Sec Processing Supervisor Resume Samples

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R Luettgen

Ruben

Luettgen

5122 Conroy Island

Phoenix

+1 (555) 597 8579

5122 Conroy Island

Phoenix

Phone

p +1 (555) 597 8579

Experience Experience

Los Angeles, CA

Sec Processing Supervisor

Los Angeles, CA

Leannon-Turcotte

Los Angeles, CA

Sec Processing Supervisor

Manage the implementation of new clients
Review offering documents in conjunction with counsel and relationship management
The Supervisor is responsible for the timely and accurate completion of transactions ensuring adherence to all production, regulatory and audit procedures
Acts as an escalation point for pricing issues, and ensures pricing process and controls are completed
Reviews and reconciles daily processing control reports
Validates proper handling and completion of client requests
Recommends changes to policies and procedures that meet the criteria established by management

Detroit, MI

Sec Processing Supervisor

Detroit, MI

Gibson Inc

Detroit, MI

Sec Processing Supervisor

Hold regular team meetings to encourage associate feedback on all issues
Provide associates with objectives, hold regular one-on-one performance feedback meetings and perform formal annual associate reviews
Participate in the development and periodic review of training programs and facilitate training programs
Ensure that any team specific procedures conform and are shared with other teams
Create, evaluate and revise operational standards
Create and use quality service measurement tools to ensure compliance with operational standards
Monitor quality assurance

present

Dallas, TX

Sec Processing Supervisor IPS PA

Dallas, TX

Sawayn-Schaden

present

Dallas, TX

Sec Processing Supervisor IPS PA

present

Maintain a controlled operating environment that complies with operational standards
Ensure team is escalating critical issues to team leader, head of operations and relationship management
Perform timely and regular reporting to senior management and relationship management
Act as technical and knowledge resource to the team/business unit
Understand and manage client expectations in conjunction with relationship management and as delegated by the Sec. Processing Sr. Manager
Assess new and existing client relationships to identify new business opportunities
Liaise with HR to participate in the interview and selection of candidates for open positions

Education Education

Bachelor’s Degree in Accounting

University of Florida

Bachelor’s Degree in Accounting

Skills Skills

Ability to react to situations quickly and effectively
Capable of a maintain a high level of attention to detail and diligence
Good operational knowledge of all security types, trade life cycle, various corporate actions and its impact on portfolio
Ability to work to tight deadlines as part of a team
Demonstrated project management skills with the ability to multi-task
Cash and wire processing knowledge
Highly Numerate
Computer literate with knowledge of MS Office applications, in particular MS Excel at intermediate advanced level
Ability to deal with problems as they arise in an environment with multiple priorities
Detail oriented

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Sec Processing Supervisor Resume Examples & Samples

Maintain a controlled operating environment that complies with operational standards
Ensure team is escalating critical issues to team leader, head of operations and relationship management
Perform timely and regular reporting to senior management and relationship management
Act as technical and knowledge resource to the team/business unit
Work with associates, prime brokers, custodians, auditors and other third parties to ensure that all fund issues are being appropriately addressed
Understand and manage client expectations in conjunction with relationship management and as delegated by the Sec. Processing Sr. Manager
Assess new and existing client relationships to identify new business opportunities
Liaise with HR to participate in the interview and selection of candidates for open positions
Hold regular team meetings to encourage associate feedback on all issues
Provide associates with objectives, hold regular one-on-one performance feedback meetings and perform formal annual associate reviews
Participate in the development and periodic review of training programs and facilitate training programs
Ensure that any team specific procedures conform and are shared with other teams
Create, evaluate and revise operational standards
Create and use quality service measurement tools to ensure compliance with operational standards
Monitor quality assurance
Manage the implementation of new clients
Review offering documents in conjunction with counsel and relationship management
Determine appropriate staffing numbers
University degree (B.A., B.Sc., M.B.A.) in business preferably majoring in finance or another financial-related program
Minimum of five years experience in financial services operations whose job requirements involve the use of general accounting concepts and the preparation of financial statements, three of which must include staff management

Sec Processing Supervisor Resume Examples & Samples

The Supervisor is responsible for the timely and accurate completion of transactions ensuring adherence to all production, regulatory and audit procedures
Ensures that the corporate/departmental quality and quantity standards for processing are met. Takes remedial action where required to meet goals. Approves all irregular or unusual transactions
Acts as an escalation point for pricing issues, and ensures pricing process and controls are completed
Reviews and reconciles daily processing control reports
Validates proper handling and completion of client requests
Monitor call volumes and phone adherence to ensure the phone queues are properly staffed - In the event a particular phone queue is experiencing a spike in volumes, able to react and re-assign staff as required
Recommends changes to policies and procedures that meet the criteria established by management
Assists in review of reference materials e.g. policies and procedural manuals. Supervises a team of both processing and Call Centre staff
Coordinates staff schedules and expertise to meet the needs of processing volumes and assigned projects
Validates and approves employee time sheets
Monitors development of staff and determines eligibility for next level of training. Conducts regular one-on-one reviews, and semi-annual performance evaluations. Conducts interviews and makes final recommendations on the hiring of new service representatives
Takes appropriate and timely action with marginal performers
Manages the relationships between Transfer Agency Operations and other departments
Acts as a primary resource for internal and external audits
Participates in external client and vendor contact
Three to five years experience in the mutual fund industry at a Senior Service Representative level
Post-secondary education or 2 years supervisory experience
Successful completion of IFIC and/or CSC
Knowledge of UTAS products, services, systems and procedures
Knowledge of pricing procedures for external pricing clients
Knowledge of Call Centre process and phone queue monitoring
Strong communicator with excellent interpersonal skills; a team player who leads by example, and is willing to work overtime, shifts

Sec Processing Supervisor Resume Examples & Samples

Minimum of two years experience in either
Retail or institutional asset management Back Office environments, ideally in Investor Reporting
A software reporting product provide
Experience of painter based reporting solutions in a production environmen
Understands accounting, performance and reporting
Familiar with BRDs, testing, and the end to end development lifecycle
Business Analyst experience (within IT is a plus)
Experience related to data use by non-technical end users
Strong working knowledge of MS Office Word, Excel and PowerPoint
Strong analytical and problem solving
Self motivated

Sec Processing Supervisor Resume Examples & Samples

Maintain a controlled, SAS 70 operating environment that complies with operational standards
Supervise the monthly, quarterly and other periodic fund and partner accounting activities and review deliverables to ensure they meet quality and timeliness standards
Supervise and assist in the preparation of regular financial statements, including cost/unrealized rolls, FAS 157 tables, SOI, financial highlights, and their audit
As directed by the Sec. Processing Sr. Analyst, resolve issues and address high level requests from clients and other third parties in conjunction with relationship management
Meet with clients on an annual basis as delegated by the Sec. Processing Sr. Analyst
Assist your Sec. Processing Sr. Analyst/AVP in their quarterly/annual review preparation by giving them accurate/candid feedback and goals for the sec processing analysts that work with you directly
Minimum 3-5 years of experience in hedge fund administration or in a financial services operation whose job requirements involve the use of general accounting concepts and the preparation of financial statement

Sec Processing Supervisor Resume Examples & Samples

Responsible for daily processing of all shareholder transactions
Primary functions include purchases, redemptions, exchanges, systematic plans, brokerageand dividend
Ensure the daily andaccurate processing of all shareholder requests both financial and non-commercial received for processing; coordinate for any exceptions to be resolved
Processing of special transactions where there are dual tax implications
Ensure all rules and guidelines related to foreign investments into the funds of the company are fully complied with
Work closely with fund accounting to provide timely and accurate data for computation of daily net asset values
Manage the daily operating metrics of the operations unit including cost per account, productivity, headcount, error rates and other key metrics of the operations unit
Meeting ongoing performance targets and managing the operations to meet them
Capturing system requirements of the unit
Coordinate with Legal and Compliance to ensure transactions are within the prescribed local regulator regulations and guidelines
Provide reports as required by the Compliance department
Service delivery to sales and customer service as per the service level agreement for the operations unit
Investor complaints and queries must be resolved in a speedy manner to enhance customer satisfaction where these relate to the operations of the company
At least 8-12 relevant years of experience in capital markets working in broking houses (settlement, data management and margining areas), registrars/transfer agents, custodians, and asset managing companies
Domain skills in the various asset classes including equity, debt, liquid, andFOF (Fund of Funds)
Should have knowledge of hedge fund industry and the role of the various intermediaries
The candidate should have worked in operations or service department of AMC
Responsible for reporting to statutory authorities
Knowledge of corporate actions
Prior working in BPOs on capital markets back office processes
Preferable if the candidate has prior knowledge of SEC regulations in the hedge fund industry
Bachelor’s degree preferably in commerce, economics, finance or MBA

Sec Processing Supervisor Resume Examples & Samples

Ensure the accurate and timely input of trades onto the system
Maintaining the clients' portfolios during the transition
Processing all terminations into trade capture system
Processing all interest payments
Ensure all of the market values extracted from the valuation system and are in line with third party valuations
To provide system training and integrate the new operating processes into business as usual
Excellent math and analytical skills
Excellentin English,written and oral communication skills
Experience in securities operations or legal environment
Ability to handle multiple tasks under extremely time sensitive conditions
Understanding of basic trade economics related to OTC transactions is helpful
Understanding of established guidelines and documents published by ISDA is helpful
Working knowledge of legal documentation
Proficiency with DTCC Deriv/SERV, SwapsWire platforms preferred
Education - bachelor's degree or equivalent experience
5 years in the derivative industry concentration on settlement processing within the buy, sell or administration services
Cash and wire processing knowledge
DTCC settlement experience is a plus
Proven interpersonal skills
Ability to deal with problems as they arise in an environment with multiple priorities
Ability to react to situations quickly and effectively
A self-starter with high energy, initiative and self-motivated to advance within the firm
Capabilities in fundamental financial calculations and settlement accounting
General knowledge of securities and derivative or products, including fixed income, equity, commodity, futures/options and interest rates is an asset; includes basic understanding of the underlying revaluation principles, accounting treatments, operational controls, credit and price risks and market practices
General knowledge of fund transfer procedure and control is an asset
University degree (B.A., B.Sc., M.B.A.) in business majoring in finance, accounting or other financial related program
Highly proficient with Microsoft Office products (Excel andWord)

Sec Processing Supervisor Resume Examples & Samples

Work with the team and SMEs to build and maintain an up to date and robust database (Qvidian), ensuring consistency and compliance with standards and review by SMEs
Product knowledge of SFS in order to write accurate and comprehensive RFPs for clients across products within Asia Pacific
Keep abreast and be familiar with Citi and SFS positioning, product updates and marketing messages to incorporate contents into the database and proposals
Build relationships across the region to understand client’s needs through continuous interaction with Sales and SMEs
Developmental value
Develop subject matter expertise which may lead to sales or product management assignment
Business contacts and working relationships across SFS for career pathing with Proposals Team Head, product, implementation, sales or client coverage role
Direct Custody and Clearing
Lending
Fluent in English is essential, strong English writing skills and comprehension, ideally in proposal writing
An Asian language is beneficial

Sec Processing Supervisor Resume Examples & Samples

Identify gaps in the MultiFonds, Vestmark, Vermilion, FSR and any other surrounding technologies used and ability to determine solutions to fill these gaps
Test the development when it is completed
Participate in the system parallel process
Update the official policy and procedures documents including the SAS 70 as necessary
Ability to track data trends to implement process improvements
Participate in the successful timely completion of the monthly production cycles
Limited; to be discussed with the right candidate to determine the individuals personal growth plan
This is primarily an individual contributor role which will require the candidate to give direction and drive to a successful project completion
5-7 years middle/back office experience
A strong knowledge of the middle office operations
A strong operational knowledge of the entire back operation, especially how it is currently performed at Citi

Sec Processing Supervisor Resume Examples & Samples

Performing, review cash and position reconciliation of funds
Daily income/expense files processing based at fund level
Perform trade pushing based on the feeds received from the transaction processing team and ensure all trades are processed
Processing and review of high value transactions in the system – Capital and Sweep Bookings
Coordinate with custodians for pending breaks and participate in custodian call to discuss status of aged breaks
Work with team leaders in resolution of client inquiries flowing through inquiry system/application and ensuring accurate details are provided to the client based on the queries
Create/update efficiency matrix for accuracy, errors, timeliness and presentations for Senior Management
Provide process improvement suggestions or contribute towards controls to be implemented to have a risk free process
Become a trusted source for IPS operations to rely upon
3-5 years of middle/back office experience
A strong knowledge of Fund Accounting or Portfolio Accounting Operations
Able to work smartly and one who can perform multitasking
Hands-on experience to work on MS Office, MS Outlook, Multifonds and Frontier or similar reconciliation platforms
A strong Microsoft Excel background is required; Microsoft Access is an added advantage
Ability to effectively draft business emails and especially the ones where the end client is marked
Knowledge of multiple accounting applications is desired
Ability to make presentations to Senior Management
Effective communication skills to ensure resolution of queries are understood by the team members

Sec Processing Supervisor Resume Examples & Samples

The candidate should have at least 5 years of experience within Transfer Agency
Understanding of Commission and Retrocession’s required
Bachelor's degree, professional project certification and equivalent work experience preferred
Strong skills with Microsoft Office products (Word, Excel, Outlook)
Assist in the identification of training requirements within the team and actively support the design and implementation of any required training
The ability to work independently with minimal supervision
The ability to make decisions quickly and with authority within their realm of responsibility
The ability to deputise for the manager as required

Sec Processing Supervisor IPS PA Resume Examples & Samples

8-12 years front/middle/back office experience
A strong knowledge of the Citi middle office operations
Able to develop and drive a strategic vision to closure
A strong Microsoft Excel background required
Experience writing business requirements
High quality and Customer User Requirements is a plus
Experience with writing and executing test scripts

Sec Processing Supervisor Resume Examples & Samples

Monitoring procedures and controls within the team
Providing guidance to off-shore associates on a daily basis
Reviewing work performed by offshore associates
Ensuring offshore deliverables meet the required standard, thus ensuring the client deliverables meet the required standard
Review of tax templates, prepared by the offshore team
Ensuring any issues encountered with offshore team are tracked, queried and resolved
Communicating issues on a timely basis to their AVP and VP
Problem solving for the team and resolving issues
Reviewing and approving team work within departmental / client guidelines
Facilitating audits
Ensure deliverables for each client are accurate and timely
Leading and participating in special projects and client requests
Assist where required on interviewing, hiring and providing performance management of team members
Reviewing the offshore calculation of performances fees using high watermarks and hurdles
Where required writing evaluations for team members on an annual or as-needed basis
Supporting and implementing departmental initiatives
Working closely with Client Executive Teams when resolving issues
Coordinate new fund set ups
Participating in development and facilitation of departmental training courses
Supporting their AVP and VP on team and departmental projects

Sec Processing Supervisor Resume Examples & Samples

Providing guidance to associates on a daily basis
Reviewing work performed by onshore and offshore associates
Ensuring offshore deliverables meet the required standard
Ensuring any issues encountered with offshore team tracked, queried and resolved
Communicating issues on a timely basis to management and client services
Problem solving for team and resolving issues
Interviewing, hiring and providing performance management of team members
Calculating performances fees using high watermarks and hurdles
Writing evaluations for team members on an annual or as-needed basis
Working closely with Client Services when resolving issues
Ensure each associate has objectives set and performance reviewed on a regular basis
Minimum 5 years industry experience
Previous exposure to a variety of fund structures and instrument types
Previous supervisory experience an advantage
Previous experience in a client facing role an advantage
Able to motivate staff in a fast moving environment
Results focussed
Able to provide a team with direction towards a common goal
Demonstrate the following skills
Bachelor's degree in accounting, finance or business-related area or equivalent work experience
Recommended minimum of 5 years industry-related experience
Consistently demonstrates the following attributes

Sec Processing Supervisor Resume Examples & Samples

Management of team, ensuring key deadlines are met and appropriate escalations are in place
Working with the business to understand their client service requirements and implement a strategy to service them
Managing the daily workflows of the claims team to ensure all clients are paid on time
Managing requisite controls around the risk of receivables and driving down exposure
Working to ensure that the processes and procedures enable the firm to cope with increasing complexity with decreasing operational risk
Working with internal and external clients to build solutions and provide optimum customer service
Help to create and build an environment of teamwork and encourage two-way communication
Responsible for cash, internal breaks and controls within the team
Responsible for people management and development
Maintain an environment where there is a focus on accuracy
Working closely with the Department management team to agree common best practice and to jointly devise new/improved process/procedures to increase both productivity and control
Meeting all Control and Compliance requirements, in particular but not limited to all MCA controls, as well as carrying out mandatory training, regular review and update of procedures as required ensuring that changes in process as well as new processes are fully documented
Ensuring all relevant Client Money requirements are met and maintain understanding within team
Good communication, problem-solving and interpersonal skills
Understanding and managing risk and exposure
Line management
Driven by results
Problem solver
Educated to minimum of A-Level standard
AQ's (Securities and Investment Institute) 1, 2 and 3

Sec Processing Supervisor Resume Examples & Samples

Increase client satisfaction and reduced business costs via product enhancements and operational efficiencies
Utilize Business Analyst skills to work closely with Tech and Business counterparts in the ongoing support and enhancement of the reporting functionality of the Investor Services Web Portal
Work closely with Client Executives, IS Team Leads, Fund Accounting partners, and clients to ensure user satisfaction and education on the tool and services provided
Utilize experience in Investor Services and intimate knowledge of the existing platform to propose creative solutions that lead to further Operational Efficiencies and increased client satisfaction
Take leadership role in key project roadmap deliveries: document requirements, control project scope, obtain business buy-in and feedback on initiatives, manage Tech deliverables, QA support/guidance/delivery monitoring, document user guide details for updates/enhancements, lead training sessions, provide ongoing support for functionalities delivered
Manage the seamless transition from development to implementation by creating, managing and executing on an operational readiness plan
4-year college degree

Sec Processing Supervisor Resume Examples & Samples

Supervise and assist staff with the daily functions of the Hedge Funds department, ensuring overall processing of client trading activity is carried out in a timely basis and in compliance with Offering Memoranda and subscription documents
Develop and maintain error free customer service to ensure the fulfillment of customer requirements
Responsible for the day-to-day supervision and direction of the team and its resources in order to ensure the accurate and timely completion of work
Ensure training is coordinated and implemented for new hires; identify training needs of existing staff and implement accordingly
Monitor the performance of team members and provide regular feedback on an individual level and also to the team manager
Help to maintain staffing levels and minimize turnover
Excellent interpersonal skills and customer service orientation
Capable of a maintain a high level of attention to detail and diligence
Professional and proactive approach to work
Ability to work in a demanding environment and adjust to multiple demands; shifting priorities; ambiguity and rapid change
High level of organization and ability to multi-task
Previous work experience in investor services or banking required
Proficiency in the MS Office Suite of Applications specifically MS Word, MS Excel and Outlook

Sec Processing Supervisor Resume Examples & Samples

Handling the mailbox and ensure no request is pending for action before EOD
Investigate and take necessary support from technology/development team to resolve the issues raised by MIS reports stakeholders
Coordinate with technology partner/respective departments to consolidate the source data feed for monthly MIS reports
To make sure that MIS reporting publishing cycle has to be completed within defined SLA and reports available for stake holders within stipulated timelines
Reach out to respective departments/raise incidents whenever required to escalate any queries/issue to support partner teams
Provide the application demo on Screen sharing/Call for new onboarding clients on basic navigations and MIS setup maintenance
Track all the requests and report internally for weekly reporting
Prepare/update the existing procedure documents in case of any update shared by LOB partners
Learns from mistakes
Has the ability and urge to continuously learn
Education Qualification: B.Com/ MBA (Finance)
Shift Timings: 14:00 to 23:00 (UK Shift)
Shift Type (Rotational Shifts/Fixed): Rotational
Experience: 3 – 5 years

Sec Processing Supervisor Resume Examples & Samples

Excellent analytical skills with proper researching ability to drive outstanding reconciliation items to closure and in-depth understanding of tax reclaim process
Trade Accounting - Equities, Bonds, Repo, CFD, Futures, Options, Bank Debts, SWAPS, Forwards, Spot etc
Cap Stock/Subscription-Redemption Processing
Income/expenses processing
NAV Checks/SAS 70 checks
Client reporting

Sec Processing Supervisor Resume Examples & Samples

Managing BAU processes, coordinating audits and working along with change management as well
Reconciliation of Cash and Position between Custodian and Accounting system ensuring that unresolved breaks are resolved after seeking the correct information from the respective parties(Custody/Client/third party vendor)
Liaise with Middle office team (trades team) and make sure all the trades/FX are received with correct data as provided by client and accounting of the same without any rejects
Make sure pricing of the securities are done correctly by CAG team by verifying the tolerance checks
Preparing weekly/monthly MIS reports and reporting to country/group head of operations
Attend client calls, queries and issues and advise appropriately to resolve issues in the reports
Review of postings and Reports
Ensure reports accuracy
Identify issues in processing building adequate controls

Sec Processing Supervisor Resume Examples & Samples

At least extensive years of experience in the preparation of financial statements or 5 years within a fund accounting environment with experience of producing all elements of a valuation
Experience in managing external audits
Good track record in meeting client deliveries to agreed service level agreements e.g. Board Reports, Monthly UCIT Reports, Management Fee Calculations, KIID or KIID Monitoring Reports
Experience in training offshore and onshore teams to a high standard and keeping them up to date with regulatory changes
Experience of liaising internally with offshore site to monitor service standards
Good organisational skills with a proven ability to manage a work load
Strong spreadsheet and word skills essential
Attention to detail and accuracy essential
Good knowledge of accounting standards
Knowledge of financial instruments and their accounting treatment
A high level of integrity, a commitment to service excellence and ability to take ownership of tasks
Proven track record and extensive knowledge of funds services and its processes
Hands-on supervisory style with strong leadership skills
Excellent customer interaction skills
Computer literate with knowledge of MS Office applications, in particular MS Excel at intermediate advanced level
Leadership, drive and results focus
Highly Numerate
Demonstrated project management skills with the ability to multi-task
Finance related third level qualification
Qualified or part-qualified accountant an advantage