Capital Markets Operations Resume Samples
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Capital Markets Operations Resume Samples
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JC
J Christiansen
Jayme
Christiansen
54401 Cicero Bridge
Boston
MA
+1 (555) 538 6806
54401 Cicero Bridge
Boston
MA
Phone
p
+1 (555) 538 6806
Experience
Experience
New York, NY
Capital Markets Operations
New York, NY
Lynch Inc
New York, NY
Capital Markets Operations
- Identify service gaps provided to client groups and makes suggestions to management for improvement
- Provide high quality reports to Front Office, Product Control and Management
- Effectively manage the implementation of new products, processes and systems to improve the efficiency of the operation
- Demonstrates flexibility to assume project work outside of the general reconciliation process as determined by management
- Escalate any unresolved issues or challenges to Management as soon as possible
- Develops a good knowledge of products supported by FX&MM and the various types of settlements, as well as their system bookings to ensure accuracy
- Develop a very good knowledge of products supported by FX to ensure accuracy of confirmation documents
Dallas, TX
RBC Capital Markets Operations
Dallas, TX
Hettinger-Cummings
Dallas, TX
RBC Capital Markets Operations
- Responsible for the reconciliations of designated processes under prescribed guidelines, ensuring departmental goals are met; applies solid knowledge of the Product Operations, its procedures, methods and systems to the reconciliations process
- Ensures daily/monthly data feeds are received on time, with proper follow up conducted for missing information
- Applies knowledge of the product supported and it’s processes, such as, payment methods, terms and conditions, general operating policies, rules and regulations used by correspondents, clients and their agents in the day to day reconciling of accounts
- Recognize that accuracy is key to ensure true breaks are identified and investigated accordingly
- Identify and initiate investigation cases on items that represent a potential loss to the Bank Display a strong commitment to teamwork; open two-way communication and good staff morale
- Seek opportunities to share information with colleagues
- Identify departmental system or process changes to streamline and/or improve the reconciliation process and efficiency (matching rules, automating processes)
present
Philadelphia, PA
Capital Markets Operations Specialist
Philadelphia, PA
McDermott, McClure and Lynch
present
Philadelphia, PA
Capital Markets Operations Specialist
present
- Works under limited direction to complete daily work within specified time parameters
- This person will assist the Manager in recruiting, organizing and training the rest of the Service Delivery team
- Communicate with international banks via multiple channels including the SWIFT network
- Use of document management software (FORTIS)
- Execute various initiatives and projects as assigned
- Use of document management software (FORTIS/iMagio)
- Calculating, confirming and performing settlements, fee payments or other charges
Education
Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
University of Kentucky
Bachelor’s Degree in Accuracy
Skills
Skills
- Ability to learn quickly
- High level of adaptability in a fast-paced dynamic team environment
- Intermediate to Advanced Excel Skills (Pivot Tables and Macros)
- Ability to deal with problems as they arise in a dynamic environment
- Sound knowledge of trading practices/terminology and derivatives products
- Solid/proven academic performance
- Flexible attitude and strong work ethic
- Strong analytical, problem-solving, interpersonal and communication skills
- Knowledge of derivative products is a definite asset
- Demonstrated interest in the financial services industry
6 Capital Markets Operations resume templates
Read our complete resume writing guides
1
Capital Markets Operations Specialist Resume Examples & Samples
- Process and settle financial transactions utilizing various reporting tools
- Maintaining and updating sensitive client data
- Settlement/monitoring of the trade entry system to prepare for End of Day Processing
- Other FX operational duties as assigned by management
2
Capital Markets Operations Specialist Resume Examples & Samples
- Use of document management software (FORTIS)
- Break out of assets on escrow related transactions
- Input asset location changes to InfoLease
- Teaming with offshore partners to assist in contract booking
3
RBC Capital Markets Operations Resume Examples & Samples
- Must have a thorough knowledge of the RIMMS/IMATCH/3rd party systems and the various screens/reports/process involved in confirmations and settlement
- Thorough knowledge of the RIMMS/FT interface and of all currencies payment lead-time
- Good understanding of RATS and The Funds Transfer (BESS) system
4
RBC Capital Markets Operations Resume Examples & Samples
- Responsible for the reconciliations of designated processes under prescribed guidelines, ensuring departmental goals are met; applies solid knowledge of the Product Operations, its procedures, methods and systems to the reconciliations process
- Ensures daily/monthly data feeds are received on time, with proper follow up conducted for missing information
- Applies knowledge of the product supported and it’s processes, such as, payment methods, terms and conditions, general operating policies, rules and regulations used by correspondents, clients and their agents in the day to day reconciling of accounts
- Recognize that accuracy is key to ensure true breaks are identified and investigated accordingly
- Support the process of creating, updating and maintaining desk procedures and demonstrate strong ability to understand and apply those procedures
- Strict adherence to policies and regulatory requirements is observed
- Display good judgment, decision-making skills and demonstrates a strong knowledge of the products, transactional flows and accounting related to the Client Groups supported
- Identify and initiate investigation cases on items that represent a potential loss to the Bank Display a strong commitment to teamwork; open two-way communication and good staff morale
- Seek opportunities to share information with colleagues
- Identify departmental system or process changes to streamline and/or improve the reconciliation process and efficiency (matching rules, automating processes)
- Identify service gaps provided to client groups and makes suggestions to management for improvement
- Responsible for personal development and cross-training coordination; participation as identified through ongoing business and/or department needs analysis
- Proven capability of supporting the reconciliation within the team’s scope including all month end and stand alone processes
- Demonstrates flexibility to assume project work outside of the general reconciliation process as determined by management
- Assist with sorting mail, faxes, email and swift message queues
5
Capital Markets Operations Specialist Resume Examples & Samples
- Process transactions as specifically required by job function
- Works under limited direction to complete daily work within specified time parameters
- Interacts with clients, LOB teammates and co-workers to process requests and resolve issues
- Ensure procedures and controls are being followed and maintained
6
RBC Capital Markets Operations Resume Examples & Samples
- Solid/proven academic performance
- Exceptional communication & interpersonal skills
- A self-starter with high energy, initiative & self motivation
- Ability to deal with problems as they arise in a dynamic environment
- Demonstrated interest in the financial services industry
- Flexible attitude and strong work ethic
- Knowledge of derivative products is a definite asset
7
Capital Markets Operations Specialist Resume Examples & Samples
- Timely and accurate processing of Fixed Income securities set-up and maintenance; routine updates to rates, factors and call schedules on the Broadridge / Impact platform for Capital Markets trading and the SunGard / InTrader platform for Client Custody/Safekeeping
- Reference Bloomberg for security data
- Timely research and resolution of trade exceptions on Impact, MBSE, Inforalgo and InTrader platforms
- Support security pricing routines
- Maintain compliance with MSRB reporting
- Support the testing and implementation of new systems releases
- Exercise risk mitigation practices to avoid client Near Misses and client Impact issues
- Stay current with policy and procedures
- Execute various initiatives and projects as assigned
- Complete SunTrust training/compliance programs timely
8
RBC Capital Markets Operations Resume Examples & Samples
- Achievement Motivation
- Calm and logical approach to all situations
- Teamwork and Co-Operation
- Good interpersonal skills, tact and diplomacy
- Solid knowledge of Reconciliation Procedures
- Solid knowledge of key reconciliation systems and Back-Office systems e.g.IntelliTRACS, IntelliMatch
- Computer literacy – ie. Knowledge of PC’s and Microsoft Access / Excel / Macros – related software
- Ability to embrace organizational change at an individual and team level
- Demonstrate flexibility to cross train
- Shift work may be required*
- Flexible to work occasional Statutory Holidays*
- Flexible to work overtime as required
- Hires will be required to work shift hours. Due to the global nature of the business the start time, end time and overall working hours may change which may mean working non-standard hours
9
Capital Markets Operations Specialist Resume Examples & Samples
- Review system calculation of bond income payments for accuracy, then post to client's safekeeping account
- Interact with clients, sales/traders and STI's business partners to process requests and resolve issues
- Exercise knowledge of account reconcilement policies and controls by researching and clearing exceptions to prevent aging
- Ensure accurate metric reporting
10
RBC Capital Markets Operations Resume Examples & Samples
- Prioritize the tasks below to meet department deadlines
- Identify, report and resolve trade, position and cash reconciliation breaks between Front Office and Back Office systems
- Perform trade affirmation with internal counterparties to ensure payments are settled as scheduled to minimize risk
- Create settlement journals and wires for all confirmed transactions
- Upload trades, business events and accounting entries into systems promptly and accurately
- Provide high quality reports to Front Office, Product Control and Management
- Prompt and professional response to email messages and phone enquiries from various internal business partners
- Participate in project planning and testing activities for system enhancements and implementations
- Escalate any unresolved issues or challenges to Management as soon as possible
- Identify potential areas for improved processing and automation wherever possible
- Maintain up-to-date and accurate procedure documentation to ensure consistent service
- Minimum 3 years relevant experience with Operations functions performed at a financial institution
- Proficient in financial products including: Equity Linked Notes, Equity, Equity Swaps, Equity Options, Equity Futures/Forwards and Bonds
- Advanced VBA / Macro skills
11
RBC Capital Markets Operations Resume Examples & Samples
- Work closely with Senior Analyst to enable successful execution of Fixed Income Derivative projects
- Develop and execute test plans including coordinating system and acceptance testing
- Help prepare appropriate documentation and ensure adequate end user training
- Effectively communicate and build rapport with technical teams, Operations, stakeholders and business partners
- Assist with the undertaking of preliminary analysis and requirement documentation for Fixed Income Derivative projects
- Ensures the effective execution of analysis by team to deliver productivity/quality improvements positively impacting the bottom line and client satisfaction
- Develops tools and management processes to assist process owners to implement improvement opportunities and to manage their business on-going
- Continually enhances skills and build knowledge in all aspects of the organization, the business and information systems
- Ensures successful completion of project objectives within budget and on time
- Experience across a minimum of two – three RBFG businesses and/or post graduate degree in related disciplines
- Experience working with Financial products or solid financial understanding
- Considerable knowledge of Fixed Income Derivatives structure, business and operations
- Previous experience in a variety of Operation or Technology positions
12
RBC Capital Markets Operations Resume Examples & Samples
- Process payments and accounting entries for Single & Cross Currency interest rate swaps, caps, floors, swaptions, FRAs, bond options and cash tickets in an accurate and timely manner. Resolve any problems that may arise from daily operations. Liaise with clients/ Front Office to ensure that settlements are properly executed
- Incumbent is responsible for confirming all upfront and end exchanges for Cross Currency trades which are CAD vs USD or CAD vs foreign currency. (shared responsibility with CAD officer)
- Confirm and route payments and receipts using IRIS settlement system to verification officers’ basket
- Prepare payments using different payment devices: IRIS; SWIFT, Debit/Credit advice, etc
- Perform independent confirmations with counterparties on any buyouts/upfront/end exchange settlements resulted from existing and new deals booking, such as Cross Currency Swaps (if applicable), options premiums, principal exchanges, and swap upfront fees promptly and accurately prior to making payments & accounting entries
- Resolve any problems that may arise from daily operations. Liaise with clients to ensure that settlements are properly executed
- Maintain and update list of netting clients for future settlements
- Daily review of pay/receipt report for 5 days in advance (prior to settlement date), check Infinity Reports and compare to IRIS to accurately route payment and receipt wires to Settlement Verification Officer for review. Ensure that nothing remains in IRIS system except trades with a special exception: waiting for rate reset, structured deals, and trades with outstanding confirmations
- Maintain updated settlement instructions in Infinity Customer database. Upon receipt of advice from counterparty, update CIF and ensure that correct settlement instructions are used in making payments. If instructions exist, advise Trade Verification Officer to re-assign correct SSIs
- Process third party payment authorization requirements (per standing orders) before the release of payments
- Do manual index into workflow for all manual payments with the exception of custom deals and premiums on Bond Options
- Timely processing of payments for special handling clients. Ensure payments are sent through IRIS the night before value date; send email to Cash Management .Also ensure proper formatting on wire, i.e. /PRIORITY/. (Please refer to Desk Manual for specifics on Special Handling clients)
- Investigate and resolve all settlement problems and phone confirmation discrepancies (with counterparties or with the Investigation Department) same day if possible. Advise Assistant Manager of settlement problems which are not resolved same day
- Involved as a departmental troubleshooter to ensure smooth operational functioning, and to foresee potential deficiencies
- Assist management in attaining the department’s goals by completing assigned duties, identifying and actively pursuing methods to increase efficiencies in the settlement area
- Maintain good understanding of the various mainframe systems such as IRIS, RIMMS, Nostro, SWIFT/FPAY & Infinity and how they interact with the operation of the desk in order to perform the job functions more efficiently and effectively
- Ensure compliance with mandated Unit Financial Controls/SOX Controls and RBC “Standing Orders” Policy requirements
- Update the EUC Change Log for any changes made to the identified EUC spreadsheets (if applicable) in accordance to the EUC Policy guidelines
- Look into and work to clear any payment related investigation brought to your attention by the NOSTRO operations group. Minimize interest claims by providing quick response to payment investigations
- Provide proper training to Relief Officer and maintain up to date and accurate procedures for the desk as guidelines for back-up. Provide relief/assistance on other positions within the department as required. Cross-train on various desks within FIDO Trade Processing group for future ease of sharing or redistribution of Desk functions
13
RBC Capital Markets Operations Resume Examples & Samples
- Ensure that all trades are input correctly by London Traders in Infinity and Swapswire systems, and that trades are properly assigned back office flags for confirmation, rate reset, and payment processing if applicable
- Ensure that all late deals from previous day are verified and booked
- Ensure the accuracy and authorize all rates that are input into the Infinity sytem
- Run Toronto and London Swapswire Imatch reports daily and ensure that all outstanding discrepancies are either manually matched or in the case of a system problem brought to the attention of Imatch support so they can write a fix
- Reconcile the internal trades between Infinity Toronto and London systems on daily basis using the “IMATCH” Reconciliation tool. Identify and report discrepancies as assigned
- Ensure the accuracy and update the Principal FX Mark to Market deals provided by Rate Setting Officer
- Run and distribute all morning and end-of-day reports (Daily Trade Reports and Pending Deals etc.)
- Verify all broker confirmations for accuracy to trade input on Infinity throughout the day and investigate with appropriate individuals for correction as assigned
- Continue to reinforce Traders’ cut-off time in inputting deals into the Infinity system, to ensure the timeliness of end-of-day closing procedures
- Advise FIDO Confirmation Group to open new counterparties on the Infinity Database for new trade booking
- Advise FIDO Brokerage Reconciliation Team to setup new Broker Codes in the Infinity Database for new trade booking
- Advise Toronto and London back office regarding fees, premiums, buyouts and upfront exchanges in order that payments can be executed on time
- Develop solid understanding of derivative products and operational controls in deal processing, and proactively identify procedures and system enhancements to increase productivity and efficiency
- Provide proper training to Relief Officer and maintain up to date and accurate procedures for the desk as guidelines for back up
14
Capital Markets Operations Specialist Resume Examples & Samples
- High School Diploma; prefer some college
- 2-4 years of investment brokerage industry experience
- Series 7 and 63 preferred
- Has an understanding of Fidessa Trading System as well as Thomson/Beta systems
- Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, and other standard office procedures and terminology; strong and demonstrated Microsoft Office skills
15
Capital Markets Operations Resume Examples & Samples
- Ensures that quality service is provided and that the Bank is represented in a professional manner at all times
- Protect the Banks integrity and reduce risk of loss by ensuring that all FX Derivative transactions completed are valid deals and correct with respect to financial details, settlement instructions and all other relevant binding details; promptly notifying traders and management of missing or erroneous trades
- Prepares the daily settlements for the various products supported by FX Derivative for dispatch to the Senior Officer or Manager within settlement lead-times
- Responds immediately and courteously to all settlement queries, whether to internal or external counterparties, by providing accurate information at all times
- Maintains client settlement instructions on file and ensures that instructions are updated on RIMMS at the time of receipt
- Accurately and promptly reviews and processes the daily settlements for FX Derivative transactions. Outstanding items are investigated and promptly resolved with NOSTRO, the Confirmation Officers, Management and the Front Office
- Ensures daily and monthly processing requirements, as detailed in departmental procedures and Standing Orders S08.08.01 and S08.08.04, are strictly observed
- Responsible for ensuring that adequate control are in place over the processing functions
- Prompt escalation to the Senior Officer and Manager is expected if the incumbent is unable to resolve settlement or reconciliation discrepancies effectively
- Develops a good knowledge of products supported by FX&MM and the various types of settlements, as well as their system bookings to ensure accuracy
- The incumbent will develop and maintain a good knowledge of payment instruction setups, settlement lead-times and functions related to the processing of FX & MM transactions in RIMMS
- Maintain Static Data updates in RIMMS in a timely manner
- Ensure that month end binders for the reconciliation of FX and MM accounts are prepared with supporting documentations and ensure GL’s accurately reflect FX, MM and FX option businesses
- Reviews exception reports for Rightfax on a daily basis and investigates any discrepancies
- Reviews Auditor confirmation requests. Distributes the requests to other groups and completes the information as required promptly within one week of receipt and maintains proper files of responses returned
- Participates in identifying operational issues relating to confirmations and settlements when new products are introduced
- Proactively identifies opportunities to further streamline processes and improve productivity. Actively escalates and follows-up system issues affecting the confirmation process. Participates in user acceptance testing for systems upgrades, database conversions and introduction of new systems
- Responsible for maintaining product and operational procedures documents on an ongoing basis
- Provides back-up support for FX Derivative team during vacations and absences
- Cross-train on other desks within the department to provide relief during absences and high volume periods
- Very good familiarity with the various processes involved in confirmations & settlements as well as the support systems such as Murex, Atlas, RATS, RIMMS, PeopleSoft, Workflow, iMatch, TDS, Alert and Global Book
- Strong knowledge of ISDA documentation definitions
- Excellent knowledge of the settlement lead times requirements for all currencies traded
- Very good understanding of processing entries and settlement instructions
- Very good understanding of the complexity of currency derivatives
- Very good knowledge of FX Products in general, standard market practices and trading terminology
- Good MS Word and Excel skills
16
Capital Markets Operations Resume Examples & Samples
- Verify and approve Service Providers’ files uploaded from share drive into Mortgage system for cash funding, settlements and general ledger posting
- Reconcile General Ledger position balances to internal source system and external Servicer Providers’ reports. Investigate and resolve any discrepancies in a timely manner
- Review unmatched report to ensure all discrepancies for positions/balances in various processing systems are investigated promptly with proper resolution
- Ensure monthly and quarterly Mortgages reporting are completed and submitted to responsible party within the required deadline
- Prepare accounting entries for all business groups supported by the team as needed
- Complete the monthly GL accounts attestation within the established deadline for transits supported by the team
17
Capital Markets Operations Resume Examples & Samples
- On a daily basis, prepare daily cash payments/receipts (wire transfers, G/L entries in an accurate manner
- Prepare weekly/monthly G/L account reconciliations, investigate and resolve breaks on a timely basis
- Maintain good communication with team and advice/escalate issues to Sr. Officer & Associate Director on a timely basis
- Ensure all transits are funded for on a daily basis by the daily cut‐off times as needed. Ensure no breaks are left overnight between the GL and the funding sheet
- Create funding sheets as required for new transits. Maintain data completeness and accuracy in funding sheets. Provide accurate explanations of all over/under funding instances
- Ensure daily and monthly processing procedures, as detailed in UFC’s and Standing Orders are strictly observed
- Ensure that quality service is provided and that the Bank is represented in a professional manner at all times
- Develop an in‐depth understanding of the settlement requirements surrounding Commodityproducts and the systems used to manage the settlement process (Openlink, RIMMS, eGL, GL Requestor, StorQM, R&N, Workflow etc)
- Acquire a solid understanding of the business and how it is recorded on Openlink so as to coordinate with system’s support in the set‐up of new contracts, counterparties, trade areas and the related account mapping
- Ensure procedure documentation is kept up to date for daily functions
- Cross‐train and act as back up for other members of Settlements team (including vacation coverage)
- Pro‐actively identify opportunities to further streamline processes and improve productivity
18
Capital Markets Operations Specialist Resume Examples & Samples
- Use of document management software (FORTIS/iMagio)
- Break out of assets on escrow related transactions, Renewals, Contract Maintenance, Depositions and Contract Payments
- Teaming with offshore partners
- Accounts Receivable/Accounts Payable – Syndicated Transactions
19
RBC Capital Markets Operations Resume Examples & Samples
- Bachelor’s Degree or equivalent (BBA / BComm / BMath / BSc)
- High degree of accuracy
- Strong analytical, problem-solving, interpersonal and communication skills
- High level of adaptability in a fast-paced dynamic team environment
- Ambitious, results-driven achiever. Decisive problem-solver
- Conceptual / Strategic thinker willing to challenge organizational paradigms
- Sound knowledge of trading practices/terminology and derivatives products
20
Capital Markets Operations Resume Examples & Samples
- Ensure that quality service is provided and represent the Bank in a professional at all times
- Ensures all controls are in place to support Operational and Risk Standing Order, policy # S12.02.05 (trade confirmation) and #12.03.01 (payments and settlements) and all other Standing Orders pertaining to RBC Capital Markets Operations
- Adhere to all controls that are in place to support Unit Financial Control, re-evaluating on an ongoing basis
- The Officer will ensure that all deals transacted daily are same-day confirmed and at the latest next day confirmed. At least one call must be placed with every client the day of the trade. Transactions must be prioritized by settlement date and deadlines to ensure legitimacy. Clients are contacted by SWIFT, telephone, fax, and email
- Maturing Forwards coming due for settlement are to be confirmed and payment set according to the clients’ instructions
- Follow-up of all transactions put-through and any discrepancies are escalated to the trader to ensure verification and to reduce the risk of losses
- Settlement instructions must be confirmed with total accuracy to ensure that all payments and receipts are effected with minimal loss to the bank
- RIMMS, IMATCH, and 3rd party system queues are checked periodically throughout the day to ensure all transactions with priority settlement dates are confirmed and verified to enable release of payments. Non-priority transactions outstanding by end of day are processed to the “put-through” queue
- Key verification function on RIMMS must be performed using the same details provided while confirming. This function must be performed with total accuracy, as payments and financial information are released from RIMMS once key verified
- Where provided, all standard settlement instructions are captured/updated on customer records on RIMMS
- Ensure Treasury Senior Management in compliance with Standing Order #12.03.01 must properly authorize all third party payments
- Obtain and maintain the clients’ Authorized Signatures Lists on an ongoing basis and ensure that the confirmations signed by the counterparties are in fact signed by the authorized representatives. (Any deviation to be agreed with the Division Head)
- Develop a very good knowledge of products supported by FX to ensure accuracy of confirmation documents
- Participate in identifying operational issues, relating to confirmations, when new products are introduced
- Proactively identify opportunities to further streamline processes and improve productivity. Actively escalate and follow-up system issues affecting the confirmation process. Participate in user acceptance testing for systems upgrades, database conversions and introduction of new systems
- Effectively manage the implementation of new products, processes and systems to improve the efficiency of the operation
- Through a process of continuous improvement, constantly review procedures and practices to ensure that they remain appropriate, eliminating redundant activities, introducing improved procedures, including recommendations for system enhancements/ modifications, productivity and reporting
21
RBC Capital Markets Operations Resume Examples & Samples
- Process payments and accounting entries for USD/Cross Currency interest rate swaps, interest rate swaps, caps, floors, swaptions, FRAs, bond options and cash tickets in an accurate and timely manner. Resolve any problems that may arise from daily operations. Liaise with clients/ Front Office to ensure that settlements are properly executed
- Daily review and processing of settlements in books VATCORP and CRT_CREDIT (for CDS trades) in London rates infinity using IRIS standalone
- Timely processing of payments for special handling clients. Ensure payments are sent through IRIS the night before value date; send email to Cash Management advising prompt release is required before 9AM on value date. Also ensure proper formatting on wire, i.e. /PRIORITY/. (Please refer to Desk Manual for specifics on Special Handling clients)
- Investigate and resolve all settlement problems and phone confirmation discrepancies (with counterparties or with the Investigation Department) same day if possible. Advise Associate Director of settlement problems which are not resolved same day
- Look into and work to clear any payment related investigation brought to your attention by the NOSTRO group. Minimize interest claims by providing quick response to payment investigations
- Assist with developing test cases for IRIS UAT, clean up of SSIs, and UAT testing of IRIS
- Provide proper training to Relief Officer and maintain up to date and accurate procedures for the desk as guidelines for back-up. Provide relief/assistance on other positions within the department as required. Cross-train on various desks within FIDO Trade Processing Payment group for future ease of sharing or redistribution of Desk functions
22
Citi Private Bank Capital Markets Operations Specialist Resume Examples & Samples
- Daily settlements and timely execution of Treasury transactions resulting from OTC derivatives options, forwards, swaps, structured products, premium instruments, etc
- Preparation and processing of electronic and manual payments using various banking systems
- Daily reconciliation and matching all Treasury settlements, follow-up on outstanding items
- Monitoring and managing of pending/future dated transactions, day end checks, volume updates and defects reporting, ensuring the continued accurate & timely operational support to the key business area
- Transaction reporting related to Dodd-Frank, EMIR and Volcker regulations
- Ensuring all outstanding transactions are explained and corrected on a timely manner
- Performing root-cause analysis of common discrepancies
- System parameters maintenance. Updating various system tools
- Participation in system tests and projects; preparation and review documentation and test scripts; verification of results. Representing Operations in cross-department tests and projects
- Knowledge and good understanding of various instruments of the capital markets, especially derivative instruments
- Well-organized, working to tight deadlines
- Sense for independent work and good team player
- Reliable
- A flexible approach and 'can do’ attitude
23
Senior Analyst, Capital Markets Operations Resume Examples & Samples
- Management within Global Operations
- Management in Credit Risk, Market Risk and Businesses
- Senior level staff in Technology Infrastructure and Solutions
- External Vendors
- As an employee worker of CIBC, the individual must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls
24
Capital Markets Operations Specialist Resume Examples & Samples
- Knowledge or experience in accounting for syndicated loans and applicable accounting issues preferred
- Ability to extract and apply principles from legal documentation
- Capable of identifying potential issues and risks and formulate mitigating solutions
- Extremely detailed oriented with a proven track record for accuracy
- Comfortable interacting with various stakeholders including Clients, senior management and outside counsel
- Team-oriented work ethic that includes willingness to help others
- Highly proficient in Microsoft Excel – knowledge of formulae a must (e.g. “vlookup”)
- Proficient in Microsoft Outlook, Word; experience with Loan IQ a plus P
- Prior experience with creating reports and/or queries for management or financial reporting preferred
25
Capital Markets Operations Professional Resume Examples & Samples
- Minimum 2-3 years of P&L reconciliations and product control experience
- Strong Rates Derivative products knowledge
- Good understanding of financial products and pricing
- Strong technical skills required as described above including MS Excel at the intermediate level
- Knowledge of Bloomberg and VBA a plus
26
BB&T Securities Capital Markets Operations Analyst Resume Examples & Samples
- Assist with establishing, testing and maintaining written processes and procedures for front and middle office operations
- Work with Operational Risk Manager to document and complete testing of key controls and report results for first line of defense monitoring programs
- Monitor indicators to ensure key controls are operating effectively and report results
- Facilitate and coordinate quarterly access reviews in accordance with Corporate Information Security policies
- Provide trade support to Equity CM Sales, Trading and Origination team including but not limited to addressing any trade related issues and providing customized reporting as needed
- Assist with the daily reconciliation of positions
- Liaise with BB&T Securities Operations, Accounts payable, Compliance and Risk Management departments as needed
- Bachelor’s degree or comparable education and related training
- Proven ability to work independently
- Ability to deal in a highly stressful work environment with complex situations requiring sound judgment and strong decision making
- General knowledge of the Capital Markets industry
- Excellent knowledge of Microsoft Office Suite
- Previous experience in Equity Sales & Trading
27
Capital Markets Operations Lead Resume Examples & Samples
- The will be responsible for end-to-end management of data collation, loading and quality checks, reporting and analysis and product delivery for a set of clients. Also, the person would have primary responsibility for client interactions associated with delivery of the products for those clients
- Overall 6 to 8 years work experience, including at least 2-3 years’ experience of independently managing small teams
- Experience of working in newly setup teams and managing knowledge transfer/ process migration
- Prior understanding of Real Estate data such as Property Valuation, Tenancy details, corporate actions etc. and exposure to professional real estate management is preferred
- Strong process management skills and experience on process improvement projects
- Highly proficient in MS Excel skills (required) and working knowledge of SQL skills (desirable)
- Strong sense of ownership and an execution driven culture
- Self-starter who is action and results orientated
- Ability to articulate the substantive issues clearly and concisely to peers, senior management and clients
- Superior organizational, time management and team work skills
28
Capital Markets Operations Resume Examples & Samples
- Develop and sponsor key process improvements designed to enhance the customer experience and mitigate impact to both customers and associates
- Create tools, training and communications strategies when product and/or system changes occur
- Prepare and implement plans/processes to respond to issues which negatively impact customers and associates
- Partner with all lines of business to identify and improve service quality levels
29
Capital Markets Operations Specialist Resume Examples & Samples
- Initially, the role will closely support the UK and Ireland markets and would involve travelling to London with senior team members for training and handover
- The role would involve working in the UK / Central European timings to achieve close integration and coordination with the UK teams
- Ability and willingness to ‘get hands dirty’ in the ground level processes
- Strong analytical skills and ability to conceptualize and think creatively
- Capable of contributing effectively in projects regardless of functional, geographic, and business lines
30
Capital Markets Operations Specialist Resume Examples & Samples
- Functions independently as a technical expert
- Fully knowledgeable of products and business
- Typically has at three to five years experience in assigned product/functional area and five to ten years overall experience
- Ability to extract and apply principals from legal documentation
- Capable of identifying potential issues and risks and formulate mitigations solutions
- Extremely detailed oriented with proven track record of accuracy
- Comfortable interacting with various stakeholders including clients, senior management, and outside counsel
- Highly proficient in Microsoft Excel- knowledge of formulate a must(e.g. "vlookup")
- Proficient in Outlook and word, experience with Loan IQ a huge plus
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Capital Markets Operations Analyst Resume Examples & Samples
- Operate financial models in Excel and provide in‐depth property analysis utilizing financial statements, rent rolls and other industry reports
- Write compelling property marketing materials and client presentations
- Participate in pitching and executing multifamily brokerage assignments
- Work in support of investment sales professionals
- Track new development and noteworthy submarket news; disseminate information to teammates
- Develop property insights and key selling points based on property and neighborhood tours
- Analyze real estate trends and draw conclusions from aggregator research
- Bachelor’s degree in Finance, Real Estate, Management or related field of study preferred
- Intermediate to advanced skills with Microsoft Office Suite including Excel, Word, and PowerPoint
- Strong analytical skills and close attentionto detail
- Ability to work with large complexdata sets
- Highly organized work practicesand effective time management skills
- Ability to balance multiple projects and to anticipate critical path requirements in order to meet client deadlines
- Willingness to work hard in a transaction‐oriented environment and to take ownership of project outcomes
- Interpersonal skills that includethe ability to influence teammates and clients
- Highly‐developed verbal and written communication skills– ability to interact effectively and professionally with a wide variety of internal and external parties
- Demonstrated interest or experience in real estate
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Capital Markets Operations Professional Resume Examples & Samples
- Maintain production of daily flash and official P/L reports for GMDA Securities and Investment Department. Analysis of PL breaks between GL and sub-ledger
- Coordinate with Front Office, Back Office, Head Office. Comptrollers, IT and Auditors to provide information on PL and market data
- Possess advanced technical proficiency in Microsoft Office including Word, Excel: Pivot tables, V-Look ups, Macros, VBA, MS Access required to support reporting functions and requirements for P/L reconciliation and variance analysis
- Involvement in projects under development
- Responsible for review and distribute daily, month-end, quarter-end and term-end reports for accuracy and completeness
- Responsible for Genesis market data process, back up Wall Street process and OA process
- Back up the Mario risk system position/PL files import and PL adjustment process
- Prepare and maintain the daily Executive Summary package and monitor banking/trading loss limits
- Create daily reports, month-end Balance Sheet report, quarterly verification of funding swaps and term-end Balance Sheet report
- 3 years of related experience (P/L)
- Strong fixed income product knowledge
- MS Excel/VBA. Knowledge of Bloomberg and VBA
- Two years of experience in trading/ finance industry
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Capital Markets Operations Manager Resume Examples & Samples
- Large vertical or specialty group
- Business function group within Capital Markets
- Creates and manages comprehensive business decision tools, marketing/communication plans and processes for platform leadership
- Acts as project lead, including supervisory and/or managerial activities, in the coordination of the analyst team to successfully complete specified projects
- Manages presentation and proposal processes from inception to completion; prepares complex presentations and proposals for new business development; provides recommendations with a focus that materials meet branding and messaging standards
- Gathers, reviews and evaluates collected data results for accuracy and comprehensiveness; makes appropriate recommendation(s) for improvement
- Reviews internal/external collateral materials, proofreads content, ensures appropriate branding; approves materials for distribution (i.e. marketing and creative output for projects)
- Partners with business leaders, support organizations and outsourcing partners to drive results which support business objectives: process simplification, cost efficiencies and consistent service delivery; may manage the relationship with business partners and/or contract with vendors/suppliers
- Manages one or all of the following processes: marketing, budgeting, forecasting, strategic planning and management reporting, consolidated financial reporting, etc
- Reports project status updates, performance and escalated issues to senior leadership management and other key project stakeholders
- Acts as a Subject Matter Expert (SME) for key systems/processes in subject teams and day-to-day functions
- Bachelor’s degree from a four-year college or university and a minimum of 5 years related experience
- Strong Project Management skills preferred
- Background in Finance, Accounting, Research or Marketing preferred. Knowledge of Capital Markets industry preferred
- Ability to comprehend, analyze, and interpret complex business documents
- Ability to respond effectively to sensitive issues
- Ability to write reports, manuals, speeches and articles using distinctive style
- Ability to make effective and persuasive presentations on complex topics to employees, clients and/or public groups
- Ability to motivate and negotiate effectively with key employees and client groups to take desired action
- Ability to solve advanced problems and deal with a variety of options in complex situations
- Requires expert level analytical and quantitative skills with proven experience in developing strategic solutions for a growing matrix-based multi-industry sales environment
- Draws upon the analysis of others and makes recommendations of significance to the operation
- Proficient in Microsoft Suite Products including: Word, Excel, Power Point and Outlook
- Knowledge of Adobe Systems Adobe Photoshop software, HTML and/or web application software programs preferred
- Prior experience in commercial real estate marketing preferred
- Decisions made with thorough understanding of procedures, company policies, and business practices to achieve general results and deadlines
- Responsible for setting work unit and/or project deadlines
- Errors in judgment may cause short-term impact to department
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Capital Markets Operations Specialist Resume Examples & Samples
- Associate Degree or equivalent additional work experience and education combination
- 5-7 years of investment brokerage industry experience
- Series 7 and 63 highly preferred
- Has a strong understanding of Fidessa Trading System as well as Thomson/Beta systems
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Capital Markets Operations Analyst Resume Examples & Samples
- Bachelor's degree (BA/BS) from a four-year college or university in a business related field plus a minimum of four years related experience. Preferred candidate will have exceptional academic credentials. Preferred candidate will have 0-2 years of work experience in Finance or Commercial Real Estate
- Excellent written and verbal communication skills. Strong organizational and analytical skills. Ability to provide efficient, timely, reliable and courteous service to customers. Ability to effectively present information in written and verbal form to subordinates, customers and supervisors
- Requires strong knowledge of financial terms, concepts and accounting principles and the ability to comprehend and interpret complex financial transactions. Preferred experience valuing multiple types of commercial real estate including Office, Industrial, Retail, Land
- Ability to comprehend, analyze, and interpret complex financial information and transactions and accounting principles. Ability to problem-solve, both independently and working as a team. Requires strong analytical and quantitative skills. Ability to analyze qualitative and quantitative information and translate into strategic deliverables. Preferred candidate will have the ability to work independently and within a team on a wide variety of projects, work successfully under pressure, and effectively manage time and workload. Additionally, preferred candidate will have a comfort with handling multiple projects at once and ability to move quickly between deals
- Strong computer skills, including specific knowledge of Microsoft Office Suite (Excel, Word, Outlook, PowerPoint, etc.). Broad experience with other software and financial systems is desired. Knowledge of real estate service industry and terminology is helpful. Strong work ethic and adaptable. Proficiency with Argus is a plus but may not be required for the right candidate
- Decisions made with understanding of procedures and company policies to achieve set results and deadlines. Responsible for setting own project deadlines. Errors in judgment may cause short-term impact to co-workers and supervisor
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Capital Markets Operations Director Resume Examples & Samples
- Manages through Section Managers, Section Supervisors and/or subordinate team leads, multiple functions of the Foreign Exchange, Interest Rate Derivatives & Commodities Operations departments which are comprised of professional and clerical staff
- Partners with the Capital Markets Business Segment, other Operations areas and IT to establish the short and long term strategic plans in support of corporate goals and objectives which include new policies, procedures and technology
- Communicates and monitors goals, objectives and procedures to ensure expected results are obtained and all department financial, quality and service standards and are met
- Establishes policies related to the control and monitoring of processes to ensure compliance with corporate and regulatory requirements, including Dodd-Frank and Volcker rule
- Monitors, analyzes and identifies process improvement opportunities to enhance the department's productivity, quality, service level, and other related performance metrics
- 10+ years of previous Operations Management experience focused on FX, Interest Rate Derivatives, or Commodity Derivatives
- Experience developing teams and positioning them for growth
- Experience with both strategic and tactical initiatives
- Proficient with Microsoft Suite especially Excel
- Experience with WallStreet, Summit, or Kiodex risk management systems
- Experience in Risk Management, Process Improvement, and Vendor Management
- Working knowledge of
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Capital Markets Operations Manager Resume Examples & Samples
- Managerial experience and proven track record leading successful teams
- Proven ability to proactively identify and mitigate operational risks
- Working knowledge of Foreign Exchange Operations
- Demonstrated expertise and knowledge of SWIFT, Fed Wire and ACH payment methods
- Meticulous attention to detail and strong analytical, drafting, and communication skills
- Excellent client service and internal coordination skills
- Ability to collaborate closely with stakeholders from different disciplines, and within a team
- Advanced MS Office skills with an emphasis on advanced Excel skills
- College degree (commensurate experience in Banking or Finance will be considered)
- 5 years of Capital Markets experience in a similar or related role
- BA in either Finance, Accounting, or Management
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Capital Markets Operations Specialist Resume Examples & Samples
- Processing foreign currency denominated checks
- Processing foreign currency denominated deposits and loans
- Maintaining spreadsheet used in the recording and tracking of Deposits and Loans
- Assuming other duties as required by management
- Other FX Ops related activities as assigned
- Excellent analytical and problem solving skills with meticulous attention to detail
- Advanced knowledge of MS Office applications (Word, Excel)
- Excellent time management skills with the ability to work in a fast moving environment with multiple deadlines
- College degree, preferred with a major in either: accounting, finance, or management
- 1– 3 years experience in a FX Operations
- Working knowledge of swift and related message types
- Experience with foreign exchange trade entry system
- Familiarity with the following systems: WallStreet Systems, MTS, OBIQ, MS Outlook
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Capital Markets Operations Specialist Resume Examples & Samples
- Approving foreign currency denominated check processing
- Approving and processing foreign currency denominated deposits and loans
- 1 – 3 years experience in a FX Operations
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Capital Markets Operations Specialist Resume Examples & Samples
- Participation in additional FX projects/initiatives as assigned
- Start of Day and End of Day closeout
- Excellent time management and customer service skills with meticulous attention to details
- Ability to work in a fast-paced, time sensitive, multi-tasked operations environment
- Knowledge of foreign exchange products and operations
- Excellent analytical, and problem solving skills
- Working knowledge of SWIFT, Fed Wire and ACH payment methods
- College degree, preferred with a major in either: finance, accounting, or management
- 1 – 3 years’ experience in a FX Operations role
- Familiarity with the following systems: WallStreet Systems, MTS, OBIQ
- Understanding of Dodd Frank, it’s effect on the industry, and the implications operationally
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Capital Markets Operations Specialist Resume Examples & Samples
- Daily settlements and timely execution of Treasury transactions resulting from OTC derivatives options, forwards, swaps, structured products, etc
- Calculating, confirming and performing settlements, fee payments or other charges
- Transaction reporting related to various regulatory regimes, including: Dodd-Frank and EMIR
- Investigation and resolution of all processing issues including nostro breaks
- Setting up new processes, preparing procedures
- Keeping an effective communication and cooperation with external/internal foreign parties. Liaising with the Treasury Dealers, Finance and other Citi departments
- Knowledge and good understanding of various capital markets’ instruments, especially FX products
- Flexible, able to spot irregularity and react promptly and adequately
- Reliable and 'can do’ attitude
- Knowledge of SWIFT messages related to capital markets’ products is preferred
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Capital Markets Operations Specialist Resume Examples & Samples
- Monitor foreign bank and various USD accounts including ACH and FED Wire for risk and investigation purposes
- Have the ability to work both independently and collaboratively
- Assume additional duties as required by management
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Capital Markets Operations Group Manager Resume Examples & Samples
- Oversees Capital Markets operations teams and provide a high level of service to Capital Markets business groups
- Responsible for operational execution and development, efficiencies of internal control functions, and advising business groups on compliance matters
- Extensive communication with internal management levels and regulatory authorities
- Manages risk partnerships and provide requested information per company policy and compliance
- Responsible for the accuracy of reporting and financial statements
- Cross-business project collaboration on operations related projects
