Corporate Actions Specialist Resume Samples

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N Beahan

Noe

Beahan

191 Cielo Circle

San Francisco

+1 (555) 991 0695

191 Cielo Circle

San Francisco

Phone

p +1 (555) 991 0695

Experience Experience

Philadelphia, PA

Corporate Actions Specialist

Philadelphia, PA

Lueilwitz-Wolf

Philadelphia, PA

Corporate Actions Specialist

Assist manager in various processes and procedures improvement and control effectiveness
Diligently work with the clients to obtain timely responses and/or elections from fund managers
Work within existing procedures and processes ensuring clear and concise documentation is created and maintained
Reviews work of corporate action associates, checking for completeness and accuracy, before approving items for further processing
Proactive Operational Risk control of both self and team both within the current working model and advising of same in discussions on future working models
Manage the daily workload and ensure that events are set up within the Service Level Agreement
Working closely with the manager support initiatives of SEI and Operations

Houston, TX

Am Pb Corporate Actions Specialist

Houston, TX

Emmerich LLC

Houston, TX

Am Pb Corporate Actions Specialist

Follow up with Client Service Officers and Investors to
Look for opportunities to eliminate redundancies and increase efficiencies
Obtain all outstanding elections prior to event expiration
Research all out of balance transactions and process
Respond to internal partners and custodians inquires in a
Timely and effective manner
Complete all end of day proof process to all Accounting

present

New York, NY

Am-pb Corporate Actions Specialist

New York, NY

Kozey and Sons

present

New York, NY

Am-pb Corporate Actions Specialist

present

Assist with cross training initiatives
Provide timely event notification to all clients
Assist with project and department initiatives
Perform proof and general ledger transactions
Execute client’s instruction through custodians
Streamlining Processes
Analyze and interpret corporate action information for both

Education Education

Bachelor’s Degree in Economics

Ashford University

Bachelor’s Degree in Economics

Skills Skills

Proficiency in German (both written and verbal) to a good business standard. English as a second language will be
Excellent attention to detail and accuracy
Proficiency in English (both written and verbal) to a good business standard. German as a second language will be
Strong organisational skills and an ability to prioritise and meet deadlines in a pressurised environment
Knowledge of MS Excel and MS Word and ability to adapt to new systems
Ability to handle multiple assignments; work under pressure and within deadlines to produce accurate, high-quality results
Conscientious in approach and able to work proactively
Basic Word processing
Ability to stay focused under pressure and to prioritize workload in order to effectively manage time
Proven reliability in performance

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7 Corporate Actions Specialist resume templates

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O&t-corporate Actions Specialist Resume Examples & Samples

Around 2 years of experience in processing of APAC corporate actions
Must be able to work on Singapore holidays and shift hours including early morning
Customer service orientation and good English oral and written communication skills
Risk oriented mindset and focussed on controls

Corporate Actions Specialist Resume Examples & Samples

Daily monitoring and processing of all corporate action events
Ensuring queries, exceptions and event reconciliation discrepancies are investigated and resolved
Actively identifing potential areas of risks, suggesting procedure changes

Corporate Actions Specialist Resume Examples & Samples

Ensure that events are available to Prime Brokerage clients and send manual notifications to trading books
Excellent client service
Ability to work within a team with minimal supervision once trained
Appreciation of risk and urgency

Corporate Actions Specialist Resume Examples & Samples

Successful candidate will possess a master degree, preferably in Economics, Finance, Banking or the equivalent of 3-4 years work experience in financial services
Must be highly attentive to details and organized in own work
Have the ability to work both independently and as part of a team in a fast paced, deadline driven environment with high demand for accuracy
Functional proficiency in MS Office (Excel, Outlook, Word) is required

Voluntary Corporate Actions Specialist Resume Examples & Samples

Interpreting complex Domestic voluntary re-organization offers. Presenting details of offerings to the client base (incl. Prime Broker and Trading Account Representatives) in an accurate, condensed, timely, and professional manner
Collection and execution of client instructions
Processing entitlement transactions
College Education (Bachelors Degree)
Minimum of four - five years of Reorganization related experience
Proficient in utilizing DTC Reorg systems
Competent in MS Excel

Am-pb Corporate Actions Specialist Resume Examples & Samples

Analyze and interpret corporate action information for both
Provide timely event notification to all clients
Process all stock, bonds, cash transactions upon receipt
Research all out of balance transactions and process
Follow up with Client Service Officers and Investors to
Timely and effective manner
Analyze errors to determine root cause and look for solutions
Minimum 2-3 years Financial Industry Experience
Experience using mainframe systems
Excellent time management and organizational skills
Ability to analyze moderate to complex securities related documentation and summarize details
Securities industry knowledge – a plus
Previous General Ledger experience
College degree or three to five years equivalent work experience

Am Pb Corporate Actions Specialist Resume Examples & Samples

Domestic and global securities
Execute client’s instruction through custodians
Corrections promptly
Obtain all outstanding elections prior to event expiration
Complete all end of day proof process to all Accounting
Respond to internal partners and custodians inquires in a
Detail and control oriented

Im-corporate Actions Specialist Resume Examples & Samples

Collect corporate action event details from vendor and input events in JAFFA when necessary
Reconcile corporate action event details among various sources and investigate if there is discrepancy
Send corporate action notifications and reminders to fund managers
Prepare swift instruction to custodians on voluntary corporate action events
Follow up outstanding entitlements with custodians
Handle enquiries from other parties
Update fund record and custodian record in internal CAT Database
Listed Futures & Options margin monitoring - to confirm margin requirements with brokers and fund accountants
Monitor margins for OTC products
Perform proxy voting function – extract meeting details with “Refer” items from vendor system and forward to team associates for further action
Prepare proxy voting reports as per clients’ request
University graduate, preferably with a major in Accounting or Finance
Minimum 2 years’ experience in securities related fields
Knowledge of data vendor systems (such as Bloomberg and Reuters)
Good understanding of different security types and their accounting treatment
Good understanding of MS Office applications (Excel, Word, Access etc.)
Able to work under pressure and needs to work during HK public holidays
Fluent in English, and knowledge in Mandarin will be an advantage

Corporate Actions Specialist Resume Examples & Samples

1-3 years of experience in voluntary and mandatory global equity corporate actions (experience at a hedge fund or finance firm preferred)
Familiarity with SWIFT corporate actions messages and updating policies and procedures
Experience with Sungard’s XSP and Microsoft Excel

Corporate Actions Specialist Resume Examples & Samples

Handle the Event Capture and Notification process for EMEA Voluntary and Mandatory Corporate Actions for Credit Suisse Europe, Credit Suisse International, Credit Suisse Prime Brokerage and Credit Suisse LLC
Ensure that Corporate Action events are properly captured and assigned
Verify and enhance event information using Vendor’s browsers and SWIFT messages
Speak directly with agent banks when required
Monitor events for updates
Answer any queries in a timely, accurate, and professional manner
Run all Event Integrity reports that are used to ensure that all events have been captured
Manage the transfer/handover of events from the EI team to the processing team. Ensure that there is good communication between the teams and that any late announced short deadlines are highlighted
Manage the daily workload and ensure that events are set up within the Service Level Agreement
Record any issues with IT, Agent Banks, Vendors etc and escalate when necessary
Collate and record statistics

O&t-middle Office Corporate Actions Specialist Resume Examples & Samples

Validate and scrub corporate actions received from custodians and vendors
Create a gold copy and follow-up for any differences in terms, restrictions, etc
Follow-up with custodians for event notices, participation documents, if any, and receipt of instructions
Prepare and send reports to clients and accountants
Client servicing to support 24x5 global coverage model
At least 2 years of experience in processing of APAC corporate actions
Risk-oriented mindset and focused on controls

Corporate Actions Specialist Resume Examples & Samples

Create and approve timely and accurate Corporate Action events within the accounting system
Create, approve and/or client reporting
Ensure operational procedures are accurate and followed in practice
Cooperate with internal clients as well as Technology, Product, Account Managers in terms of informing about operational processes

CIB Ops-corporate Actions Specialist Resume Examples & Samples

Minimum 2 years Securities Industry experience required
Minimum 1 years Securities Operations experience required
Excellent communication skills preferred

Corporate Actions Specialist Resume Examples & Samples

Comparing market information for discrepancies
Creating Corporate Actions Events on the Internal Systems
Carrying out Reconciliations
Gathering client responses on Corporate Actions
Sending Clients instructions to the market
Processing client payment
And answering client queries through our dedicated enquiries team

Voluntary Corporate Actions Specialist Resume Examples & Samples

Experience in summarizing and processing all types of Voluntary Corporate Actions while minimizing risk and liabilities to the firm
In-Depth knowledge of DTCC Corporate Action processing routines, systems, and methods. Knowledge of DTCC receive and deliver systems and cash movement systems
Time-management is critical due to deadlines associated with this position
Experience documenting process flows and creating policy and procedure documents. *Familiarity with Mandatory Corporate Actions and a working knowledge of the DTCC Dividend system is helpful. Additionally, researching capability and the ability to resolve breaks is useful

Corporate Actions Specialist Resume Examples & Samples

Basic technical skills: Proficient in utilizing DTC & BNY Reorg systems
Bachelor’s degree preferred and/or 2+ years of experience in a financial services operations role is a plus
Series 99 within 120 days of hire if role processes cash or security movements
Proficiency and experience with Microsoft Office (Word, Excel, Outlook)
Ability to handle multiple assignments; work under pressure and within deadlines to produce accurate, high-quality results
Strong organizational skills with the ability to prioritize, monitor, and complete multiple tasks or projects, either independently or collaboratively within a team
Strong written and verbal communication skills are a must, with the ability to effectively relate to work in a team-oriented setting
Passion for providing high-value client service
Ability to stay focused under pressure and to prioritize workload in order to effectively manage time
Proven reliability in performance

Corporate Actions Specialist Resume Examples & Samples

Capturing and monitoring of corporate actions events on the stock exchanges all over the world
Analyzing and enriching the data for optimized investment decisions
Preparation of precise notifications for clients
Cooperation with various financial institutions, stock exchanges and banks trading desks
Working in accordance with the banking communication international standards

Corporate Actions Specialist Resume Examples & Samples

Creating corporate actions events on the internal systems
Carrying out reconciliations
Gathering client responses on corporate actions
Sending clients’ instructions to the market
Processing client payments
Answering client queries

Pricing & Corporate Actions Specialist With German Resume Examples & Samples

Fluent German (speaking & writing)
Good English (speaking & writing)
BA or MA in finances, economics, accountancy or relevant
Up to 1,5 years of financial services work experience
Sound technical knowledge of Market Data, Securities Administration and/or Valuations functions (will be an asset)
Prior experience implementing controls and writing procedures (will be an asset)
Knowledge of Bloomberg, MS Excel/Word and other relevant office systems
Excellent teamwork, interpersonal, oral and written communication skills

Corporate Actions Specialist Resume Examples & Samples

Setting up properly corporate action events in the system
Collecting, validating and executing of the clients instructions
Reconciling discrepancies on time

Corporate Actions Specialist Resume Examples & Samples

Gather and organize daily corporate action notifications from different custodian banks received or obtained from different sources
Ensure accurate and timely processing of trades, corporate action events and cash transactions into the system
Provide support to the team as required, to participate in a regular program of industry specific training and interdepartmental cross training to ensure continuity of service

Corporate Actions Specialist Resume Examples & Samples

Client focused with the ability to prioritize responsibilities
Influence and negotiate with team and clients in a sophisticated and demanding business environment
Demonstrate flexibility and initiative in working with management and clients, adapting change strategies
Basic to average MS Office skills

Corporate Actions Specialist With French Resume Examples & Samples

Collecting information from Transfer Agents
Releasing reliable information to the clients in due time
Processing the proceeds’ payments (cash/securities) according to market deadlines
Following up on queries (emails, phone calls)

Corporate Actions Specialist Resume Examples & Samples

Oversees the team and has strong problem resolution skills
Resolves the challenging items within the team before escalating to the Manager
Working closely with the manager support initiatives of SEI and Operations
Analyzes and Suggests improvements in Technology, Process, and Procedures
Evaluates training needs for Employees
Monitors Client Experience to ensure that staff is aware of ‘at risk’ situations
Expands developmental skills of the team through internal and external training programs
Delegates Responsibility to support Daily Workflow
Holds employees Accountable to achieve departmental goals (i.e., daily production, SLA’s, etc)
Provides Leadership
Insures that controls are in place and being followed at all times in order to minimize potential for loss
Elevates service interruptions, critical issues and potential risks to senior management
Performs all other duties as required, including but not limited to daily tasks

Corporate Actions Specialist Resume Examples & Samples

Providing operational support to hedge fund clients engaged in various investment strategies ex. Real Estate Investment Trust (REIT), Private Equity, Global Macro, Fixed Income, Mortgage, Credit, Distressed, Long/Short, Risk/Stat/Arbitrage, Emerging markets and Fund of Funds
Addressing and researching security set-up and maintenance
Ensure security's static data for various product types are updated and accurate across systems for various products including equity, fixed income, swaps, bank debt, loans, futures, options, FX, mortgages and repos
Interacting across regions with various internal SS&C GlobeOp departments such as Fund Accounting, OTC Operations, Investor Relations and IT
Reviewing work prepared by others
Processing Corporate actions
BA in business/finance or related discipline
3+ years experience with Back Office Operations working for either a Prime Broker, Administrator, Hedge Fund, Mutual Fund, Investment Advisor or Financial/Retirement Planner
Prior experience working in a client service environment with various products including equities, fixed income, repurchase agreements, futures, FX, Mortgages, options
Experience in Corporate Actions and Ratings a plus
Prior experience working with vendors for static/reference data as S&P, Bloomberg, Reuters, IDC, Moodys, MarkIT a plus
Prior experience with Geneva a plus
Strong written and verbal communication skills
Attention to detail and adherence to policies, procedures and controls
Ability to work under tight deadlines
Supervisory experience a plus

Corporate Actions Specialist Resume Examples & Samples

Reviews work of corporate action associates, checking for completeness and accuracy, before approving items for further processing
Maintains corporate action information databases to ensure information is entered and distributed to internal and external partners in a timely and accurate manner
Liaises with internal client teams (i.e. accounting groups, portfolio managers, fund tax analysts, legal and compliance advisors, etc.) to ensure proper handling of corporate action events
Ensures all corporate action data is received and validated in an accurate and timely manner by sourcing information from external data providers, custodians, and issuers
Interprets terms and conditions of corporate action events across various global markets to understand relevant impacts on Vanguard investment portfolios
Provides meaningful analysis of corporate action events and solicits Vanguard portfolio managers for election decisions; ensures election decisions are received by applicable response deadline
Submits election instructions to the custodians, depositories, agents, and/or brokers prior to established market deadline
Researches and resolves custodian and internal client inquiries; effectively communicates with internal and external partners
Liaises with custodians, depositories, agents, third party data providers, and issuers to clarify corporate event terms
Undergraduate degree (business degree preferred) or an equivalent combination of training and experience
Preferred two years business related experience; investment operations, corporate actions, or finance related experience preferred
Strong time management, planning and organization skills
Excellent analytical and problem solving skills
Strong communication, interpersonal, and organizational skills

Corporate Actions Specialist Resume Examples & Samples

Ensure accurate and timely processing of trades, corporate action events, and cash and securities transactions into the system
Review reconciliation discrepancies and process necessary adjustments into the accounting system
Manage trade exceptions trapped in the system exception queue
Acts as a liaison between onshore and proxy vendor
Work within existing processes and ensure adherence to procedures and policies
Provide support to the team as required, to participate in a regular program of industry specific training and inter-departmental cross training to ensure continuity of service
One to two year relevant work experience

Corporate Actions Specialist Resume Examples & Samples

A good understanding of financial markets
Technical understanding of Corporate Actions would be an advantage
1 year of experience in banking/ financial operations
Very good knowledge of English (spoken and written)
Process work with excellent accuracy and attention to detail
Work well with deadlines

Corporate Actions Specialist Resume Examples & Samples

Good communication skills – both written and verbal
Strong organisational skills and an ability to prioritise and meet deadlines in a pressurised environment
Adaptable in a fast paced environment
A strong desire for excellence and client service
Conscientious in approach and able to work proactively
Knowledge of MS Excel and MS Word and ability to adapt to new systems
Risk Aware
Working conditions and other information (working hours, full time, permanent etc.)
35 hour week

Corporate Actions Specialist Resume Examples & Samples

Participation in projects/assignments within the team as proposed by managers, clients, other teams and divisions within Citi
Assist manager in various processes and procedures improvement and control effectiveness
Previous experience within financial/ banking operations
Capital market knowledge
English – min. upper-intermediate (B2) written and spoken
Accuracy and attention to details
Ability to organize them well, set priorities

Corporate Actions Specialist Resume Examples & Samples

Create a gold copy and follow-up for any differences in dates, terms, restrictions, etc
Track deadlines, send reminders to clients, check position breaks and process clients instructions
Follow-up with custodians for event notices, participation documents and receipt of instructions
Participate in UAT and any other projects as assigned
Client servicing to support 24x5 global pass-the-book model
Interact and participate in global calls and projects with counterparts in Europe and US
At least 1 year of experience in processing of APAC corporate actions. Experienced candidates may be considered for senior level position and fresh graduates may be considered
Willingness to learn and take responsibility, possess positive attitude, can-do spirit, resilient, flexible with ability to work with staff of different cultures, age groups and seniority level
Customer service oriented with strong English oral and written communication skills
Knowledge of Trade confirmation and settlement for equities/fixed income/FX will be an added advantage

Corporate Actions Specialist Resume Examples & Samples

Gathering and monitoring of corporate actions events on the stock exchanges all over the world
Collaboration with various financial institutions, stock exchanges and banks trading desks
Interest and / or experience in Corporate Actions / Financial Markets
Attention to detail and accuracy; dedication to quality
Ability to delivering excellent service as a great teammate and individually

Corporate Actions Specialist Resume Examples & Samples

Good working knowledge of Legacy functions and regulatory, audit and compliance policies regarding the Securities Industry
Excellent computer skills and knowledge of Microsoft office a must
Individual will be responsible for the establishment and management of corporate action announcements, distribution of payments and reconciliation of the corresponding clearance accounts
Series 7 & 63 licenses preferred

Corporate Actions Specialist Resume Examples & Samples

Process all voluntary and mandatory corporate action transactions. This includes monitoring notifications, sending letters to appropriate parties, entering instructions with depositories/agents, and posting transactions to trust accounting system in a timely, accurate and complete manner
Establish and maintain master security files on trust accounting system as needed. This includes ensuring the assets are priced accurately and timely
Serve as liaison with class actions external partner to file claims for class action settlement proceeds. Track outstanding claims and report status to management. Post proceeds to customer accounts in a timely, accurate and complete manner
Process income on ordinary and ADR shares of non-US securities in a timely, accurate and complete manner. Make appropriate elections for client to receive favorable, non-favorable, or exempt foreign tax withholding. File short and long reclaims as needed. Work with clients to obtain documentation to support election choice
Review and resolve position and cash exceptions in a timely and accurate manner
Process all transactions related to assets held away from bank. Perform monthly reconcilement of trust accounting system to external custodian
General accounting, including aspects of debits and credits
Knowledge of securities and their different characteristics
Knowledge of the trust accounting practices
Knowledge of DTC, Federal Reserve and other depository applications
Working knowledge of all types of corporate reorganizational action types,( i.e. stock splits, tender offers, mergers, calls, etc.,) and the tax processing involved
Time management principles to prioritize workload
Customer service
Communication skills (oral and written)
Basic Word processing
Basic Spreadsheet applications
E-Mail and Internet Skills
Research skills
Sound judgment and ability to make decisions
High school diploma with 3 years’ experience in financial operations, accounting, banking, brokerage, or public finance/debt management
OR-
Associate's (2 year) Degree with 1 year of experience in financial operations, accounting, banking, brokerage, or public finance/debt management
Bachelor's Degree with preferred experience in financial operations, accounting, banking, brokerage, or public finance/debt management

Corporate Actions Specialist Resume Examples & Samples

Provide technical, industry, process, and trouble-shooting support to a team of operations analysts and specialists within and outside of their own unit/discipline
Responsible for the daily process of Income, Mandatory and Voluntary Corporate Action activities
Viewed as the ‘subject matter expert’ within Operations and/or SEI
Manages large-scale projects in terms of criticality and urgency relative to importance for the firm, urgency of time to market, or other measurements deemed applicable by management
Primary focus is on day-to-day operational execution, although roles will also include contributing to strategic planning within area of expertise
May be required to provide supervisory responsibilities and apply independent judgement and decision making based on area of expertise
Will act as escalation point and subject matter expert
Direction given to peers and helps complete knowledge transfer to teams
Key contributor in decision making process
Develop comprehensive knowledge of team responsibilities; ensure service level agreements and quality control points are met
Maintain integrity of team guidelines and procedures. Collaborate with other departments to support workflow expectations
Participates in issue remediation discussions; provides input for best practices and solutions

Corporate Actions Specialist Resume Examples & Samples

Good knowledge and understanding of capital markets
6 months to years experience in the financial services or accounting industry preferred
Good command of English (B2/C1)
Good knowledge of MS Office environment
Ability to learn fast and work under time pressure
Self-starter and ability to act independently
High accuracy and keen eye for details

Corporate Actions Specialist Resume Examples & Samples

Process the full lifecycle of various Corporate Actions for the Investment Bank division
Ensure Corporate Action event data is in line with market data and Credit Suisse standards
Ensure the positions within the events are in line with the various market entitlement rules
Manage payable and receivable items for Corporate action events
Actively resolve issues impacting stock record and mitigating trading risk during the event’s lifecycle
Collaboration with various counterparties, agent banks and depositaries

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