Corporate Action Resume Samples
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Corporate Action Resume Samples
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HD
H Dietrich
Hailee
Dietrich
4236 Balistreri Well
Dallas
TX
+1 (555) 656 1316
4236 Balistreri Well
Dallas
TX
Phone
p
+1 (555) 656 1316
Experience
Experience
Boston, MA
Corporate Action Analyst
Boston, MA
King, Schmidt and Altenwerth
Boston, MA
Corporate Action Analyst
- Commitment and coordination of the process of adopting new customers / processes / solutions in a team / section / department
- Taking Team Leader responsibilities related to the supervision of process during his absence (if necessary)
- Knowledge of systems in the performance of duties at an expert level
- Identification and reporting of vulnerabilities and risks in the process and prepare your own solutions to eliminate them
- Reporting to clients / senior management
- Accurate and timely booking of Corporate action transactions executed on investment funds accounts, verifying data received from external vendoers such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Self-reliant administration of the Investment Funds being in a scope of team’s responsibilities
Philadelphia, PA
Corporate Action Specialist
Philadelphia, PA
Dietrich, Hegmann and Herman
Philadelphia, PA
Corporate Action Specialist
- You identify and implement process improvements and system enhancements that increase efficiencies and/or reduce risk
- Cooperating with other teams/divisions within Citi in scope of performed responsibilities
- Perform Corporate Actions specialist function in a team
- Cooperation with other teams/divisions within Citi in scope of performed responsibilities
- Accurate and timely book of Corporate action transactions executed on investment funds accounts, verify data received from external vendoers such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Identifying ineffective areas within process and initiating changes for them – proposing improvement solutions
- Cooperate with other teams/divisions within Citi in scope of performed responsibilities
present
Houston, TX
Corporate Action Senior Specialist
Houston, TX
Paucek Inc
present
Houston, TX
Corporate Action Senior Specialist
present
- Performing control functions in a process, verifying transactions booked into accounting system and preparation of accounting summaries/reports
- Investigating and resolving discrepancies between the fund accounting books and custodian cash and securities accounts of these funds
- Identifying ineffective areas within own process and initiating changes for them – proposing improvement solutions
- Identifying and reporting of any gaps and risks in a process followed by the single-handed preparation and implementation of solutions eliminating these gaps
- Creating procedures and keeping current procedures up to date according to Citi standards
- Identifying ineffective areas within own BAU process and initiating changes for them – proposing improvement solutions
- Timely answering to standard and most of the non-standard queries related to duties performed, adhering to high standards of business correspondence
Education
Education
Bachelor’s Degree in Economics
Bachelor’s Degree in Economics
Belmont University
Bachelor’s Degree in Economics
Skills
Skills
- Strong attention to detail
- Basic to average MS Office skills
- Knowledge of MS Office
- Researching and sourcing data from various websites and internet databases
- High flair for data and figures
- Familiarity in using Bloomberg is a definite
- The applicant should be willing to report at night
- The applicant should be willing to report in Quezon City
7 Corporate Action resume templates
Read our complete resume writing guides
1
Corporate Action Associate Resume Examples & Samples
- Ensures Financial Advisors (FAs) are notified about corporate actions affecting their clients
- Updates client and firm accounts
- Leads the work of others and provides cross training, mentoring, and coaching
- Securities industry related to job responsibilities, department and division
- Products and concepts relating to financial services industry, including financial instruments, financial management, and cash and capital principles
- Corporate actions department procedures, Systems (XSP, SIS, Answernet), and concepts
- How clients use services provided and role in achieving client service goals
- General office practices and procedures
- Providing superior client service. Effectively handling client inquiries, ensuring appropriate follow up and taking a proactive service approach whenever possible (anticipating client needs). Takes independent and prompt action to exceed customer needs and ensure client satisfaction; effectively balances customer and organization needs when there is a conflict or challenging problem to be resolved
- Analyzing operational processes and identifying opportunities for improvement. Making sure procedures are updated and maintained on an ongoing basis
- Processing information to make logical decisions
- Process financial transactions in an accurate and timely manner
- Demonstrate mental agility; identifying connections between issues; quickly understands, orients to, and learns new assignments
- Create logical, organized documents, spreadsheets, business correspondence, etc
- Answer most questions spontaneously or with little research
- Work in a structured, team-oriented environment with peaks in work volume
2
Corporate Action Associate Resume Examples & Samples
- Processes and allocates dividends and interest payments
- Receives and processes client elections (instructions) when applicable
- Handles low volume of telephone, fax, and email inquiries regarding past and current corporate actions from Branch and Home Office associates
- Provides training, guidance, and assistance to other associates as needed. May be responsible for reviewing work of entry level associates for accuracy and completeness
- Can perform essential duties of Corporate Actions Associate I
- Products concepts relating to financial services industry, including financial instruments, financial management, and cash and capital principles
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets and databases at an intermediate to high level
- Providing superior client service
- Use basic mathematics to solve problems, tabulate, and analyze data
- Communicate in order to make oneself understood by supervisors and co-workers
- Effectively communicate; defined as writing that is direct, courteous, grammatically correct, clear succinct and business-like
- Organize and prioritize workload while meeting critical timing deadlines
- Calculate percentages, balance accounts, and provide statistical data
- Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast paced work environment
- Remain positive under pressure
- Resolve problems by exercising sound judgment, but knows when to escalate issues
- Display critical thinking, at a high level
- Train new associates, critique their work and assist co-associates with their assigned tasks
- Read, comprehend and apply business related information
- Remain open to change and to considerable variety in the workplace
- Associates Degree and one (1) years experience in a Financial Service environment
3
Am-private Bank OPM Corporate Action Specialist Resume Examples & Samples
- Control and coordinate the accurate and timely processing of various forms of complex and high risk corporate action responses
- Assist internal business partners and 3rd Party Advisors with complex issues and questions pertaining to corporate action and dividend issues
- Strong analytical and problem solving skills to assist money managers in resolving issues and improve overall servicing; strong knowledge of quality control techniques and the ability to analyze client accounts, activity, etc. to provide superior client service
- Knowledge of domestic and international securities (equities and fixed income); corporate action processes, settlement process; understanding of foreign exchange process
- The ability to work in high pressure situations
- The ability to apply product/industry and operational knowledge to solve problems and meet client needs
- The ability to make strategic decision/recommendation for this process as it evolves
- 3-5 years of financial industry experience a plus
4
Corporate Action Specialist Resume Examples & Samples
- You get familiar with diversification of global capital markets
- Experience / Qualifications
- University degree in economics (banking & finance is a plus)
- Work experience in financial services is a plus
- Proficiency in German and/ or in English – fluency in one and basic knowledge in the other
- Self-sufficiency, good time management and proactive way of working
- Self-motivation and the ability to work independently and as part of a team
- High flair for data and figures
- Knowledge of MS Office
5
Asset Management, Corporate Action Manager Resume Examples & Samples
- Bachelor’s Degree in Accounting, Business Administration, Economics, Finance or equivalent work experience
- Ability to work in deadline oriented and controlled environment
- Ability to demonstrate flexibility and adaptability to rapidly changing business and technology needs
- Self motivated and proactive with the ability to work in a team
- Knowledge of financial instruments and desire to learn new instruments and financial techniques
- Prior Corporate Actions experience required
- Prior Leadership experience or 5+ years industry experience
- Ability to identify risks and implement mitigating controls within current processes
- High degree of attention to detail
- Organizational, time management and multi-tasking skills
- Prior experience with Sungard’s XSP a plus
- Proficiency with Microsoft Office applications
6
Corporate Action Junior Analyst Resume Examples & Samples
- Participate in a process of prepare and deliver of the funds’ asset valuation (Net Asset Value) to the clients
- Perform Corporate Actions specialist function in a team
- Accurate and timely book of Corporate action transactions executed on investment funds accounts, verify data received from external vendoers such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Timely prepare and deliver of accounting records and reports (standard and non-standard) to other relevant teams
- Perform control functions in a process, verify transactions booked into accounting system and prepare of accounting summaries/reports- specific PROC/RECS
- Cooperate with other teams/divisions within Citi in scope of performed responsibilities
- Timely answer to standard and most of the non-standard queries related to duties performed, adher to high standards of business correspondence
- Identify and report of any gaps and risks in a process followed by the single-handed prepare and implement of solutions eliminating these gaps
- Improve personal qualifications to complete an Introduction to Securities & Investment exam (first part of IAQ/IOC SII/CISI certificate) within first 12 months of employment
- Participate in preparations for internal and external audits
7
Corporate Action Specialist Resume Examples & Samples
- Participate in a process of prepare and deliver the funds’ asset valuation (Net Asset Value) to the clients
- Cooperate with other teams within Citi as a part of one production group so called Securities and Fund Services
- Investigate and resolve discrepancies between the fund accounting books and custodian cash and securities accounts of these funds
- Self-reliant administrate of the Investment Funds being in a scope of team’s responsibilities
- Understand of all business connections and relations between teams/divisions within an end-to-end process
- Timely answer to standard and most of the non-standard queries related to duties performed, adhering to high standards of business correspondence
- Meet the work quality requirements
- Identify and report of any gaps and risks in a process followed by the single-handed to prepare and implementate of solutions eliminate the gaps
- Identify ineffective areas within own BAU process and initiate changes for them – propose improvement solutions
- Create procedures and keep current procedures up to date according to Citi standards
- Acknowledge Citi’s principals and values of organizational culture and apply them in everyday work activities
- Train new employees
- Cary out other business tasks assigned by the manager
8
Corporate Action Analyst Resume Examples & Samples
- Knowledge of systems in the performance of duties at an expert level
- Identification and reporting of vulnerabilities and risks in the process and prepare your own solutions to eliminate them
- Accurate and timely booking of Corporate action transactions executed on investment funds accounts, verifying data received from external vendoers such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Participation in projects/assignments within a team proposed by managers, clients, other teams and divisions within Citi, etc. with a regular information on project’s status to a project leader and manager
- Training new employees
- Participation in preparations for internal and external audits
9
Securities Processing Rep-mandatory Corporate Action Resume Examples & Samples
- Recent college grad with finance or related degree
- 2+ year related business experience
- Strong interpersonal, analytical, attention to detail, time management and problem solving skills
- Flexibility/Orientation to Change
- Organization/Prioritization Abilities/Multi-task
10
Corporate Action Specialist Resume Examples & Samples
- Accurate and timely book Corporate action transactions executed on investment funds accounts, verifying data received from external vendoers such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Timely prepare and deliver accounting records and reports (standard and non-standard) to other relevant teams
- Perform control functions in a process, verify transactions booked into accounting system and prepare accounting summaries/reports;- PROC/RECS SPECIFIC
- Identify and report any gaps and risks in a process followed by the single-handed preparation and implementation of solutions eliminating these gaps
- Acknowledge Citi’s principals and values of organizational culture and applying them in everyday work activities
11
O&t-icg-corporate Action & Project Office Head Resume Examples & Samples
- University Graduate with minimum 12 years' working experience with at least 10 years in securities
- Matured with balanced perspectives
- Be able to deal with challenging issues effectively
- Highly client and service oriented and risk and control driven
- Strong communication skills in English, Cantonese and Mandarin (both written and oral)
- Proven people managment skills with proven leadership in dealing with employees, senior management and internal partners/customers
- Possess strong operations DNA and ability to diagnose gaps and risks in existing system, process and operating models and provide recommendation to senior management for appropriate actions with plans
- Be a self starter with strong drive in idenifying and implementing process improvement opportunities for productivity gain
- Able to work at higher level, at the same time a hands-on expert in getting things done
- Strong ability in executing major projects
- Strong financial skill
12
Corporate Action Specialist Resume Examples & Samples
- 2-3 years work experience (in financial services is a plus)
- Proficiency in German, Knowledge of English is an asset
- Team player, analytical skills, quick learner, interested in economics and capital market, responsible and showing customer focus, dynamic, creative and articulate
13
Am-pb Corporate Action Specialist Resume Examples & Samples
- Analyze and interpret corporate action information for both domestic and global securities
- Research all out of balance transactions and process corrections promptly
- Follow up with Client Service Officers and Investors to obtain all outstanding elections prior to event expiration
- Perform proof and general ledger transactions
- Respond to internal partners and custodians inquires in a timely and effective manner
- Ledger Reconciliation
- Ability to prioritize and multi-task in fast paced team environment
- General Ledger and Reconciliation skills
- Accounting or Finance background
14
Corporate Action Junior Specialist Resume Examples & Samples
- Self-reliant administrate the Investment Funds being in a scope of team’s responsibilities
- Perform control functions in a process, verify transactions booked into accounting system and preparation of accounting summaries/reports- PROC/RECS SPECIFIC
- Understand all business connections and relations between teams/divisions within an end-to-end process
- Identify ineffective areas within own BAU process and initiating changes for them – proposing improvement solutions
- Participate in projects/assignments within a team proposed by managers, clients, other teams and divisions within Citi, etc. with a regular information on project’s status to a project leader and manager
- Improve personal qualifications by completing an Introduction to Securities & Investment exam (first part of IAQ/IOC SII/CISI certificate) within first 12 months of employment
15
Corporate Action Specialist Resume Examples & Samples
- Processing corporate action transactions into accounting systems
- Investigating and resolving discrepancies between fund accounting books and booking entries of custodian banks as well as other counterpart entities keeping fund accounts (cash accounts, securities accounts)
- Cooperating with internal and external clients as well as with other teams involved in fund assets valuation process
- Accuratly and timely booking of Corporate action transactions executed on investment funds accounts, verifying data received from external vendoers such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Timely preparing and delivering accounting records and reports (standard and non-standard) to other relevant teams
- Cooperating with other teams/divisions within Citi in scope of performed responsibilities
- Timely answering to standard and most of the non-standard queries related to duties performed, adhering to high standards of business correspondence
- Meeting the work quality requirements
- Identifying ineffective areas within own BAU process and initiating changes for them – proposing improvement solutions
- Participating in projects/assignments within a team proposed by managers, clients, other teams and divisions within Citi, etc. with a regular information on project’s status to a project leader and manager
- Acknowledging Citi’s principals and values of organizational culture and applying them in everyday work activities
- Participating in preparations for internal and external audits
16
Corporate Action Stock Plan, Associate Resume Examples & Samples
- Cash and Stock Dividends (ordinary income, return of capital, stock splits, spin-offs, foreign and domestic optional stock dividends, dividend reinvestment)
- Foreign Tax Certifications
- Reorg Event processing (mandatory and voluntary)
- Data Integrity and Validation (ability to identify anomalies and potential risk)
17
Senior Corporate Action Specialist Fix Resume Examples & Samples
- Reviewing and developing departmental policies, guidelines and procedures as they relate to corporate actions, bankruptcies, class actions
- Enhance efficiencies, mitigate risks and increase controls
- Effectively partner with portfolio managers, counterparties, vendors, legal department, credit research, pricing, compliance, transfer agents, issuers and custodian banks
- Function as the "technical" expert in their assigned area
- Occasionally serve as member of a project team
- Day-to-day resolution of complex problems, and the execution of complex transactions
- Communicate with custodians to resolve issues and improve service levels
- Having extensive knowledge of the product/asset class involved in corporate actions, bankruptcies, class actions and securities lending
- Anticipating issues that may adversely affect Operations and proposing possible solutions
- Cultivate internal and external relationships to ensure proper service levels are achieved
- Keeping abreast of industry initiatives and market trends that can impact our business model and/or offer opportunities to improve our processes
- Two to five years of Corporate Actions experience is preferred, but not required
- Degree in Economics, Finance or Business preferred
- Outstanding academic achievement, work experience and demonstrated leadership qualities
- Strong knowledge of fixed income products, investment strategies and standard market practices
- Willingness and desire to learn from and teach others
- Proven ability to develop and cultivate relationships across all staff levels
- Self-motivation and ability to work within a team environment
- PC skills with strong knowledge of spreadsheets and Bloomberg
- Has an entrepreneurial spirit that is willing to take on additional responsibility quickly
- Enjoys a fast-paced, high-intensity environment
- Works well as part of a team
- Able to multi-task and absorb information across a broad spectrum of products
- Ability to organize, prioritize tasks and work in a deadline oriented environment
18
Corporate Action Analyst Resume Examples & Samples
- Understanding of all business connections and relations between teams/divisions within an end-to-end process,
- Cooperation with other teams/divisions within Citi in scope of performed responsibilities; Timely answering to standard and most of the non-standard queries related to duties performed, adhering to high standards of business correspondence; Meeting the work quality requirements
- Creating procedures and keeping current procedures up to date according to Citi standards; Participation in projects/assignments within a team proposed by managers, clients, other teams and divisions within Citi, etc. with a regular information on project’s status to a project leader and manager
- At least 2-3 years of experience on a similar position
- Business English Certificate is an asset
- Financial Certificate such as IAQ/IOC (SII/CISI) or CIMA/CFA/ACCA will be an asset
- Good knowledge of English (spoken and written)
- Analytical skills
19
Position Services Corporate Action Payments Resume Examples & Samples
- Pre pay date reconciliation & Payment - This requires diligence, accuracy and self-motivation to ensure that risk is controlled and targets are met. Much of the reconciliation work can be complex, of high value and the resolution may require working with other Teams & Business Units to ensure the correct outcome
- Client Money - The individual must work closely with their line management in prioritisation of key exceptions to ensure the correct information is being passed back to the operations regulatory control team
- Claims - Liaise directly with clients to ensure exceptions are processed in an accurate and timely manner for all clients who were entitled to a corporate action. The claims area is conducted in high volume in addition to high value
- In-depth understanding of Corporate Actions
20
Supervisor, Corporate Action Resume Examples & Samples
- Efficiency / Productivity
- All instructions received are authorised same day, or in accordance with policies and procedures where same day execution can not occur
- Ensure all notifications are validated in a timely manner
- Validate all client entitlements in an accurate and timely manner on date of receipt, or in accordance with policies and procedures where same day execution can not occur
- Assuring that the posting of lending positions is executed same day as non-lending entitlement
- Follow-up on all outstanding entitlements, to ensure each account has been fully accounted for, executing claims where necessary
- Monitor queries from CICS by ensuring acknowledge and response to as per the QTS deadlines
- Problem Resolution / Risk Management
- Escalate all critical issues identified to the Manager to ensure risk
- Containment and client satisfaction
- Monitor all cash and asset breaks and ensure items are cleared in accordance with documented timelines in policy & procedures
- Ensure Customer Service Team is properly informed about operational issues and feedback on client’s queries is provided
- Ensure that at the end of the day all checks are done and check list filled in
- Where Errors and Omissions (E&Os) assist with resolution under direction from Manager to ensure timely corrections in accordance with standards set
- Ability to draft incident report
- Organize weekly meeting to provide agent with clear targets
- Ensure acceptable Audit rating
21
Corporate Action Senior Specialist Resume Examples & Samples
- Performing control functions in a process, verifying transactions booked into accounting system and preparation of accounting summaries/reports PROC/RECS SPECIFIC
- Creating procedures and keeping current procedures up to date according to Citi standards
- Improving personal qualifications by completing an Introduction to Securities & Investment exam (first part of IAQ/IOC SII/CISI certificate) within first 12 months of employment
22
Corporate Action Specialist Resume Examples & Samples
- Self-reliant administration of the Investment Funds being in a scope of team’s responsibilities; Timely preparation and delivery of accounting records and reports (standard and non-standard) to other relevant teams
- Performing control functions in a process, verifying transactions booked into accounting system and preparation of accounting summaries/reports
- PROC/RECS SPECIFIC
23
Corporate Action Analyst Resume Examples & Samples
- Management of the end-to-end corporate action event life-cycle across voluntary and mandatory events
- Processing internal trading desk and client elections
- Responding to queries from traders, middle-office, finance and custodians
24
Corporate Action Analyst Resume Examples & Samples
- Run a BAU process on Corporate Action events for all markets
- Tackle the exceptions on BAU process, and provide escalation when is needed
- Understand the new business initiatives and analysis the possibility to support the functions based on the current capacity or required for any system enhancement
- Able to run the projects or ad hoc tasks when business driven (e.g. system upgrade or Swift upgrade or ad hoc request raised by business)
- Perform all the ad hoc supports for the supervisor or manager whenever applicable
25
Corporate Action & Dividend Analyst Resume Examples & Samples
- Extraction of event notifications from agent banks and data vendors. Ensuring the information is accurate and received in a timely basis
- Ensuring events are correctly updated into Instinet systems and fully diarised
- Notifying Clearing & Settlements and Front Office of upcoming Corporate Action. Liaising with traders regarding trading over corporate action periods
- Managing positions and client contact throughout the lifecycle of Corporate events. Liaising with other departments within Instinet to minimise risk to the Company
- Processing of all Corporate Action elections, with entitlements being fully reconciled and chased regularly until completion
- Reconciliation of dividend entitlements and management of claims processing, ensuring all claims are lodged on a timely basis and chased regularly for completion
- Reconciliation of dividend and corporate action cash accounts
- Calculation of the daily client money requirement based on outstanding Corporate Action & Dividend entitlements
- Authorisation of all warehouse and non-standard settlement requests advised by the Front Office
- Keep abreast of changes to rules & regulations which impact Corporate Actions & Dividends for all individual designated regional markets
- Pro-active involvement with back office systematic development testing and upgrade programs
- Maintain, develop and enhance current company procedures through checklists and guidelines for all individual designated regional markets
- You are responsible for managing, controlling, and escalating risks to management within the scope of the position
- You are required to understand and comply with the firm's operational policies and procedures as they apply to your role and responsibilities
- You are required to act with integrity and skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of integrity
26
Derivatives & Corporate Action, Assistant VP Resume Examples & Samples
- Ability to lead and mentor the team during time sensitive and high pressure activities
- Detailed understanding of trade lifecycle, settlements and operational support functions
- Strong experience in foreign exchange, OTC and exchange traded derivatives
27
Corporate Action Resume Examples & Samples
- Manage wide range of client enquiries while recognizing and escalating appropriate enquiries to avoid complaints or problems with clients
- Be able to prioritize tasks accordingly to make sure all key tasks are completed on time
- Be able to assist in managing global corporate action and securitized trade flows
- Communicate in Japanese or English, whether it be through emails or telephone to both clients and colleagues
- Ensure client confidentiality is protected at all times
- Timely escalation of any potential risk or credit issues to the management if found
- Indentify issues and participate in initiatives to improve the infrastructure accordingly
- Excellent analytical and administrative skills
- Good IT/computer skills
- Able to explain complex matters or subjects more simply
28
Corporate Action Analyst Resume Examples & Samples
- Accurate and timely booking of Corporate action transactions executed on investment funds accounts, verifying data received from external vendors such as Bloomberg, Telekurs and FTS in respect of their correctness and completeness
- Participation in projects/assignments within a team proposed by managers, clients, other teams and divisions within Citi
- Previous experience in banking/ financial operations as an asset
- English - very good written and spoken
- Attention to details, high accuracy
29
Corporate Action Specialist Resume Examples & Samples
- Balance & reconcile suspense accounts
- Process stock splits, spinoffs, etc
- Ensures proper payments to customers
- Performs one or more of the following functions: tender offers, exchange offers, warrants & rights exercise, unit combines and splits
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary
30
Corporate Action Specialist Resume Examples & Samples
- Diligently work with the clients to obtain timely responses and/or elections from fund managers
- Timely submission of responses and/or elections and ensure such instructions are received and accepted for processing by the custodian banks
- Verify entitlements with respective custodian banks for daily corporate action events
- Work within existing procedures and processes ensuring clear and concise documentation is created and maintained
- Remain updated with relevant securities industry development and market-specific best practices
- Provide assistance on projects – to meet Managements requirements by doing research, identifying needs, developing solutions and implementing them
- Bachelor's degree in Business Administration, Accounting, Finance, Economics or any related course, CPA board exam passer is an advantage
- Strong analytical ability, communication and interpersonal skills
- Knowledge in securities instruments/settlements and investment process
- React quickly and meet tight deadlines maintaining accuracy and thoroughness
- Researching and sourcing data from various websites and internet databases
- Familiarity in using Bloomberg is a definite plus
31
Corporate Action Processing Analyst Resume Examples & Samples
- The incumbent needs to be computer literate due to the numerous system applications
- Must be numerically literate
- Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and type of experience
32
Corporate Action Specialist Resume Examples & Samples
- Good knowledge of capital markets subject matter
- Good knowledge of accounting principles
- University degree in Economics (or in similar profile programs)
- At least 1 years of experience in finance/ banking sector
33
Corporate Action Resume Examples & Samples
- Processing of instruction for Corporate Action events
- Processing of dividend events for PB clients / eligible trade
- Resolution of any processing issues and liaison with other areas (Settlements, Trading Desk support)
- Timely recovery of funds from external counter-parties and monitoring of outstanding balances
- 1 to 3 years of Corporate Action or similar experience
- Strong in Excel VBA and MACRO
- Reconciliation and analytical skills with an aptitude for problem solving
- Banking / Financial services / Prime brokerage knowledge will be preferred
34
Corporate Action Specialist Resume Examples & Samples
- Identifying ineffective areas within process and initiating changes for them – proposing improvement solutions
- Participation in projects/assignments within a team proposed by managers, clients, other teams and divisions
- University degree (or during education) in Economics, Finance or in similar profile
35
Corporate Action Senior Associate Resume Examples & Samples
- Process Voluntary events, Mandatory events, Fixed Income, Class Actions, Bankruptcy, Proxy and physical securities processing
- Perform various reorg events ensuring payments are made timely and accurately, as well as mitigate risk and exposure to the firm
- Monitor deadlines and critical cut-offs to ensure instructions are processed accordingly
- Demonstrate the ability to identify potential risk scenarios and controls to minimize operational risk
- Craft, maintain and adhere to all client-related Detailed Function Lists and Service Level Agreements
- Prioritize deliverables and responsibilities when necessary
- Represent BPO on monthly Business Governance Committee meetings and industry events
- Ability to multitask and take ownership of complex issues, as well as meet deadlines and be able to work effectively as part of a team
- 5+ years of voluntary corporate actions processing with a detailed understanding of the process front to back
- Detail-oriented and visionary in a dynamic, deadline-driven and risk-oriented environment
- Ability to provide support in the daily execution of key tasks when needed
- Customer service competency required, with good written and verbal communication skills
- Series 99, or ability to take and pass the exam within the first 6 months in the role
- Experience using Microsoft Office (Excel, Outlook, Word)
36
Senior Corporate Action Associate Resume Examples & Samples
- Determines required actions and processes by reading documents/materials furnished by affected companies
- Processes mandatory and/or complex voluntary offers
- When applicable, receives and processes client elections (instructions)
- Provides answers and information to complex or unusual client inquires independent of Supervisor. Firm held liable for this information
- Handles high volume of telephone, fax, and email inquiries regarding past and current corporate actions from Branch and Home Office associates
- Can perform essential duties of Corporate Actions Associates levels I & II
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communications, spreadsheets and databases at an intermediate to high level
- Exercise sound, independent judgment and determine required actions by reading and interpreting the legal documents (prospectus) or written correspondence furnished by the affected company, depository or Information Agent
- Take independent action to gather facts and other resources needed to resolve problems. Anticipates potential problems and takes action to prevent them; proactively identifies and acts on opportunities to perform tasks outside of one's area of responsibility to assist the team or the department
- Display critical thinking at a high level
- Identify potential functional improvements to processes and services provided
- Read, comprehend, and apply business related information. Effective at applying new knowledge to achieve results
- Be open to change and to considerable variety in the workplace
- Associate's Degree and two (2) years experience in a Financial Service or Corporate Actions environment
37
Unit Head Custody Corporate Action Resume Examples & Samples
- Define short term and long term strategy, plan and goal for his units
- Deliver Results in line with the goals and key priorities for the business
- Managing day to day operations of the units – Corporate unit is responsible for processing of Voluntary corporate actions (e.g. buyback, rights, tender issue) for all clients entitled as per holding as on record date; unit manages creation of scrip code, corporate announcement and Mutual Fund processing
- Responsible for raising monthly invoice to all clients as per agreed rate structure and booking income accruals for Custody clients
- Manage the control frame-work; audit; reconciliations etc. in Custody operations
- Manage escalation and complex transactions
- Drive value for clients
- Ensure client delivery as per SLA & defined timelines, timely action on client requirements
- Ensure Compliance with various regulations application to Custody or Issuers operations
- Change Management (Market/Regulatory/Client driven etc.)
- Lead process reviews, re-engineering, standardisation and automation initiatives to enhance efficiency, accuracy, TAT etc
- Work as a partner
- Manage relationship with various internal and external stake-holders viz
- Business team, legal, compliance, Regulators (RBI/SEBI/NSDL/CDSL), Stock Exchanges tech, vendors etc
- Develop team, People management, capacity planning
- Drive Citi values and ethics in the team
- Approx. 6-8 years of overall experience, including preferably experience of at least 2 to 3 years in India Custody Operations
- Strong ability in effectively planning and managing operations and people
- Excellent understanding of operational risk, process, controls, regulatory requirements
- Focus on client delivery, value additions
- A self-starter, able to create and execute robust plans
- Flexible and willing to adapt to different environments
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Corporate Action Specialist Resume Examples & Samples
- Timely submission of responses and/or elections and ensure such instructions are received and accepted for processing by the custodian banks and third party proxy provider
- Provide periodic reports to business units and/or clients
- Knowledge in third party data platforms such as Bloomberg
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Corporate Action Manager Resume Examples & Samples
- Manage the team responsible for the processing of mandatory and voluntary corporate action for all domestic and international securities held in accounts managed by Investment Management (IM). Ensure that all equity and fixed income corporate actions are processed timely and accurately in the IM portfolio accounting platform. Maintain oversight of all voluntary corporate actions to ensure that each is communicated timely and accurately to the respective portfolio management team for decision making and the custodian bank for execution
- Provide guidance to the team by analyzing and understanding corporate action notices including the interpretation of tax reporting implications and cost basis allocation. Assist analysts in verifying corporate action information with alternative sources as necessary (requires the ability to make the determination when additional research may be required)
- Lead and manage the recruiting, training, coaching, mentoring, and performance assessment requirements for the team. Effectively lead the team and be a key interface to senior leaders or business partners on relevant matters
- Maintain metrics on the team’s performance including detailed analysis of any processing and system/industry issues. Assist in the ongoing assessment of the effectiveness of corporate action controls and the tolerances used in applying those controls. Ensure all procedures and processes are accurately documented and updated
- Oversee the class action filing process for all domestic and international securities held in accounts managed by IM
- Provide assistance with processing corporate action events as needed
- Coordinate and/or participate in other projects as requested
- Bachelor’s degree required; concentration in accounting or finance preferred. MBA strongly preferred
- Four to six years in corporate action support roles, with prior supervisory or management experience
- 10 or more years of Financial Services experience preferred
- Displays a high level of attention to detail, accuracy and thoroughness. Commitment to meeting identified quality and efficiency standards
- Demonstrates the ability to prioritize tasks for the team
- Demonstrates initiative and persistence
- Commits to satisfying internal and external customers
- Good interpersonal and communication skills to ensure successful results when assisting users of varying knowledge levels
- Thorough understanding of the investment management business
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Corporate Action Senior Specialist Resume Examples & Samples
- Supporting the team / section / department in unusual / non-standard issues requiring extensive knowledge and experience
- Reporting to clients / senior management
- Timely preparation and delivery of accounting records and reports
- Identifying ineffective areas within own process and initiating changes for them – proposing improvement solutions
- Good knowledge of capital markets
- At least 3 years of experience on a similar position
- Ability to self organize and effective time management
- Ability to work under time pressure
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Corporate Action Specialist Resume Examples & Samples
- Participation in projects/assignments within a team
- Basic knowledge of accounting principles
- Computing skills including MS Office environment (good knowledge of Excel)
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Corporate Action Reorg Associate Resume Examples & Samples
- Provide extraordinary client service to our outsourcing clients
- Build, sustain, and adhere to all client-related Detailed Function Lists and Service Level Agreements
- Prioritize deliverables and responsibilities where necessary
- Communicate effectively and efficiently across departments, with staff, senior management and clients
- Track metrics to ensure activity is submitted timely and accurately
- 0-2 years of professional work experience - open to recent college graduates
- Bachelor's degree in Finance, Business Administration or Accounting
- Customer service competency required
- Eloquence in communication- both written and verbal
- Ability to multitask and take ownership of complex issues, as well as meet deadlines and be able to work effectively independently and as part of a team
- Detail oriented, visionary and ability to lead a team in a dynamic, deadline driven and risk oriented environment
- Ability to adhere to strict deadlines
- Experience using Microsoft Office Suite (Excel, Outlook, Word)
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Asset & Corporate Action Associate Resume Examples & Samples
- Responsible for identifying and processing standard and more complex corporate action events within Funds or client segregated accounts across various asset classes in a timely manner
- Responsible for processing standard and more complex asset set up and ownership activities across equity and fixed income assets
- Work with other business partners to answer inquiries
- Strengthen relationships and trust with the Investment Group and Trading by anticipating needs and offering solutions
- Utilizes experience to answer difficult inquiries from the Investment Groups and Trading
- Participates in projects and team or department initiatives
- Demonstrates a working knowledge of the securities and investment business, and Capital’s investment process and ability to apply to work assignments
- Self-motivated and ability to prioritize to ensure tasks are completed within the appropriate timeframe
- Demonstrates initiative by identifying issues and recommending solutions
- Demonstrates sound judgment in resolving complex issues
- Demonstrates ability to think broadly in order to assess aspects and impacts of issues and challenges within the department
- Strong computer skills (Excel, Word, databases)
- Experience of working on corporate action events or asset-related functions
