Securities Operations Job Description
Securities operations
provides accurate asset pricing of all exchange traded assets & fixed income securities held on multiple Fund Accounting platforms.
Securities Operations Duties & Responsibilities
To write an effective securities operations job description, begin by listing detailed duties, responsibilities and expectations. We have included securities operations job description templates that you can modify and use.
Sample responsibilities for this position include:
Trading desk surveillance
Facilitate communication across multiple areas including the business (trading desks) and clients
Interact with Clients, Sales, Trading and support teams including Client Onboarding
Interact externally with GSCO Institutional clients, DTC brokers, counterparties, custodian banks, and transfer agents
Daily processing functions - trade allocations and generating confirmations to the clients
Experience of working in a client service role is preferable, along with a sound understanding of financial markets and products
The role requires extensive interaction with clients both internally and externally - the ability to maintain and build excellent client relationships is a priority
Ability to use the tools and technology available to improve the workflow, meet internal benchmarks and those set by the client
It is critical to have excellent organisational ability, being able to react to change and deal with issues as and when they arise
Opens, sorts, and routs incoming mail, prepares outgoing mail
Securities Operations Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Securities Operations
List any licenses or certifications required by the position: PMP, FSCM, CPA, II, PRINCE, PMI, MBTA
Education for Securities Operations
Typically a job would require a certain level of education.
Employers hiring for the securities operations job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Finance, Education, Business, Accounting, Economics, Communication, Business/Administration, Financial Services, Management, Associates
Skills for Securities Operations
Desired skills for securities operations include:
Trading
All department automation relevant to the daily valuation
Fund accounting
Portfolio management software
Reporting of funds
Shareholder servicing
Microsoft Office
SOPs/related check points
Trust securities
Mortgage backed securities
Desired experience for securities operations includes:
Assist independent Financial Advisors in all aspects of the financial industry
Writes and enters orders as directed by the Financial Advisors
Acts as liaison between branch/satellite and home office personnel
Trains any additional support staff on daily work assignments
Orders materials/supplies needed for the branch
Partner with all appropriate technology teams to ensure that all technology issues and enhancements are being dealt with in a timely and that all implementations meet the operational requirements
Securities Operations Examples
1
Securities Operations Job Description
Job Description Example
Our company is growing rapidly and is hiring for a securities operations. 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 operations
- Assist in implementation of scalable FATCA Certification Process and Responsible Officer support model for all in-scope GS Legal entities
- Active participation in conference calls with other syndicate banks, legal counsel, clients and other internal stakeholders in the deal process
- Co-ordinate the execution of deals from Deal Pricing to final settlement and closing with all internal teams (settlement plans, flow diagrams, securities application and systems set up, arranging funding and FX trades, credit lines, reconciliation of breaks and daily management of deal monies, documentation of lessons learned and best practices for future transactions, industry market research to support new offerings from an operational perspective)
- Effectively communicate and escalate to senior operations management when required
- Extensive interaction with the syndicate desk and infrastructure teams to ensure implementation of tactical and strategic changes to support the business growth
- Manage your and your team’s daily workflow
- Set your, and your teams priorities, in line with market and internal deadlines
- Respond to varied queries from external and internal business partners
- Provide market/product expertise
- Be responsible for risk management and efficiency of your team
Qualifications for securities operations
- Drive and dedication are critical attributes in any candidate, since deals are often demanding, time pressured, market sensitive and high-profile
- Ideally a minimum of 3-5 years experience in Financial Services
- Experience within Corporate actions and/or Trade or sales support (at desk) would be a benefit
- Solid understanding of cash equity trade lifecycle and post trade knowledge is required (balancing of books, allocations, pre-matching, Settlements, breaks resolution)
- Strong IT skills, including knowledge of Excel/ PowerPoint / Visio would be preferable
- An understanding of ECM products and awareness of deals is a must and direct exposure would be an advantage
2
Securities Operations Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of securities operations. 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 operations
- Perform client due diligence is in line with the “Know Your Customer” concept complying with both the firm wide and local regulations
- Work closely with regional Team Leads to ensure case review targets are on track
- Support of Moscow operations functions, including trade / transaction reporting
- Risk Management-Understand the day to day risk within the team and ensure this is adhered to and managed in a controlled environment
- Research complex corporate action and Income events, maintain high understanding of market nuances and risks
- Systematic client workshops and meetings to enhance relationships and provide excellent client service
- Coordinating syndicate operations activity for the ANZ Equity Capital Markets business
- Providing a control framework to manage the operational risk of the business
- Orchestrating stock and cash movements associated with primary and secondary deal activity
- Providing support and advice to bankers with regards to operational processes impacting deal activity
Qualifications for securities operations
- Managing inventory to maximize settlement rates, increase liquidity and minimize funding costs
- Substantial knowledge of financial markets and products
- Willingness and ability to forge strong relationships with colleagues and clients
- Ability to work in a fast paced environment and
- Accuracy and highest attention to detail
- Knowledge of Russian AML specifics
3
Securities Operations Job Description
Job Description Example
Our company is growing rapidly and is hiring for a securities operations. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for securities operations
- Work with other Operations groups, Corporate Tax , Business and other teams on issue resolutions
- Build SME depth in the Tax processes
- Support / drive process improvements and control enhancements
- Running daily team reports
- Sending adhoc advisements to internal reps
- Researching corporate actions on certificated securities via DTC, Bloomberg & company Investor Relations
- Interacting with and providing support to Bankers to establish recovery of expenses and fees
- Efficiently managing expense balances for your designated industry the region
- Continuous Improvement of expense management processes both tactical and strategic
- Close involvement with technology on the design and testing of system improvements
Qualifications for securities operations
- Ability to ensure that risk issues are escalated and minimised at all times
- Experience in managing & motivating dynamic teams, seeking improvement opportunities on a continued basis
- Compliance awareness in conjunction with knowledge of international regulatory framework in the client onboarding space
- Ability to adapt to change and new challenges, including using best judgment to prioritize work flows
- Degree level education essential
- Minimum 18 months tenure with the firm or equivalent industry experience
4
Securities Operations Job Description
Job Description Example
Our company is growing rapidly and is hiring for a securities operations. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for securities operations
- Monthly management reporting, including preparation and reconciliation of ASX trading and clearing invoices
- Opens, sorts, and routes incoming mail, prepares outgoing mail
- The role reports regionally into the Local ISGPO Risk VP, and functionally into the officer responsible for the Cross Product Risk Management (CPRM) team, based in London
- Requires ability to define and prioritize project activities and follow-up on project progress
- Must have strong flexibility in regard to the duties assigned and problem solving skills, be able to work independently
- Success in this role will be determined by the ability to balance daily workload, the timelines and accuracy of delivery of the above tasks and the ability to provide detailed knowledge of the process and its limitations in a clear and concise manner to the Business Unit and other stakeholders
- Responsible for Aladdin cash reconciliation and publication by the specified deadlines
- Reconcile cash activity, make any adjustments, and process non deriv
- Work on structured and external manager portfolios, process numerous loss adjustments, settle corp
- Work with BRS to develop a better approach to for reconciling accounts/portfolios with one (bank account) to many (portfolio) relationships
Qualifications for securities operations
- Preferred experience with trade allocations, confirmations or settlements
- Effective team player, with the ability to build networks
- Self starter, able to work towards targets with minimal supervision
- Solid understanding of basic capital markets functions
- Commercial awareness, able to understand the impact of the role on client experience and firm profitability
- Ability to drive projects and programmes across the team
5
Securities Operations Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of securities operations. 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 operations
- Allocate mortgage pools, working with the trading desk to optimize inventory, manage stipulations and turn out residual pools within a high volume and time sensitive environment
- Liaise with trading, sales, sales middle office, operations, settlements, and brokers to resolve trade exceptions
- Manage real-time trade booking exceptions internally between the trading desk and sales force, externally on Fixed Income Clearing Corporation’s Real Time Trade Matching System
- Work with several banks to send more detailed MT950 messages to reduce follow up emails and phone calls
- Identify issues with Aladdin cash and work with other teams (Derivatives and Cash Management) to resolve issues in a timely manner
- Create reporting to track open Aladdin cash items and report to management and deliver monthly metrics
- Work on enhancing the corporate action processing in Aladdin to resolve open items more efficiently, be processed automatically at the custodian and in PAM with minimal manual intervention
- Assist with the onboarding of additional territories onto Aladdin and PAM
- Assist with the processing or review of all operational processes including but not limited to cash forecasting, trade processing & settlement, fail trade monitoring, cash and share resolution and reconciliations, bank loans, vertical cash flows, CDS, collateral and state deposit movements, corporate actions, class actions, various general ledger reconciliations, daily and monthend pricing
- Provide operational assistance for strategic projects and initiatives, including but not limited to acquisitions, tax deals, accounting and regulatory changes and new investment products
Qualifications for securities operations
- Highly developed interpersonal skills and confidence
- Registration of securities with the Issuer’s transferring agent/trustee
- Announcing deals street wide and publish an internal calendar of pricings and settlements
- Submitting deal information to regulatory bodies such as CCASS, HKEx, SFC
- Ensuring all client allocations are booked and balanced before settlement date
- Booking of swing trades to facilitate share movements between internal accounts and balancing these accounts to ensure no money or position remain after value date