivative products e.g. credit, rates, FX, commodities, equity OR prroject / change management

165

Operations Resume Examples & Samples

Develop expert-level knowledge of relevant tax systems, procedures and requirements
Work with global teams to support implementation of evolving IRS and global tax regulations
Work with teams across regions to drive initiatives and issue resolution
Document process flows and recommend approaches for automation or scalability
Remediate anomalies in tax processes and develop control improvements
Perform testing and data analysis to identify trends / exceptions compared to expected outcomes
Effectively communicate with colleagues in Tax Advisory, Technology, business units and the rest of Operations to manage inquiries and issue resolution
Research the tax impact of corporate actions and other market events
Provide regular feedback / reporting to management
Act as a risk manager through ongoing awareness of the tax regulatory environment and the firm’s adherence to its tax reporting obligations
Be flexible and contribute to other activities as requested
Master's degree in Accounting, Finance, Information Systems or CPA preferred
Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word, as well with web applications
Strong data analysis skills and experience with Microsoft Excel and Access / basic SQL
Knowledgeable about securities processing, corporate actions, and asset servicing
Prior tax operations related work experience
Spanish, Portuguese, Japanese, Mandarin, or German fluency a plus
Comfort working with large data sets and proprietary systems
Quickly comprehends complex concepts and detailed process flows

166

Operations Resume Examples & Samples

Act as liaison between PWM US IP and PWM Operations
Become proficient on various internal operating systems
Strong custody/banking and accounting background preferred

167

Operations Resume Examples & Samples

Daily monitoring/validation of key reference data that contributes to GSAM investing decisions
Coordinate closely with key individuals from across GSAM Operations, the GSAM Fund Management Desks, and Technology to improve the quality of product data
Act as a central point of contact/escalation for inquiries from the GSAM business regarding data quality
Management of daily responsibilities and multiple projects to meet key deadlines
Knowledge and experience in financial services
Securities product knowledge is preferred
Proven track record contributing in a dynamic team environment

168

Operations Resume Examples & Samples

Liaise with clients in order to track and resolve position discrepancies
Consolidate requests in order to communicate pricing and position issues with Controllers, Credit and Middle Office teams
Deliver position reports to clients and 3rd party vendors on a timely fashion
Participate in development and implementation of Portfolio Reconciliation mandate
Advanced proficiency with Excel macros and other functions

169

Operations Resume Examples & Samples

Responding to queries and assisting with problem-solving of matters received from the business desks and other departments to ensure prompt responses to client queries where applicable in the on boarding process
Assisting with defining, discussing and enhancing process efficiencies both for EMEA and for global on boarding initiatives
Participating in regular meetings with Management, Compliance, Legal, Credit and the Business to maintain strong relations with regard to client pipeline discussions and on boarding capacities / efficiencies
Bachelors in Law
Minimum 4 years’ experience within both Legal and Banking sectors
Demonstrable knowledge of KYC rules
Legal & Compliance experience / awareness of Client on-boarding process, beneficial
Proven ability to perform Client Due Diligence within KYC policy
Excellent attention to detail organised approach
Strong problem solving / facilitation abilities
Mature approach
Influential communication skills

170

Operations Resume Examples & Samples

Highly motivated, self starter with strong academic background
Strong analytical and flawless communication skills
Ability to articulate complex ideas in clear, concise language and to write with perfect grammar
Team focused; able to flex style to interact effectively with a wide range of individuals, including senior management
Ability to learn quickly, evaluate and form independent judgments
Convincing confidence, presence and intellectual maturity
Strong organizational skills and the ability to manage multiple assignments to deadlines
Competency with MS software including Excel, Word, Outlook, PowerPoint

171

Operations Resume Examples & Samples

Preparation of standard, non-standard, consultant and regulatory reports. The focus of the role is to ensure the accuracy and quality of work and appropriately escalating any unresolved issues to senior management
Performing operational controls across client portfolios to ensure accurate and timely reporting of accounting data
Work in collaboration with Client Implementation team to onboard new clients
Must develop an understanding of the inter-operability between the processes they work on and other processes in the department
Documenting process flows and creating procedure manuals for the function performed
Contributing to the development of the methods to improve processes, reduce risks, and increase controls
Work on improving and automating the reporting process
Demonstrates an in-depth understanding of the economics that underlie transactions or processes being performed. Proactively seeks and undertakes appropriate training to further enhance client / market / industry knowledge
Japanese (spoken and written) language skills as the role may involve interaction with clients and colleagues in Japan

172

Operations Resume Examples & Samples

Ensure prompt resolution of breaks and Failing trades
Liaison between multiple teams internally and externally on trade support related queries
Participate in new product and new market launches
Building relationships with outside financial institutions to improve quality and productivity of work, integrating best practices as
Relevant asset management operations experience or similar
Problem solving capability for trade issues
Experience with Microsoft office applications, specifically Excel
Team player, able to work well inside a group and broadly across an organisation
Flexible individual, able to be innovative and creative in the approach
Motivated and ambitious to seek out improvements to processes
Detail oriented and can multi-task
Japanese language skills (spoken and written) required to interact with Japanese speaking colleagues and clients

173

Operations Resume Examples & Samples

Strong technical skills; Able to review complex documentation and navigate multiple internal systems
Strong communication skills; Can face off with various internal teams including the business
Experience with process improvement and/or system enhancements
Proficient with Microsoft Excel; Able to put together metrics for large sums of data

174

Operations Resume Examples & Samples

Drive process improvement by identifying inefficiencies, and proactively partnering with in house Technology professionals to enhance process and flows associated with the Regulatory agenda
Impact analysis of future regulation and partnering with other departments such as Trading, Legal, Compliance and Technology on requirements and design
Working with external parties such as other Dealers and Reporting Repositories on upcoming regulations and improvements to current processes
Good knowledge of OTC Derivative Products such Options, Swaps, Structured Products
Knowledge and experience of the Regulatory Reform agenda such as DODD FRANK, EMIR or MIIFD
Demonstrates skill in prioritization & organization, when faced with multiple tasks & requirements in a high pressure environment
Contributes to the effectiveness of the team by working closely with colleagues - sharing information, skills, and responsibilities
Design mindset

175

Operations Resume Examples & Samples

Minimum 3 years Project management and/or Business Analyst experience
Strong interpersonal and relationship building skills. Require strong communication skills and should be highly articulate. Able to manage relationships between various Stakeholder groups
Able to work proactively and independently. Self-motivated and well organized. Proven track record; ability to handle multiple tasks, prioritise accordingly and make decisions
Post Graduate qualifications also preferable
Experience of Liquidity and Collateral
Good knowledge of Financial products preferred but not essential
Strong background in technology, including understanding of Technology Architecture and strategy

176

Operations Resume Examples & Samples

Work closely with BC&E and the Bank Relations and Market Infrastructure teams to analyze and report expenses in the brokerage, clearing and exchange node of the firm’s general ledger
Help with the development of process re-engineering recommendations aimed at enhancing the accounting protocol
Implement management reporting and metrics, ongoing and adhoc
Monitor activity through various managed spend related accounts
Develop the appropriate message based on spend activity and facilitate discussions with firmwide stakeholders, due diligence and process change
Serve as point person for managed spend inquires
Minimum five years finance / business analysis experience, preferably in financial services industry
Advanced Excel skills, specifically with regard to data mining and management
Well organized and detail oriented
Ability to work in fast pace dynamic global environment
Familiarity with general ledger structure, particularly for financial services
Basic Access skills
Familiarity with applications like MAP/Essbase

177

Operations Resume Examples & Samples

Open and maintain client account data within the firmwide systems
Answer queries on accounts and client relationships from Operations and Sales
Project management ranging from small enhancements to large-scale, global projects
Contacting clients and the business to obtain AML information and documentation
Ensuring all communications are of the highest professional standard to maintain client service excellence
Timely and effective escalation of potential relationship issues and devising possible resolutions
Taking responsibility for delivering against commitments
Participate in regular meetings with the program team to maintain clarity around workflow, develop required reporting and identify and implement efficiencies
Minimum of 3.5 years’ experience financial industry experience
Experience in liaising with clients directly and business contacts on a global basis
Experience of AML requirements either via a Client On-boarding role or experience on a similar project including an understanding of client structures and AML requirements for hedge funds, private corporations, etc
Excellent communication skills, in both written and verbal form. Confidence to deal professionally and persuasively with clients and senior figures within the firm
Ability to work in a dynamic environment and changing requirements
Excellent organizational skills with strong attention to detail
Proven ability to work well in a global team environment
Proficiency in Microsoft Office products; advanced skills
Fluency in Japanese will be preferred as the role may include interaction with clients and colleagues based in Japan

178

Operations Resume Examples & Samples

Resolve issues/disputes with counterparts & brokers
Help with the resolution of exceptional technical & production issues
Investigate process failures; synthesize and implement corrective actions
Collect and analyze data to guide decision-making and to drive improvement
Shows initiative in developing own understanding & expertise
Quickly grasps new technical and business knowledge
Balances efficiency and accuracy in order to maintain high output while avoiding mistakes
Picks up or anticipates problems through careful analysis & attention to detail
Demonstrates skill in prioritization & organization when faced with multiple tasks & requirements in a high pressure environment
Takes actions to ensure that controls are in place & procedures are followed
Has personal impact to negotiate effectively with other internal groups, including the Business
At least 1.5 years of professional experience in Operations, preferably Equity Derivatives
Excellent quantitative background
Excellent ability to communicate effectively
Experience in trade flow design / project engineering a plus

179

Operations Resume Examples & Samples

Minimum of 4 years relevant experience in Asia financial market (Operations experience in equity and fixed income capital markets preferable)
Communication and relationship management: The constant interaction with Trading and Sales desks requires the individual to be confident when dealing with demanding business people, ensuring at all times we protect the interests and reputation of GS whilst endeavoring to accommodate trading and client requests
Fluency in written and spoken English and Cantonese are mandatory
System literacy, (i.e. Programming Excel Macros, VBA, Powerpoint, etc) is an advantage
Accounting experience is an advantage

180

Operations Resume Examples & Samples

Providing exceptional client service by building strong relationships with global Traders, global Sales, internal teams and counterparties
Ensure trades are booked accurately into firm’s books and records in a timely manner
Working closely with internal stakeholders as well as external clients to draft Physical Confirmations correctly reflecting trading intention and all the terms and conditions as required by credit and legal
Perform economic verification with external clients on T+1
Working closely with clients to ensure timely receipt of all confirmations
Coordinate discussion with Sales, trading, Credit, Legal, IT to come up with solutions to resolve booking or contract issues wherever they arise
Perform daily settlement of physical cash flows and assist in authentication of settlement instructions
Monitoring of trade exceptions preventing trades from settling in time by working closely with Treasury and Funding teams
Completion of series of daily reconciliations to ensure consistent trade data between operational systems and firm’s ledgers
Demonstrate a strong focus on controls and operational risk management and ensure escalation of issues on a timely manner
Identifying areas for improvement to reduce risk and improve efficiencies and working with technology teams on solutions implementation
Work on line initiatives and projects where required
Minimum 1.5 years of documentation experience or trades processing experience ideally within Physical Commodities
Possess strong understanding of end to end transaction processes
Strong organization skills, ability to manage and track multiple tasks and deliverables simultaneously
Strong focus on controls and operations risk management
Must be a team player and have good communication skills
Ideally possess Microsoft office skills
Business Japanese language (speaken and written) as this role may involve interaction with colleagues and clients based in Japan

181

Operations Resume Examples & Samples

Responsibility for the preparation of daily, monthly, quarterly summary reports
Rotation of job responsibilities within the team to ensure effective training of self and others
Proactively work with Operations and IT teams to develop expertise in new reports and document the existing regulatory reporting processes and controls performed within the Operations division
Work to help centralise relevant regulatory reporting activity across Operations, demonstrating a willingness to learn and perform new tasks
Take ownership and provide feedback on new reports, creating checklists and resolving exceptions
Preparation of the supporting documentation for each report
Escalating issues to management as necessary
Participation in User Acceptance Testing and implementation
Support strategic business initiatives and assist with integration into the team
Any Bachelors Degree , University or Equivalent
An understanding of various Financial products would be beneficial
Experience with regulatory reporting, particularly from an Operations perspective, will be greatly valued
Ability to set own priorities and work well under pressure
Ability to work quickly and accurately in a fast-paced environment
Ability to communicate effectively with various operations teams and technology teams
Strong inclination to process improvement
Strong team player with excellent communication and time management skills
Good computer skills – Excel, Access , Power-point, Word etc.,

182

Operations Resume Examples & Samples

Experience in managing small teams / individuals
Graduate with 8 years of Experience
Ability to generate creative solutions to problems and challenge processes, be willing to dig into the detail to resolve

183

Operations Resume Examples & Samples

Collateral Management is focused on the mitigation of counterparty credit risk through the performance of a number of operational processes. A VP will be expected to perform these functions as well as demonstrating innovation and a proactive approach,highlighting inefficiencies, risks and implementing improvements and a high level of service to their clients
The role will involve close interaction with a wide range of areas of the bank including Credit Risk Management, Legal and Compliance, Sales, Trading and other Operations Departments. As a result the successful candidate will be required to possess strong communication skills
Graduate with 8 years of experience
Evidence of experience working within Financial Services with exposure to OTC Derivatives and Securities
Ability to articulate technology requirements for future builds and ability to partner with technology teams in order to go live on such builds
Ability to embrace the ever changing industry focus and regulatory environment
Familiarity with ISDA Masters Agreements and supporting CSAs

184

Operations Resume Examples & Samples

Demonstrate strong technical and market knowledge around Derivatives and associated market nuances. Including trade capture, confirmation and settlement
Liaising with traders and brokers to ensure efficient settlement of trading activity
Building relationships with outside financial institutions to improve quality and productivity of work, integrating best practices as appropriate
Problem solving capability for complex trade flow, settlement & accounting issues
Significant liaison with internal and external clients
Extensive ad hoc analysis for fund managers and trading
Minimum of 2 years asset management experience or similar
Product knowledge in OTC derivatives preferred, with an enthusiasm to expand into other areas. Previous Middle Office, Settlements or Confirmation execution experience beneficial
Ability to gather information, make decisions and drive results
Demonstrate ability to identify inter-relationships and understand the broad impacts of work and projects across the organisation, as well as to involve the right people, in the right way, and at the appropriate project stage

185

Operations Resume Examples & Samples

Daily interaction with traders, sales, Legal and other operational departments to resolve discrepancies
Daily real time monitoring and reconciliation of cleared and listed positions
Liaison with brokers to check out daily trades and resolve discrepancies
Setting up of new products in operations system in line with departmental standards
Daily responsibility for affirmation of key economics for structured commodity products
End of day Broker Reconciliations
Preparation of escalation and control reports
Trade checkout of non-vanilla commodity transactions
UAT and Production testing for EMIR and CFTC Regulatory Technology roll-outs
Strong understanding of derivatives

186

Operations Resume Examples & Samples

Operate as primary point of contact for select Futures Commission Merchants (FCMs) to facilitate margin agreement and communication
Demonstrate strong technical and market knowledge around Listed Derivatives & Futures and associated market nuances
Problem solving capability for complex market and settlement issues
Proactively identifying opportunities to improve functions with significance across departments
Problem solving capability for complex trade flow & accounting issues
Minimum of 1 years asset management experience or similar
Product knowledge in / exposure to Listed Derivatives Clearing (Futures & Options), with an enthusiasm to expand into other areas

187

Operations Resume Examples & Samples

Manage risk with respect to team’s daily operations, ensuring the integrity of our processes
Functional oversight with respect to team’s daily operations
Timely resolution and escalation of all client disputes and queries
Liaise and build relationship with key stakeholders including Legal, Credit, Sales, Trading, Middle Office, Front Office, Corporate Treasury, Settlements and other internal GS teams on issues
Identify & assess potential risks in operational processes; implement controls to mitigate risk
Analyze current processes and recommend improvements to gain operational efficiency & establish standards and consistencies in controls and processes with the global team
Perform general line functions and approvals to maintain technical skillset
Enhance and evolve the functional risk management framework , processes and infrastructure
Review and approval of management and control reports
Experience leading teams with strong people orientation
Strong attention to detail and a risk and control mindset
Ability to work independently and develop stakeholder relationships
Ability to grasp complex concepts quickly and understand master documentation
Desire for continued improvement and new challenges

188

Operations Resume Examples & Samples

Draft OTC Equity Derivative trade confirmations
Work closely with legal, trading, sales and internal clients to resolve any trade related queries or issues
Monitor work flows to ensure verification and confirmations are prioritized in line with expectations of external clients and regulators
Communication and relationship management skills
Flexible and able to work well under pressur
Derivative product knowledge and basic understanding of 2002 and 2006 ISDA Definitions

189

Operations Resume Examples & Samples

Process invoices complying with tax requirements of various regions
Analyzing daily/weekly control reports in order to ensure regular payment of invoices
Minimum 2 years’ experience in a similar role
Knowledge of accounts payable, vendor management and fundamental payment controls
Ability to identify problems and control gaps and come up with innovative solutions to mitigate risk
Effectively communicate with stake holders across different regions and help build partnerships
Excellent partnership building skills in a collaborative customer service team environment
Strong accounting knowledge and attention to detail
Experience in working with ERP Accounting Systems

190

Operations Resume Examples & Samples

Support the Goldman Sachs CRE Mortgage Desk(s)
Process monthly remittances received from Servicers
Settle trades and update systems, book and records
Send wires and take in cash related to trades and remittances
Communicate closely with internal counterparties such as Trade desk, Controllers, Asset Management, etc
Self- motivated but able to work within a team environment

191

Operations Resume Examples & Samples

Demonstrates a minimum of 2 years experience in Banking or similar environment
Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute
Judgement and Problem solving - Thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
Credit Derivatives Documentation, Trades Processing or Settlement experience advantageous but not essential
Knowledge of Regulatory commitments in the Derivative markets is beneficial

192

Operations Resume Examples & Samples

This individual is responsible for supporting the regional chief of staff in the development and execution of the Operation’s division’s strategy
Developing content, presentations and prep materials for the co-chief operating officer and regional leaders for events
Responsible for writing, reviewing and approving communications for the division to ensure a consistent global standard
Project managing initiatives that cross business units, developing project plans and acting as an execution resource to management on their key people, strategy and communication priorities
Facilitate management of meetings, including managing agendas, content and production of minutes and follow-ups (e.g., EMEA Regional Managers Forum meetings)
Responsible for logistics of divisional meetings (e.g., townhalls, business planning, onsites, etc.)
Responsible for analysis and reporting across various divisional initiatives
Liaison with the Executive Office and other divisions in the Federation on topics impacting the firm including current events and communications
Highly motivated, self-starter with strong academic background
Ability to articulate complex ideas in a clear, concise language and have very strong written communication

193

Operations Resume Examples & Samples

Coordinate the quarterly Balance Sheet Substantiation process for Operations
Communicate to Senior Operations Manager Directors, Vice Presidents and Account Owners throughout the lifecycle of BSS
Analyze BSS results and summarize key components for Operations Committee Risk and Control Self Assessment (RCSA) review quarterly
Facilitate and assist Finance Controllers with various regulatory and audit requests
Evaluate, identify and consult with business units on workflows, areas of risk, team knowledge and advice and track solutions to be implemented by coordinating the Peer Review internal audit program
Structure and deliver BSS certification requirements and training program for operations
Participate in various projects/initiatives within the team aimed at promoting and improving efficiencies and control
Prepare monthly and quarterly reports for senior managements
At least 2 years of professional experience in the job offered or similar background
At least 2 years of experience in project management
Strong Team-player, excellent communication and organizational skills
Proactive client service orientation to the business and to internal clients

194

Operations Resume Examples & Samples

Middle Office support for multiple global Trading and Structuring teams
Account management for clients and counterparties, managing all operational aspects of structured financing transactions and communication with external clients
Risk mitigation, ensuring client activity is successfully managed post trade execution
Manage operationally the issuance process for new SPVs/MTN transactions to ensure all aspects of the issuance process and hedging strategy are successfully executed
Subject Matter Expert around Credit Derivatives, Debt Instruments and associated operational processes, SPV Origination and Structured Finance
Work with other key Federation stakeholders such as Controllers, Legal, Credit, etc. on executing new business and maintaining the existing portfolio of trades
Actively identify and mitigate risk through the perpetual review of daily controls and reconciliations across risk systems, and understand the constantly evolving business landscape and the applicable regulatory requirements in the industry
Provide Lifecycle Support and guidance to Trading Desks, Sales and Clients. This role will involve a large amount of facilitation and negotiation with Global teams across all divisions
Commercial Impact – Develops ideas and proposals by stepping back to gain a broader insight on processes
Operational knowledge of Bonds, Loans, Total Return Swaps and CLNs will be highly beneficial
Credit Derivatives Documentation including Swaps, Notes and CDS, highly advantageous but not essential

195

Operations Resume Examples & Samples

Strong knowledge of data manipulation and query tools (SQL, TSQL, PL-SQL) across number of
Strong analytical and problem solving skills with attention to detail
Strong communication skills to interact with various stakeholders on the business and technology side
Exposure to documenting and developing business process flows and business requirement documents like workflow and UAT manuals using standard applications such as MS word, PowerPoint, Visio, Excel
Mathematical modelling experience will be an added advantage
Minimum of 4-6 year relevant experience
Engineering or Computer Science Degree or Mathematics Degree
Interface actively with business and Technology teams across the Federation to conduct root

196

Operations Resume Examples & Samples

At least 3 years of work experience in financial industry
Cash/Wire reconciliation experience
Warehouse/Commercial/Structured Finance Loan experience
Ability to work in fast paced environment; need to think and make sound decisions quickly
Effective reading comprehension interpreting legal and compliance materials
Ability to write SQL code

197

Operations Resume Examples & Samples

Demonstrate a strong focus on controls, processes, procedures and operational risk management and ensure escalation of issues on a timely manner
Minimum of 6 years proven Commodity Operations experience
Possess a strong understanding of end to end transaction processes
Innovation; able to suggest & implement ideas to complement & develop new processes as they evolve with the business

198

Operations Resume Examples & Samples

Nominating European gas and power positions to relevant Market/System Operators
Submitting bids to power exchanges and participating in power interconnector auctions for capacity
Develop a detailed understanding of the Gas & Power Industry with particular emphasis on physical transportation & production issues
Participate in ongoing development of the Physical Operations team procedures & processes in order to support the business
Project Management to facilitate trading in new markets and products including external interfaces and internal IT system enhancements
Minimum 3 years’ experience of European Gas and Power Operations, gained in a scheduling or shift operations role. We are particularly interested to hear from people with a bias towards Continental European Gas Operations
A European language whilst not essential would be advantageous

199

Operations Resume Examples & Samples

Build, maintain and enhance client relationships with new and existing clients
Provide Institutional clients with a single point of contact for a wide range of operational issues and account management queries, including addressing execution and position breaks and margin calls
Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges the contributions of others
Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendation

200

Operations Resume Examples & Samples

1+ years financial industry experience (AML or other Client On-boarding Regulatory experience a plus)
Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications
Exceptional organization skills
Good judgment and strong problem resolution skills

201

Operations Resume Examples & Samples

The Lead Specialist is responsible for providing expertise in products and markets in which the team conducts business and the functions and / or systems used by the team
The focus of the role is to manage the risk by improving current work processes, increasing controls, mitigating risk and, reducing costs as well as improving service provided to clients. They will also be expected to lead management discussions and drive improvements in the risk management framework and ensure applying full suite of control and risk management tools
A Lead Specialist also typically lead projects to design new systems or system changes within the department and is expected to improve current work processes, increase controls, reduce costs as well as improve quality and service
A Lead Specialist must maintain an understanding of firm-wide systems architecture and trade flows as they relate to own business and functions performed as well as be able to quickly come up to speed on process / systems as required
Resolving and reconciling complex business problems while working with counterparts in other organizations, possibly including external client representatives
Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
Being a Subject Matter Expert in the team, assisting team members in resolving complex issues as well as reviewing, approving and supervising the functions performed
Maintaining an In-depth understanding of a wide range of financial products and markets as well as a broad knowledge of our processes and systems and their impact on other downstream processes and systems
Proposing changes to the logic or rules underlying a system because of changes in the business environment (e.g., regulatory changes, new client requirements, trading on a new exchange)
Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
Responding promptly to client and counterparty inquiries, committing to deliverables as well as undertaking extensive ad hoc investigation and analysis, where this is appropriate

202

Operations Resume Examples & Samples

Set strategy and direction for tech and workflow initiatives that will improve compliance rates
Work directly with the line teams to identify non-compliant themes and patterns
Work closely with Ops Senior Management, Sec Div Compliance, and Sales PMDs in the Securities Division to develop and execute on firmwide compliance strategy
Extensive people management experience or excellent track record in leading teams
Drive and motivation - successfully handles and prioritizes multiple tasks, takes initiative and leads to improve own and team’s performance, works intensely towards extremely challenging goals and persists in the face of obstacles
Strong team player - effectively collaborates with others both locally and globally
Development of creative solutions that are grounded in reality and have practical value
Derivatives product knowledge and job experience in operations is preferred

203

Operations Resume Examples & Samples

Investigate and resolve product and pricing data exceptions
Set-up and maintain product data in Prime. These include equities, options, rights/warrants, convertibles, corporate bonds, municipal bonds, agency bonds, emerging market bonds, mutual funds and listed derivatives
Proactively solve data quality issues from both tactical and strategic perspectives
Actively support the PDQ hotline and data/pricing inquiries from our internal clients on a daily basis
Support end of day and month-end pricing for firmwide CHOICE users
Proactively work with market data and external vendors (e.g. Bloomberg, Reuters, S&P, etc..) to ensure we have the highest quality data in our systems
Work on projects to support new businesses and industry/regulatory requirements
Self-Direction to effectively prioritize efforts amongst competing demands and escalate issues quickly
Dynamic analysis skills to help highlight issues with products or business ideas that our partners are facing our could potentially face
Willingness to learn and take ownership of completing tasks
Ability to multi-task and handle large volumes of work at a fast pace
Ability both to solve problems and explain underlying issues to non-technical clients and/or colleagues

204

Operations Resume Examples & Samples

Ensure smooth execution of department initiatives and projects: manage the end-to-end project lifecycle for key initiatives within Tax Ops including documentation of requirements and test cases, execution of testing, and project status reporting
Preparation, validation and maintenance of documentation and reports related to transaction tax liabilities for the Firm and our Clients
Analysis of tax related exceptions report, investigation around breaks, and identification of the root cause
Ownership around resolution or mitigation of processes or system gaps
Communication with a wide range of groups across Operations and Federation to ensure accurate calculation, reporting and payment of transaction taxes, along with provide support in response to tax-related queries coming from the business and/or clients
Facilitate the communication between Federation and Business groups and the Corporate Tax Department
Develop knowledge in taxations requirements, process and systems for a number of transactional based procedures, including Withholding Tax, Capital Gain Tax and Consumption Tax
Develop an understanding of process flows, across a number of Operations teams and act as risk manager for the Firm through ongoing assessment and awareness of the tax regulations and reporting obligations
Partner with the global Tax Operations team to streamline and harmonize current processes and procedures around core functions
Minimum 5+ years of experience in an Operations role, with as solid understanding of one or more business areas, e.g. Equities, Fixed Income, Asset Management, Alternative Investments
Good knowledge of taxation requirements for financial products across a wide range of taxes (including withholding tax and capital gain tax)
Proven experience in dealing with Financial Industry bodies and/or Regulators
Strong attention to details and organizational skills
Operational mindset focusing on improving operational processes and procedures; ability to understand and analyse complex workflow
High level of ownership
Thrives in a teamwork environment, strong interpersonal and communication skills
Service orientation, sense of urgency, ability to manage internal clients’ expectations, follow-through and professionalism
Fluent in Business Japanese
Previous experience in dealing with Corporate Tax Department and Legal is useful but not essential

205

Operations Resume Examples & Samples

Perform daily client money calculation and adherence to regulatory requirements
Support X-div Books & Records projects by assisting in developing new reconciliations and conducting testing/checkouts
Support incoming/outgoing Audit Conf process
Support Client Asset initiatives across Asia Pacific regions
Perform daily reconciliation to ensure integrity of firm’s books and records
Previous experience within risk and control

206

Operations Resume Examples & Samples

Ensure that portfolios are correctly valued
Hedges are reflected,
A client's excess or deficit is accurately calculated
A miniumum of 3.5 years relevant Operations experience
Strong communication skills are essential for interacting at all levels, across business disciplines and regions
Ability to multi task and handle large volumes of work at a fast pace
Highly motivated; energetic and confident team player

207

Operations Resume Examples & Samples

Become a market expert
Understand internal and external regulations
Assess market changes and present the impacts/recommendations
Optimise securities inventory management
Experience gained within Securities Lending, Settlements or Securities
Self-driven with excellent communication and interpersonal skills
Flexible team player and aptitude to working well under pressure with strict daily deadlines
Strong analytical skills with ability to understand technical workflows in detail

208

Operations Resume Examples & Samples

Validating and approving margin calls for PWM, PB and GSEC clientele
Strong project management and change management experience in system and process flows
Excel skills are a must

209

Operations Resume Examples & Samples

Resolve issues/disputes with internal traders/sales, counterparts & brokers
Adjust OTC derivative, listed & cash positions as a result of corporate actions
Check incoming broker confirmations versus internal risk representation
Daily reconciliation between the firm’s books and records and front end risk systems
Monitor various other controls and activity reports and follow up to close out open issues
Devise and implement process improvements for greater control, client service and efficiency
Partner with Technology on system flow issues and specifications for enhancements
Become ‘go-to’ contact with subject matter expertise related to many aspects of the business
At least 2 years relevant work experience
MS Office package knowledge – VBA would as a plus
Anticipates problems when making decisions through careful analysis & attention to detail
Takes actions to ensure that controls are in place, procedures are followed and follows up to ensure completeness of others’ work
Has necessary confidence and communication skills to negotiate effectively with other internal/external groups, including the Business

210

Operations Resume Examples & Samples

Update and maintain vendor profiles in compliance with the Firm’s ‘Vendor Management Policy&#8217
Minimum of 1.5 years invoice management experience
Fluency in Mandarin required as the role will involve interaction with Mandarin speaking clients/colleagues
Knowledge of accounting / finance and related controls, with an enthusiasm to expand into other areas

211

Operations Resume Examples & Samples

Perform day-to-day Listed Option processing, including reconciliations, option premium balancing, asset servicing events, collateral management, and exercise, assignment, and expiration events
Monitor real-time option trading to limit client and firm exposure to counterparties
Manage weekly, monthly, and quarterly expiration processes
Interface with Derivatives Trading and Sales desks, GSS, exchange and counterparty brokers to resolve trade discrepancies
Balance internal client and firm options positions to the Options Clearing Corporation
Identify, understand, and process asset servicing events
Identify and implement work flow improvement opportunities
Work with Compliance, Legal, and Regulators to keep abreast of changes to industry rules
Proficiency with PC application skills, particularly Excel and Access
Detailed understanding of the firm’s risk and control framework with the ability to identify risks, areas for improvement, and work to develop/strengthen controls
Strong project management skills: ability to organize and track multiple threads of activity, ability to deliver on tight timelines, hands-on approach to resolving issues and detail orientation

212

Operations Resume Examples & Samples

The opportunity is for an Associate to join the Liquidity Management team and contribute to the firm managing its daily funding requirements in the core funding functions as outlined below. The successful candidate will also be expected to proactively contribute towards continued improvements in control, operational efficiency and industrialisation initiatives
Securities Funding: Optimising use of firm inventory for Fixed Income & Equity collateral and funding for firm short cover purposes, including intercompany funding. Support for repo and stock loan products traded by Short Term Interest Rate (STIR), Global Liquidity Products (GLP) and Global Securities Services (GSS) desks
Funding Projections: Partnering with Corporate Treasury, Foreign Exchange Desk, Foreign Exchange Operations, and Treasury Operations to provide real-time and next-day currency projections. GCE (Global Core Excess) Management, compiling and reporting on the firm’s liquidity buffer
Funding Efficiency: Control and oversight of the firm’s triparty trade allocations and payments to clients. Support of the Corporate Treasury, Global Liquidity Products (GLP) and Short Term Interest Rate (STIR) desks for all aspects of the triparty secured funding business
Minimum 4 years experience in an Operations role within a Bank
Demonstration of strong risk management practices
Ability to analyse, evaluate and form independent judgments
Ability to build relationships with people from other teams and levels of seniority
Self starter with good commercial perspective
Proven track record of process change management
Experience within Liquidity, Collateral, Derivatives or Securities Operations preferred but not essential

213

Operations Resume Examples & Samples

Researching clients' legal and/or organizational structures
Updating client information
Performing due-diligence on information provided
Handling clients' and Goldman Sachs' proprietary and confidential information
Understand and analyst industry regulation
Understand financial products and financial markets
Perform business analysis and manage projects
Identify and mitigate risks
Identify inefficiencies and propose solutions
Understand operational problems and be able to offer solutions
Proficient in Microsoft Office (Word, Excel, Access, etc.)
Service orientation, sense of urgency, ability to manage internal clients’ expectations and professionalism

214

Operations Resume Examples & Samples

Be responsible for root cause analysis and resolution of position, balance and tax lot breaks between AMS / AMR and Firmwide systems and transaction processing engines
Work closely with Reconciliation team in Bangalore on various shared responsibilities
Liaise with technology and operations groups for break resolution activities and inquiry support
Track and report on service level agreements (SLAs) and volume of work driver activities
Work on process and system improvement initiatives
Perform daily break analysis for various PWM functions including: GS Zurich Bank core custody, GS Trust Accounts, various product specific processes, and GS Tax systems
Other daily responsibilities include: liaise with technology and operations staff to determine root causes and appropriate resolution of breaks and exceptions, follow up with operational inquiries via SRS tool, and assist with month-end client reporting statement checkout work, special projects impacting Portfolio accounting, etc
Participate in Application User Group meetings and assist with user acceptance testing on small enhancement and maintenance items
Assist in the development of preparing UAT test scripts for new functionality and maintain library of existing test script cases, as needed
Ensure procedures are current and updated
Follow and enforce regulations and GS policy, as applicable
Understanding of IRS broker reporting requirements a plus but not required
AMS / AMR prior experience preferred
Series 7 licensing a plus but not required
Proficiency in MS Access

215

Operations Resume Examples & Samples

Liaising with client’s appointed counterparties (custodian, prime broker etc.) to enable connectivity, establish operational flows and respond to service requests and inquiries
Support the vetting / negotiations of all contractual, guideline and supplemental agreements that have an Operational input or impact (i.e. IMA, ISDA, FCM, Direction Letters, etc.) with both internal and external parties. Ensure that any and all agreements are finalized and executed prior to account opening and all client issues are resolved in a timely and satisfactory manner
Knowledge of the asset management business and investment products across major asset classes (fixed income, alternatives, equities, money markets)
Strong interpersonal skills: Ability to build the trust and confidence in capabilities, ability to work well with others internally to accomplish client objectives
Must be a team player, hard working, resourceful and eager to learn
Strong business analysis and business requirements skills, with the ability to identify, review and prioritize business requirements across multiple products

216

Operations Resume Examples & Samples

Work with Legal and Compliance to understand regulatory rules and requirements, and work with Operations teams to understand the operational solutions for complying with them
Prepare status reports, conduct meetings to follow-up on issues. Ensure all accountable parties understand and agree upon action items and target dates
Work to ensure risks are mitigated and actions are delivered in targeted timeframe. As needed, work to remove obstacles and be creative when tasks are behind schedule. Ensure implications of late delivery well understood and alternative options are in place
Facilitate and drive communication to gain input and consensus from stakeholders in multiple teams and regions. Ensure sponsors and stakeholders have latest status and issues and risks are fully transparent and well understood
Support other members of the team as they lead particular project initiatives
Ability to engage at various levels of seniority and globally
Consistently able to produce high quality program documentation, specifically updates, steering committee meeting minutes, newsletters

217

Operations Resume Examples & Samples

Contribute to tactical and strategic initiatives employing typical project phases
Build and manage relationships with project stakeholders throughout the firm
Become the subject matter expert within given Control Framework projects
Communicate regularly with stakeholders to ensure that status, risks & issues are understood
Participate in internal and external forums as required by Regulatory Operations and the firm
Minimum of 3 years experience gained in a project management and/or business analyst role
Proven track record of change delivery within a high tempo environment
Keen attention to detail and technical proficiency
Committed team player
Good working knowledge of OTC & ETD derivative products across Equity & FICC
Thorough technical understanding of Global Transaction Reporting to global jurisdictions such as CFTC, ESMA, JFSA, HKMA, MAS, CSA & ASIC
Previous experience within Regulatory Risk Management projects
Prior experience working on initiatives requiring internal Front-to-Back technology and external middleware provider change
Formal project management qualifications such as PMP, PRINCE2

218

Operations Resume Examples & Samples

Regular planning and execution of deliverables across regions
Maintaining the expected turnaround time and accuracy level for all functions performed by the team / individual
Reporting and analysing the daily, weekly and monthly metrics on all functions performed and highlighting the efficiency / productivity and accuracy aspects
Managing risks in the process by implementing and reviewing the relevant controls
Partnering with various business units to ensure regular and timely payment of invoices and response to queries
Developing new processes and re-engineering the current processes to meet changing needs of the business
Leading / contributing to various projects which are kicked off in the department
Representing Accounting Services on various cross departmental initiatives
Minimum 5-6 years of relevant experience
Strong knowledge, in-depth understanding and experience of Finance and Accounting (F&A) functions
Good team skills and ability to work with a wide user groups from different parts of the World
Strong communication, problem solving skills and focus towards attention to details
Effective and efficient time management and executional skills
Risk management and understanding related regulatory requirements
Ability to develop / sustain good working relationships with other teams and stakeholders
Preferably, knowledge and experience in Accounts Payable, Vendor management and Invoice processing

219

Operations Resume Examples & Samples

Have experience of enterprise architecture and building consistency and governance in the way that decisions are implemented across organisations
Minimum of 3 years experience in investment banking operations
Minimum of 5 years experience in Business Decision Modelling / Management or similar
Self-motivated and well organized. Proven track record; ability to handle multiple tasks, prioritise accordingly and make decisions as required

220

Operations Resume Examples & Samples

Lead cross-Operations, high priority projects and manage sponsors and stakeholders with competing priorities, resources and time constraints across all typical project phases
7 years of professional experience - required
3 years of project management experience - required
Be a motivated, energetic team player
Have a proven track record of scoping and driving delivery of projects and achieving results independently on time and to budget including
Demonstrate excellent people management skills and ability to influence key stakeholders outside their direct control
Demonstrate excellent communication and interpersonal skills both written and oral
Be a strategic thinker, able to lead project working groups and possesses strong facilitation and data gathering skills
Demonstrate understanding of Operations processes and procedures and an ability to learn quickly – knowledge of processes related to Operations or the Financial Services industry would be an advantage
Previous experience ideally from financial services and / or management consulting
Be proficient in Microsoft Word, Excel, Powerpoint, Project, Visio and Sharepoint

221

Operations Resume Examples & Samples

Lead tactical and strategic initiatives employing typical project phases
Minimum of 5 years experience gained in a project management and/or business analyst role
Previous experience leading Regulatory Risk Management projects
Prior experience managing projects requiring internal Front-to-Back technology and external middleware provider change

222

Operations Resume Examples & Samples

Ability to work well under pressure and meet strict deadlines
Ability to learn quickly in a fast-moving environment
Strong attention to detail and the ability to keep track of a large workload
Strong control mindset, to enhance the existing infrastructure to support increases in business
Inherently proactive
Team oriented approach – ability to work across functions outside of Operations
Highly motivated, energetic and enthusiastic
Strong organisational skills and flexibility, with the ability to cope with rapidly changing priorities throughout the day
Excellent interpersonal skills and self-confidence, including the ability to deal with demanding business people, protecting the interests and reputation of GS whilst maintaining a commercial outlook
Knowledge of bank loans closing, corporate actions, servicing or other operations areas is preferred. Paralegal/law firm/drafting experience or training is highly desirable

223

Operations Resume Examples & Samples

Review pending account updates to ensure that proper client authorization is in place and the update is in accordance with regulatory and firm requirements prior to approval
Apply sound business judgment to identify unusual or suspicious documentation or activity
Continuously implement process changes based on regulatory and Anti Money Laundering policies

224

Operations Resume Examples & Samples

Review existing accounts to ensure that the client information received is in accordance with regulatory and firm requirements
Review account opening documents including client provided legal agreements
Resolve issues through coordination with PWM Operations, PWM Sales and the Anti-Money Laundering Group

225

Operations Resume Examples & Samples

Spearhead the development and evolution of the documentation function in accordance with market standards and regulatory requirements
Displays ability to meet multiple deadlines in a dynamic, fast paced environment
Contributes to the effectiveness of the team by working closely with colleagues in sharing information, skills, and responsibilities

226

Operations Resume Examples & Samples

Maintaining the daily responsibilities of the Quality Assurance Group including liaison with Senior Operations management to report on their findings
Take responsibility for delivering best in class control and risk oversight, using innovative approaches to identify and address regulators’ needs
Work to create / improve metrics that record key risk indicators and the quality of our data and maintain a process to efficiently execute on these
Contributing to the development of the methods to improve processes, reduce risks and/or increase controls
Liaison with global counterparts within Regulatory Operations, Legal, Compliance and Internal Audit
Strong teamwork is essential, as well as the ability to build “mutually beneficial” relationships with others. Working across geographic as well as cultural borders to ensure the success of the new Quality Assurance Group
Strong organizational skills and the ability to cope with rapidly changing priorities are also essential
Consistently able to produce high quality work, specifically updates of the suitability of our risk and control agenda to senior executives
Strong analytical skill set and a curiosity for risk enhancements
Ability to forge strong rapport with our global team

227

Operations Resume Examples & Samples

At least 4 year of professional experience
At least 4 year of professional experience with financial products, knowledge in one, or more, derivative/core products with an interest to expand into other areas
Preference of at least 2 year asset management or middle office experience (experience or solid understanding of OTC derivatives/Mortgages/Mutual Funds/Private Investments/Bank Loan confirmations/settlements or related trade support functions preferred)
Understanding of industry agenda & platforms (e.g. DTC, ClearPar, SWIFT, FED, Oasys, MBSE, DTCC, Trade Warehouse,
Proactive, self-motivated individual with high levels of ownership, and driven to achieve

228

Operations Resume Examples & Samples

Data Analysis and Quality Control
Performing due-diligence and entity research
Understand and analyze industry regulations
Project contributions

229

Operations Resume Examples & Samples

At least 3 years of full time work experience
Senior Analyst/Associate level position, preferably with experience in an Equity Derivative, Commodity or Foreign Exchange documentation team or product area, including structured transactions
Contribute to the effectiveness of the team by working closely with colleagues in sharing information, skills, and responsibilities
Take actions to ensure that controls are in place and procedures are followed

230

Operations Resume Examples & Samples

Build and maintain a strong business relationship with derivative trading desks and ensure that their queries and requests are appropriately addressed
Prepare and review legal documentation of non-standard derivative trade documentation with Trading, Legal and outside counsel
Partner with Trading and other Operations teams to provide commentary on legal language and insight for long-term support requirements
Ensure control measures are in place and applied to support existing and new structured transactions
Event management oversight
Ensure confirmations accurately incorporate the appropriate ISDA Definitions, Supplements and MCAs
Responsible for liaising with external clients to ensure timely execution of confirmations and resolve all outstanding queries on documentation
Lead and participate in enhancement projects with Technology and other Operations colleagues, with an aim to improving scalability and efficiency of the confirmation process
Respond to an ever-evolving regulatory environment by developing expertise in regulatory requirements, acting as a consultant to translate these regulatory requirements into functional requirements, and analyzing regulatory compliance data

231

Operations Resume Examples & Samples

Create the appropriate team structure, hiring the right associates/analysts mix to ensure flawless execution and coverage of the control environment
Establishing and overseeing daily responsibilities of the Quality Assurance Group including liaison with Internal Audit to ratify the model we are implementing
Work to create / improve metrics that record key risk indicators and the quality of our data and build a process to efficiently maintain changes to these
Liaison with global counterparts and regional leads within Regulatory Operations, Legal, Compliance and Internal Audit
Oversee tools required to support team objectives; work with Technology and others to shape direction of required toolset

232

Operations Resume Examples & Samples

Liaising with the Trading desks to ensure timely processing of amendments to existing bookings
Provide technical assistance to Trading when booking new trade types
Provide assistance to the wider Operations teams, dealing with trade related queries and acting as an intermediary when liaising with Trading where necessary
Communication and relationship management: The constant interaction with Trading and other stakeholders requires the individual to be confident when dealing with demanding business people, ensuring at all times we protect the interests and reputation of GS whilst endeavoring to accommodate trading and client requests
Quick to pick up new concepts, challenge the status quo, identify inefficiencies in trade

233

Operations Resume Examples & Samples

Master’s degree or equivalent qualification in an analytical field (CS, Maths, Engineering, Finance etc.) and have an excellent academic record
Possess knowledge of Object-Oriented Programming (MATLAB, C++, Python)
Minimum of 18 months experience in execution of designs and projects
Proficient in Microsoft Word, Excel, Powerpoint

234

Operations Resume Examples & Samples

Track, coordinate, and drive project deliverables associated with Technology projects within Loan Operations
Design and maintain the conversion schedule, including identification and resolution of conversion dependencies, as part of system migration project
Educate key stakeholders on program execution milestones through PowerPoint presentations, conference calls and email notifications; contextualize system functionality with an emphasis on ROI
Conduct cross-divisional user testing sessions for newly developed functionality
Generate project planning documents in Excel and Projito to track resources, deadlines, and requirements
Assist with various other projects as needed
Project coordination/management experience
Fast learner with a proactive attitude
Knowledge of Excel (formulas, vlookups, pivots), Powerpoint and Word

235

Operations Resume Examples & Samples

Handle incoming phone calls to the US Order Book help-desk and REDI Plus hotline from Private Wealth Management reps
Provide trade support to the managed account strategies, GSAM separate account programs, listed products, OTC derivatives, and structured notes
Perform trade settlement/fail management for managed account platforms where trades are executed with external counter parties
Monitor and perform trade reconciliations
Respond to on going regulatory changes to ensure PWM Operations compliance
Series 7 license preferred

236

Operations Resume Examples & Samples

Support the various Derivatives businesses
Develop detailed product knowledge
Act as a Client Relationship Manager, ensuring superior level of service
Interact with the Trading and Sales Desks to resolve day to day issues and partner strategically
Partake in function or system enhancements
Manage all aspects of a team, including career development

237

Operations Resume Examples & Samples

Work with the trading desk to support and provide oversight of operational components of various asset classes
Create relationships across multiple areas in the Firm including trading desks, operations, technology, legal and compliance departments
Provide technical expertise related to the implementation of business expansion, global consistency, risk management, efficiency, and technology convergence initiatives
Keep abreast of regulatory change and participate in industry forums
Champion reengineering programs with the goal of increasing efficiencies globally
Engage the Global Trading Ops team and other parts of the Federation to resolve trade flow issues and discrepancies
Drafting and periodic review of team procedures and checklists to meet regulatory requirements
At least one year of experience
Strong verbal and written communication skills with the ability to influence a wide range of stakeholders
Risk management focus
Highly organized individual with attention to detail and excellent follow-through skills
Project management skills a plus
Experience in an Operations role is preferred but not essential
Proficient in Microsoft Office products (e.g. PowerPoint, Excel, Word, Access, SharePoint)
Experience with change management or process improvement a plus
Record of career progression in current role

238

Operations Resume Examples & Samples

Participate in the calculation of the firm’s cash projections
Facilitate the settlement of transactions by ensuring the proper funding of various firm bank accounts
Manage risks associated with cash settlements in a real-time environment
Provide expertise in the control process related to cash payments
Participate in the set-up of new entities and businesses by opening new bank accounts and establishing proper cash controls
Actively liaise with all levels within the various business units to ensure that operational errors are resolved in a timely manner,and that error trends are identified and countered through process improvement plans
Communicate issues with both internal and external counterparts, including agent banks
At least 1.5 years of professional and relevant experience

239

Operations Resume Examples & Samples

Liaising with the Client Implementation teams, Clients, Sales, external agencies, counter parties/custodians on a day to day basis in order to fulfil the KYC / AML document requirements
Conduct second check reviews to ensure adherence to firm policies
Partner with PQA & Compliance to implement new and updated policies to satisfy regulatory obligations
.Participate and contribute to industry-wide initiatives

240

Operations Resume Examples & Samples

Holistic ownership and understanding of all Regulatory and External Audit reporting requirements from a GSAM Operations perspective
Ensure accounting data accuracy and oversight in handling requests relating to Regulation and Audits
Ensure the requirements are specified in a manner suitable for the intended audience and are understandable, unambiguous and capable of being implemented and tested
Daily correspondence with our strategic business partners to review open requests and assign ownership
Pro-actively review processes in an effort to gain efficiencies and improved risk oversight
Defining clear and comprehensive timelines, estimating and planning tasks that are inter-dependent to meet objectives
Perform surveillance to monitor for potential breaches for various limits set forth by regulators and exchanges
Complete affiliated transaction reporting and monitoring for our 1940 Act Propriety and Sub-advised funds
Assist with regulatory filings such as N-MFP, Form PF, CPO-PQR, CPO-CTA, NFA-PR and Form S
Present monthly Sub-Certification summaries to members of the business committee
Minimum of 6 years of work experience
Experience in the Finance Industry and/or Regulatory Industry
Team oriented and contributes to an inclusive environment
Excellent interpersonal skills and the ability to forge strong relationships with internal and external clients
Experience in regulatory and audit reporting
Demonstrates understanding of risk management: understanding of controls, escalations and engagement of relevant groups

241

Operations Resume Examples & Samples

Participate as a subject matter expert regarding trading (specifically with regard to derivatives, structured notes, and listed products) and settlements on a large scale uplift project
Work with the project team (technology, business, compliance, legal counterparts) to provide input and recommendations based on expertise to design, implement, and execute new trading platform for Private Wealth Management
Provide future state design recommendations which are in accordance with current regulatory requirements and environment, as well as Goldman Sachs risk and control framework
Work closely with senior stakeholders regarding project approach, recommendations, and implementation
Trade execution and booking experience required
Ability to work on multiple tasks/priorities under very tight deadlines
5+ years work experience in financial industry
Microsoft Office proficient
Ability to think strategically and work with a team to drive execution of solutions
Demonstrated skills in negotiation, quantitative and qualitative analysis, problem solving and execution
Strong understanding of trading regulation and current regulatory environment
Excellent organizational and time management skills, with the ability to work on multiple tasks/priorities under very tight deadlines

242

Operations Resume Examples & Samples

Support and execute agenda to oversee identified Regulatory Commitments
Data administrator to ensure accuracy of data and adhere to workflow and timelines
Manage analyst who will provide team support
Oversee toolset required to support objectives
Support and execute agenda of team

243

Operations Resume Examples & Samples

Support and execute agenda to oversee audit functions
Building an infrastructure that houses detective controls and facilitates risk deep dives
Manage a junior team and create the right support and governance to stay on top of the team’s daily workload

244

Operations Resume Examples & Samples

Draft OTC Derivative Trade Confirmations across different asset classes
Minimum 3 years relevant work experience
Displays an ability to meet multiple deadlines in a dynamic, fast paced environment
Experience in any of the 5 product areas - Foreign Exchange, Equity Derivatives, Commodity, Interest Rate, Credit in including structured transactions

245

Operations Resume Examples & Samples

Translating Firm and Operations strategies, goals and objectives into target goals and objectives for the individuals and teams they manage, and proactively managing performance against these objectives
Establishing controls and ensuring that they are followed, to optimise service and process quality and to manage Goldman Sachs exposure to risk within areas they manage
Developing, motivating and managing team members so that they are well prepared to advance the organization goals
Enforcing internal standards for all services provided by Goldman Sachs
Building internal and external relationships to improve quality and productivity of work as well as integrating best practices as appropriate
Providing project management leadership and / or support to new and existing business units and products
Representing department internally with other areas of Goldman Sachs and externally with regulators, clients and industry contacts
Identifying, developing and driving process improvements within department and participating in department or divisional initiatives
Proactively partner with other areas of the business to build and improve relationships with internal and external clients
Participating in the hiring process and hiring decisions

246

Operations Resume Examples & Samples

Identify risks associated with cash settlements in a real-time environment
Japanese language abilities required for interactions with clients and regulators in Japan
Business level (spoken and written) Mandarin language ability would be preferred as this role may involve interactions with colleagues and clients in China

247

Operations Resume Examples & Samples

Facilitate communication across multiple areas including Sales teams, operations, technology, legal and compliance
Minimum of 2 years industry experience in the Financial Services industry, preferably in Operations or Technology
Minimum of 2 years experience in a project management position with a proven track record of delivering complex projects individually or as part of a team
Highly organized, attention to detail and excellent follow through skills, and ability to work independently and motivate a team
Capability to proactively determine next steps and break through stalemate situations

248

Operations Resume Examples & Samples

Managing collateral across various derivative instruments
Monitor daily exceptions between various systems
Interface with the trading desk and brokers to resolve day to day issues and ensure efficient settlement of activity
Problem solving capability for complex trade flow, valuations, accounting issues and trade discrepancies
Emphasis on regulatory reform as it impacts collateral management

249

Operations Resume Examples & Samples

Understand the different client account structures and legal documentation required to establish new accounts
Work closely with PWM to ensure all client documents are correct and sent to the client in a timely manner
Request products (options, margin, checking, debit cards, etc) for the respective PWM client accounts
Resolve issues through coordination with PWM Teams, PWM Compliance, PWM Legal
Work on improvements to account opening workflow and process
AML or other Client Onboarding Regulatory experience a plus

250

Operations Resume Examples & Samples

Assist in the execution of lifecycle events and support project teams in meeting objectives related to departmental wide initiatives
Close interaction with experts from various different teams such as Technology, Middle Office and Trade Support. This role will involve a large amount of facilitation and negotiation
Participate in ISDA Working Groups to establish greater standardisation in the Credit Derivatives
Work closely with other team members and management to reduce exceptions and achieve both industry set and internal targets
Creates, manages and owns close relationships and partnerships with business partners and external clients
Develop and implement strategic changes to re-engineer processes and reduce risk surrounding the function
Actively involved with idea generation and implementation of creating efficiencies within the team to support regulatory changes as well as new client and business requirements
Good communicator, enthusiastic and team spirited
Mature and pro-active approach to generating solutions to day to day and longer term technical problems
Able to demonstrate initiative and curiosity through past experiences
Sound judgment and analytical skills
High degree of system literacy
Derivative product and technical process knowledge
IOC or other industry qualifications an advantage but not mandatory

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Operations Resume Examples & Samples

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