Securities Processing Supervisor Resume Samples

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F Towne

Fausto

Towne

200 Deckow Walks

Dallas

+1 (555) 194 8293

200 Deckow Walks

Dallas

Phone

p +1 (555) 194 8293

Experience Experience

New York, NY

Securities Processing Supervisor

New York, NY

Sauer Group

New York, NY

Securities Processing Supervisor

Clearly describe the issue encountered within the defect using Quality Center
Change management –support AVP in implementing change within the group
Performance Management - provide direction, coaching and leadership to staff
Training of staff
Assist in hiring and termination of associates, as necessary
High level client and shareholder servicing
Participate in interviewing for open positions

Philadelphia, PA

Securities Processing Supervisor

Philadelphia, PA

Funk-Watsica

Philadelphia, PA

Securities Processing Supervisor

Work with the onshore financial reporting team to address any changes to the financial statements accurately and efficiently
Support and maintain ProTrac and ensure accurate project reporting
Have knowledge of software development life cycle and testing procedures
Varied and interesting role as the IS supervisor looks after all aspects of their assigned funds
Possibility of assisting AVP with Dept. projects and adhoc requests
Support the Investor Service Ops PMO model by establishing best practices
Prepare training material and assist in documentation of procedure manuals

present

Dallas, TX

Securities Processing Supervisor Collateral Margin

Dallas, TX

Herzog-Kautzer

present

Dallas, TX

Securities Processing Supervisor Collateral Margin

present

Create and fine tune the process of expense recording, mapping, reporting and controlling for all departments
Assist in decision making by modeling/simulating "what-if" scenarios
Assist in developing training materials and training employees
In conjunction with senior management team prepare periodic reporting on market data spending and cost savings programs
Meeting ongoing performance targets and manage the operations to meet them
Determine that procedures and controls are being followed and that the integrity of the data processing environment is maintained
Relationship building with Citi India and ensuring workflows are efficient

Education Education

Bachelor’s Degree in Banking

California State University, Northridge

Bachelor’s Degree in Banking

Skills Skills

Quality of work at very high level–coupled with the ability to prioritise workloads to meet challenging deadlines
Very strong Excel and PowerPoint skills, detail and process orientation
Excellent time management and ability to work under pressure
Attention to detail and ability to work on multiple projects
Be able to work independently and able to deliver under time constraints
Good knowledge of MS Office (MS excel and MS word)
Strong analytical skills with the ability to identify and resolve issues
Strong organisational skills with a proven ability to manage a heavy work load together with tight deadlines
Good operational knowledge of all security types, trade life cycle, various corporate actions and its impact on portfolio
Strong understanding of Security and Fund Services Product Offerings

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Securities Processing Supervisor Resume Examples & Samples

High level client and shareholder servicing
Relationship building with Citi India and ensuring workflows are efficient
Training of staff
Participate in interviewing for open positions
Team/Departmental Focus
Discipline and initiative to work on ad hoc projects
Develop good rapport with other team/department members including offshore teams
Provide cover for other team/department members as required. Problem Solving
Strives to improve work or business processes to achieve increased efficiency and accuracy
Investigates and suggests solutions when presented with new problems or issues
Adherence to the Issue Escalation Policy

Securities Processing Supervisor Resume Examples & Samples

Oversee daily operations and workflow of the team
Act as escalation point for questions and research
Processes daily work in timely and accurate manner
Review associates work for accuracy and completeness; provide “checker” signoff
Assist in developing training materials and training employees
Determine that procedures and controls are being followed and that the integrity of the data processing environment is maintained
Support and oversee overall fund quality (monetary and non-monetary)
Complete all development plans and employee reviews per Citi schedule
Assist Manager in identifying need for and implementing procedural changes
Assist in hiring and termination of associates, as necessary
Work with business units to identify, compile and integrate market data requirements
Prepare business cases and strategy alternatives for key market data initiatives
Partner with operations groups and IT to drive implementation of market data initiatives
Facilitate negotiation of contractual agreements with market data vendors under the guidance from Legal and Procurement Department; ensure all business requirements are met in the global agreement
Manage renewal process for recurring market data agreements: Lead market data cost reduction initiatives
Put in place framework in market data governance across SFS Asia Operations
Ensure internal users are in compliance with terms of market data agreements
Provide consistent communications on major program status to senior management
In conjunction with senior management team prepare periodic reporting on market data spending and cost savings programs
Serve as market data leader on enterprise procurement initiatives
Bachelor's degree in Banking & Finance, Accounting, Commerce, relevant Business courses
Minimum 4 to 6 years of relevant working experience in market data industry e.g. Bloomberg, Reuters or in Custody, Funds Administration, Post Trade Compliance or Performance Reporting Operations role within a bank
Ability to coach, develop and motivate team members
Strong sense of responsibility; sound business judgment and decision making capabilities
Proven supervisor and/or leadership experience
Strong communication and interpersonal skills
Knowledge of PC & Windows based applications, including Microsoft Excel, Word and Access
Working knowledge of Multifonds is required
Knowledge and experience with multiple security types
Knowledge of market data industry: Understanding of the integration of market data content with IT delivery
Ability to work in a team and independently
A passion for driving cost savings
Aptitude for managing enterprise-wide governance structures
Good program management and problem solving skills
Excellent influencing skills to ensure program alignment and commitment
Strong communications capabilities to senior management, vendors and peers
Desire to drill into detail but also to recognize the big picture
Ability to analyze alternatives and set strategy but then implement solutions as well
Able to work on staggered hours and work on India public holidays on a rotational basis

Securities Processing Supervisor Resume Examples & Samples

Good operational knowledge of all security types, trade life cycle, various corporate actions and its impact on portfolio
Exposure to Cash, Position reconciliation and Three-Way reconciliation
Trade Accounting - Equities, Bonds, Repo, CFD, Futures, Options, Bank Debts, SWAPS, Forwards, Spot, etc
Cap Stock/Subscription-Redemption processing
NAV / GAV Computation
NAV Checks / SAS 70 Checks
Sense of urgency
University degree (B.Com, M.Com and M.B.A.) in Business preferably majoring in Finance or another Financial-related program
Experience – Minimum experience required as follows
Senior Analyst – 2+ years of experience in handling above activities
Specialist – 3+ years of experience in handling above activities
SME – 5+ years of experience in handling above activities

Securities Processing Supervisor Resume Examples & Samples

Exposure to Cash, Position reconciliation and Three way reconciliation
Income/ Expenses processing
Professional Qualification (C.A, Grade CWA)
Sr. Analyst – 2+ years of experience in handling above activities

Securities Processing Supervisor Resume Examples & Samples

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
Manage staff assignments in conjunction with client deliverables
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
Degree - B.A., B.Sc., M.B.A. in Business majoring in Finance, Accounting, or another Financial-related program from a tier 1 university
Experience - Minimum 3-8 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 statements
Additional Requirements - Experience working with Microsoft Office Products (Excel, Word)

Securities Processing Supervisor Resume Examples & Samples

Should be willing to work in shifts and flexible work hours as per organizational requirements
Responsible for daily processing for all Shareholder Transactions; primary functions include Purchases, Redemptions, Exchanges, Systematic Plans, brokerage & Dividend
Ensure the daily, accurate 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
Work closely with the auditors to institute appropriate process controls to ensure transactions are processed within prescribed norms
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 manage the operations to meet them
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 1-10 (relevant) years of experience in Capital markets working in broking houses (settlement, data management, margining areas), Registrars/Transfer agents, custodians, Asset Managing companies
Domain skills in the various asset classes including Equity, Debt, liquid & FOF (Fund of Funds)
Should have knowledge of Mutual 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 BPO’s on capital markets back office processes
Preferable if the candidate has prior Knowledge of SEC regulations in the Mutual fund industry
Bachelor's degree; preferably Commerce, Economics/MBA (Finance)

Securities Processing Supervisor Resume Examples & Samples

Experience in accounting (preferably public accounting and/or experience in the financial services sector)
Experience preparing and reviewing general ledgers, financial statements, footnotes and work papers
Experience supervising professionals
Attention to detail and ability to work on multiple projects
Strong interpersonal skill
Advanced computer skills (especially Microsoft Excel)
Partnership accounting preferred, but not required
Relevant experience 1 – 8 yrs

Securities Processing Supervisor Resume Examples & Samples

Accuracy, efficiency, attention to detail, delegation skills and excellent customer service skills
High level client & shareholder servicing
Maintenance of shareholder register for assigned funds
Performance management - provide direction, coaching and leadership to staff
Change management - support AVP in implementing change within the group
Shareholder Registration System
Displays a thorough understanding of the system functions to include: Trade review & reporting
NAV / price verification
Shareholder account & contact maintenance
Perform system testing as necessary
System reports - knowledge of how to run, interpret and explain system generated reports – and their function in resolving shareholder queries
Verification of equalisation and performance fee calculation
Bank account & funds transfer
Redemption payments – 100% accuracy required in review of instructions for wires and transfer from various fund bank accounts
Verify cash monitoring of fund bank accounts
Bachelor’s degree or an academic equivalent in a discipline relevant to accounting or investment function
With 2-3 years industry experience

Securities Processing Supervisor Resume Examples & Samples

University degree (B.A., B.Sc. or M.B.A.) in business majoring in finance, accounting or other financial-related program
Highly proficient with Microsoft Office products (Excel, Word, etc.)
Experience with preparation of GAAP/IFRS financial statements as related to hedge funds
Relevant experience of 1 – 10 years

Securities Processing Supervisor Resume Examples & Samples

Identification of Gaps in the Multifonds or other accounting engines
Write business requirements to assist in the development of the correct functionality
Identify and document the proper operational procedures
Update the official policy and procedures documents including the SOC1 as necessary
Identification of non functional requirements that will assist in the success of the parallel process
Ability to create cost benefit analysis and business cases
Create presentations for Senior Management
Ability to lead a single large or multiple small project work streams
Become a trusted source for IAS operations to rely upon
5-20 years front/middle/back office experience
Formal process improvement background
A strong reconciliation background and the ability to drive outstanding items to closure
Microsoft Access is a plus
High Quality and Customer User Requirements is a plus
Multifonds knowledge is required
Knowledge of multiple accounting applications desired
Project Management and Microsoft Project experience is a plus
Manages complex and highly variable issues with significant potential impact across multiple securities processing areas
Provides in-depth and sophisticated analysis with interpretive thinking to define securities processing and or middle office problems and develop innovative solutions
Recommends and implements systems and procedural enhancements for securities processing area

Securities Processing Supervisor Resume Examples & Samples

Identification of Gaps in the multifonds or other accounting engines
Identify and document the proper operational procedures. Update the official policy and procedures documents including the SOC1 as necessary
Identification of non-functional requirements that will assist in the success of the parallel process
Create presentations for senior management
Will assist the service manager and implementation team to support new client and Product enhancements
With 5-20 years front, middle or back office experience
A strong Microsoft Excel background required, Microsoft Access is a plus
Ability to make presentations to senior management
Advanced knowledge of middle office activities to include calculation of net asset value (price), recording of corporate actions, reconciling cash and holdings, and pricing of securities to perform job duties
Serves as analytical and/or procedural expert, representing a unit or team to support securities processing deliverables/initiatives
Resolves complex problems where the analysis of situations or data requires an in-depth evaluation of basic securities processing procedures and industry standards
BA in accounting, finance, or business administration is preferred

Securities Processing Supervisor Resume Examples & Samples

Should have extensively worked on migrating one or more client on standard reconciliation platform such as TLM/Frontier, etc
Should be able to understand data integrity, assimilation of requisite data, upload and automatch functioning of the recon system
Should be able to create auto match rules to increase automatch rates
Should be able to design, develop & implement End to End test scenarios for the same
Should be able to perform testing in UAT environment for reconciliation, understand the reasons for the defects, create supporting for the defects and also recommend the resolution steps
The candidate should be able to understand the intricacies of connecting recon impact on Portfolio Accounting and other related functions
Extensive working on system is essential as the role is basically of expert and individual contributor
The selected candidate may be required to directly talk to the end clients, understand their process/systems and integrate those processes in CitiBank operations environment

Securities Processing Supervisor Resume Examples & Samples

Work closely with Business and Technology to understand the reporting requirement to develop the various reports
Should be comfortable with Data Quality, data models, and data management principles
Authenticate already developed reports for accuracy
Excellent Business Analysis skills
Excellent knowledge on Financials products like Equities, Bonds, CFDs, Future, Options, MBS
Familiar with Master/Segment fund structure
Excellent understanding of Fund Accounting or Portfolio Accounting
Hands on experience on Multifonds Fund Accounting System
Prior experience on Citi Direct for Securities (FSR) will have distinct edge
Experience with SQL create/modify/test scripts to test data model and confirm viability against report specifications
Strong communications skills and the ability to work with customers to understand business requirements
Ability to work under pressure in a dynamic, multitasking environment

Securities Processing Supervisor Collateral Margin Resume Examples & Samples

Updating the collateral databases with data and mappings to accurately reflect the client requirements for collateral; this includes set up of SSI instruction details
Ensure adherence to key processes and control requirements with a focus on complying with Citi risk and controls framework in a timely manner
Assist with timely resolution of queries re client set up in system
Producing management information / reporting for team members management for review
Assisting with preparing the team for various reviews
Communicate with external parties as necessary e.g., counter parties, clients
Working with team leaders and Section Manager to ensure goals are met
Ensure effectively escalate any issues
Exposure/understanding of Collateral Management desirable but not essential
2 years experience in financial services sector and has a general understanding of securities marketspaymentssettlements
Be able to work independently and able to deliver under time constraints
Accuracy and high attention to detail
Good business judgment, knowing when to escalate, who to keep informed to identify appropriate next steps / resolution

Securities Processing Supervisor Resume Examples & Samples

Financial analyst to support Investor Services Operations Change Management globally
Include monthly forecast/actual variance analysis and reports, working with owners to analyze variances and identify and risks to execution; creating and executing financial models to target future savings, managing headcount for 150+ organization and SOWs, manage accruals, invoice payments, etc
Contribute to several financial savings initiatives underway across the Investor Services Operations organization

Securities Processing Supervisor Resume Examples & Samples

Identify, analyze and interpret expense and cost trends on a monthly basis
Develop and summarize recommendations based on trends to identify areas of saves and opportunities
Perform basic statistical analysis for projects and reports
Create and present quality dashboards
Translate business objectives and requirements into functional budgets and deliverables
Work closely with internal and external stakeholders and the business
Create and fine tune the process of expense recording, mapping, reporting and controlling for all departments
Assist in decision making by modeling/simulating "what-if" scenarios
Assist and support the design and development of required interfaces and enhancements
Very strong Excel and PowerPoint skills, detail and process orientation
Excellent time management and ability to work under pressure

Securities Processing Supervisor Resume Examples & Samples

Ability to organize workload to meet various settlement cut-off times
Ability to put forward constructive feedback on cases and issues
Systems knowledge - Reuters and Bloomberg

Securities Processing Supervisor Resume Examples & Samples

Confirm and Affirm trades with brokers within agreed timelines
Real-Time monitor for any trade breaks and ensure these are resolved/escalated in a timely manner
Liaise with internal teams (oversight/static/tech) and external entities (brokers/custodians) to resolve any exceptions
Identify Risk items and prioritize work accordingly
Attend to ad hoc queries from internal and external entities
Support in preparation of MIS

Securities Processing Supervisor Resume Examples & Samples

Write clear and detailed scripts that will allow a first time user to successfully run this particular script and achieve the expected result
Ensure clear and detailed documentation is maintained for all test scripts
Update the Center of Excellence Script Inventory by Category document to include date assigned, date completed, and an approximate run time with and without a defect
Clearly describe the issue encountered within the defect using Quality Center
Provide updates to the defect in Quality Center and change the status to retest passed or retest failed each time it is retested
Communicate with the development team and provide further information if necessary
Ensure the deliverables are managed within the timescales
Manage the client meetings and defect calls independently
Ensure process improvements
Provide accurate estimates for the UAT test duration
Strong understanding of Security and Fund Services Product Offerings
Background and understanding of the System Development Lifecycle, with focus on Testing Methodology
Ability to create testing coverage by mathematically determining permutations and spreads based on key selection criteria

Securities Processing Supervisor Resume Examples & Samples

Support the Investor Service Ops PMO model by establishing best practices
Communicate with CPMC and GPMO on a regular basis to ensure our Organization is up to date with their guidelines
Analyze PM procedure on an annual basis to keep our Book of Work compliant
Internally review the Project artifacts and provide feedback to PMs before QA team reviews them
Support and maintain ProTrac and ensure accurate project reporting
Support the Business in the area of feature/function prioritization
Assist in process redesign reviews and initiatives
Ensure that that these requirements are tested and rolled out to the business as usual teams (see below)
Prepare training material and assist in documentation of procedure manuals

Securities Processing Supervisor Resume Examples & Samples

Work closely with business and technology to understand the reporting requirement to develop the various reports
Should be comfortable with data quality, data models and data management principles
Excellent business analysis skills
Excellent knowledge on financial products like Equities, Bonds, CFDs, Future, Options, MBS
Ability to work under pressure in a dynamic and multitasking environment

Securities Processing Supervisor Resume Examples & Samples

At least 1-4 years of experience in Capital markets (Fund accounting, Financial Reporting)
Knowledge about market product is must
Very good accounting knowledge is must
Should have knowledge of Mutual fund and Hedge Fund industry
Should have worked on Financial Reporting profile, responsible for preparation and presentation of various financial statements as per IFRS, US GAAP, Lux GAAP and Irish GAAP, etc
Prior working experience in BPO/captive on capital markets back office processes
Experience and expertise in Business Areas- Middle Office Processing, Financial Reporting, Fund accounting
Preparation/review of financial statements/regulatory reports for Hedge funds, long funds and private equity funds as per US GAAPs, IFRS, Lux GAAPs and IRISH GAAPs
Meet SLAs
Good Team Player
Quick learner
Should be willing to work in shifts and flexible work hours as per process requirements
Good communication/Domain skills
Good knowledge of MS Office (MS excel and MS word)

Securities Processing Supervisor Resume Examples & Samples

This position requires an individual with a proven record of delivering analytical insights and MIS
The ability to identify and successfully implement operational changes, risk mitigation strategies
The candidate should have a advanced working knowledge of Advanced Excel, Powerpoint and Microsoft Outlook,
Preferred Basic level understanding of SQL
The ability to make decisions within their realm of responsibility
The ability to prioritize tasks and take prompt action on priority items
The ability to work in a changing environment and demonstrate flexibility
The ability to deputize for more senior colleagues as required
Demonstrates an appreciation of a diverse workforce

Securities Processing Supervisor Resume Examples & Samples

To become a single point of coordination, communication for the GPC EUC team
Should have worked on various technologies like VBA in MS Excel, Macros, MS Access, MS SharePoint, .NET and SQL and develops applications, databases and EUCs
Requirement gathering, analysing the requirement and implementing the solution in the requisite technology depending on the usage structure of the application, database or the EUC
Have knowledge of software development life cycle and testing procedures
The candidate should have a advanced working knowledge of VBA in MS Excel, Macros, MS Access, MS SharePoint, .NET and SQL
BE/BTech/BSc./Bcom with Technical background
7+ years of exp on automation using VBA in MS Excel, Macros, MS Access, MS SharePoint, .NET and SQL
Excellent organisation skills
The ability to prioritise tasks and take prompt action on priority items