Securities Processing Supervisor Job Description
Securities processing supervisor
provides guidance to the team members including training of team members on accounting of different Financial instruments and Fund Accounting systems.
Securities Processing Supervisor Duties & Responsibilities
To write an effective securities processing supervisor job description, begin by listing detailed duties, responsibilities and expectations. We have included securities processing supervisor job description templates that you can modify and use.
Sample responsibilities for this position include:
Oversee all physical securities processing
Valuation - take-on of the client transaction and daily valuation across all derivatives (credit, equity and interest rate)
Coordinate AIP transactions between the field and AIP vendors
Monitor all AIP paperwork submissions for timely and accurate completion
Monitor and ensure all inquiries are responded to professionally and on a timely basis
Oversee all departmental daily and quarterly reconciliations
Provide optimal client experience
Interface effectively with Operations and Management Teams, Operations Departments, Wealth Management and the Private Client Group (PCG)
Provide work direction to team associates and coordinate workflow within the department
Assist others by acting as a resource in the areas of training, coaching, and mentoring
Securities Processing Supervisor Qualifications
Qualifications for a job description may include education, certification, and experience.
Education for Securities Processing Supervisor
Typically a job would require a certain level of education.
Employers hiring for the securities processing supervisor job most commonly would prefer for their future employee to have a relevant degree such as University and Bachelor's Degree in Finance, Business, Accounting, Economics, Computer Sciences, Mathematics, Technical, MBA, Graduate, Business Studies
Skills for Securities Processing Supervisor
Desired skills for securities processing supervisor include:
Securities
SOPs/related check points
Risk and controls
Custody and settlement is an advantage
Basic accounting
Capital Markets essential with at least 5 year's experience
Financial instruments and fund accounting terms
Investment Accounting principles
Fixed income & FX products
Global markets and settlement practices
Desired experience for securities processing supervisor includes:
Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems
Update policies and procedures as necessary and draft new policies and procedures as needed
Assist with projects and Operations initiatives
Perform other duties as assigned and assist others when necessary
Experience using Thomson Beta, BRIO and Metaviewer a plus
Familiarity with DTCC, DST and Prodigious a plus
Securities Processing Supervisor Examples
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Securities Processing Supervisor Job Description
Job Description Example
Our growing company is looking for a securities processing supervisor. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for securities processing supervisor
- Self review financial statements both from a numbers perspective and also completed word documents for disclosures, quality and completeness perspective
- Consistency checking of financial statements for large clients throughout the year and relevant audit and interim cycles
- Analysis & raising queries of client accounting records and escalation, where appropriate, of any potential issues identified
- Escalate concerns around anomalies in financial statement numbers which may result in audit findings for clients
- Able to assist in resolution the team queries & act as a reference point for junior team members on technical, accounting and audit related matters
- Liaise with partner sites for external deliveries and communicate status effectively and in a timely manner to local management and partner sites
- Recognise and act on opportunities to improve processes including developing and making recommendations for change and encourage the team to come with ideas for effeciency
- To ensure all the risk and control checks are adhered to for clients in portfolio and follow all required checklists and SOPS, ensure they are up to date post audit cycles
- Liaise with OCM (internal control) team on any issues that arise that need to be reviewed
- Work with associates to ensure regular communication is maintained
Qualifications for securities processing supervisor
- Ability to prioritize and execute duties quickly and accurately within tight timeframes
- Strong initiative and time management skills
- Ability to work well in a fast paced environment and meet critical deadlines
- An effective team player that works well under pressure and interacts appropriately with others
- 3-5 years of related industry experience, preferably with AIP experience
- Operational subject matter expertise critical Reconciliation, Settlements, Trade Support
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Securities Processing Supervisor Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of securities processing supervisor. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for securities processing supervisor
- Working with various internal teams such as trade processing, pre-matching, settlements, cash
- Follow up with different brokers/vendor/client for timely resolution of reconciliation breaks/exception
- Interaction with the client on weekly/fortnightly basis to discuss outstanding items
- Manage and execute complex project and ensure that project deliverables are met with the appropriate due diligence and system integration relating to Fund Accounting Services
- Partnering with a number of groups including the front office, product development, middle office, core operations, technology, finance, across regions
- Provide transparency with the execution of a communication plan on project delivery relating to Timelines, Budget, Tech Readiness & infrastructure
- Drive hard to get consensus (Influencing Skills) - Identify and facilitate issue resolutions and escalate where applicable
- Facilitate with analyzing extant Client System Infrastructure and existing process V/S JPM Platform to determine gaps or opportunities to improve Cost To Serve (CTS)
- Ability to represent team in key senior Project Delivery meetings Produce summary presentations and overview materials for program stakeholders
- Ensure adequate contribution in various Fund Events performed by the team
Qualifications for securities processing supervisor
- You will have 3+ years experience in a Financial Reporting or Audit environment in the Funds industry
- Post graduate/CA/CPA with major in Finance/Accounting will be added value
- You will be able to work within a team and build key internal relationships across locations with partner sites
- You will have very strong attention to detail in review of documents and analytical review capabilities in relation to financial statement numbers & reporting
- You will have knowledge and understanding of all primary GAAPS – Irish/UK, IFRS, US GAAP
- You will posses the ability to work under pressure and to tight deadlines at peak delivery times
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Securities Processing Supervisor Job Description
Job Description Example
Our growing company is hiring for a securities processing supervisor. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for securities processing supervisor
- Ideate and Implement efficiency and/ or controls improvement initiatives
- Receipt and processing of authorised client instructions into unlisted investments in a timely manner
- Receipting and processing of Managed Fund distribution income in a timely manner / credit to the underlying client for good value
- Cash and asset reconciliation including clearance of daily cash and stock discrepancies, daily interest accrual balance reconciliations, monthly Fund Manager reconciliations
- Approve Static data setup and maintenance requests
- All transaction processing into accounting and custody platform
- Ensure asset servicing payments for corporate actions and income are processed on a timely manner
- Inputting and verification of payment transactions
- Accuracy in processing in line with Standard Operating Procedures with zero errors
- Comply with the firm's policies & SOPs in line with audit requirement
Qualifications for securities processing supervisor
- You will be able to implement change, seek efficiencies and manage initiatives along with your daily workload
- You will be risk, control and procedure oriented
- You will have analytical & prioritization skills and be capable of making judgments
- You will have excellent written and verbal communication skills
- You will be result and target oriented, self motivated
- Previous Client Change/Technology Project experience
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Securities Processing Supervisor Job Description
Job Description Example
Our innovative and growing company is hiring for a securities processing supervisor. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for securities processing supervisor
- Assi
- Assist cross functionally with peers when needed in the Corporate Action and
- Sound analytical, logical and problem solving skills
- Flexibility in multi-tasking within and across teams within a challenging deadline and volume driven environment
- Project management experience in planning, executing, and maintaining a project from start to finish
- Assume accountability through willingness to take ownership and responsibility for team performance and goals
Qualifications for securities processing supervisor
- Excellent verbal and written communication skills, and adept at communicating with all levels of the business
- You will have 8+ years’ experience in Financial Services Industry, with preferably 3-5 years in Depository Services / Fund Accounting / Financial Reporting / Performance & Analytics
- Ability to communicate effectively both verbally and written within the team and across Internal and External teams
- Strong team player with solid and effective interpersonal skills
- Self-starter with ability to work and prioritize on own initiative and to grasp new concepts quickly
- Proactive in identifying and escalation of potential areas of risk with view to minimization of key risk areas
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Securities Processing Supervisor Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of securities processing supervisor. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for securities processing supervisor
- CIB experience preferred
- Experience of Alteryx, Tableau or Xceptor preferred
- Good understanding of Fund Account Product knowledge
- Good balance between Program Management
- Candidates with prior experience for implementing projects leveraging Robotics and Block chain technology are preferred
- Self-driven - Motivated and able to deliver with minimal supervision under tight timelines
Qualifications for securities processing supervisor
- Ability to embrace change and foster environment of continuous improvement to attain greater efficiencies and increases automation of processes
- Has proven motivation and team building skills
- 5+ years of people management expertise
- Self motivated, innovative, methodical and analytical
- Flexible approach to hours and task allocation
- Business Analyst with Bachelor’s degree or equivalent work experience required