Operations Resume Samples
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Operations Resume Samples
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RH
R Hegmann
Roxane
Hegmann
4319 Bechtelar Creek
Phoenix
AZ
+1 (555) 804 7377
4319 Bechtelar Creek
Phoenix
AZ
Phone
p
+1 (555) 804 7377
Experience
Experience
New York, NY
Operations
New York, NY
Johnston, Marquardt and Pacocha
New York, NY
Operations
- CI Portfolio Management: Track, manage, and govern IZ improvement delivery and continuous improvement portfolio including creation and maintenance of KPI?s
- Coach, mentor, develop and conduct performance evaluations on leadership staff to improve their performance
- Work to create / improve metrics that record key risk indicators and the quality of our data and maintain a process to efficiently execute on these
- Work closely with Ops Senior Management, Sec Div Compliance, and Sales PMDs in the Securities Division to develop and execute on firmwide compliance strategy
- Use your innovative mind to make improvement to the expense management work flow and system to achieve greater efficiency and effectiveness
- Assist manager(s) in Proving status updates to internal clients and our management on a regular basis to create transparency and to reduce risks
- Perform trade settlement/fail management for managed account platforms where trades are executed with external counter parties
present
Chicago, IL
Operations
Chicago, IL
Dibbert-McGlynn
present
Chicago, IL
Operations
present
- Assist manager(s) in providing status updates to management on a regular basis to create transparency and to reduce risks
- Liaison with Asset Management PMO to provide assistance and management of project management processes, tools/templates and reporting
- Work closely with Ops Senior Management, Business Partners, and Operations counterparts to develop and execute on firmwide strategy
- Change Management: Execution of projects and initiatives to introduce efficiency and improve the Team?s risk management framework
- Balance Scorecard Development: Collaborate with business areas to define key performance indicators, establish baselines and set performance targets
- Business Case Development: Develop problem statements and evaluate them in relation to baseline performance and improvement goals
- Work to create / improve metrics that record workload drivers and build process to efficiently maintain changes to these
Education
Education
Bachelor’s Degree in Communication With Salespeople
Bachelor’s Degree in Communication With Salespeople
Ball State University
Bachelor’s Degree in Communication With Salespeople
Skills
Skills
- Calculation and issuance of margin calls, including validation and follow up, ensuring calls are met in a timely manner
- Perform approvals and manage workflow
- Respond to and manage incoming queries
- Proactively working on enhancing the team’s process and controls
- Resolution and escalation of all client disputes and queries
- Project and initiative management and participation within the team and across all regions
- Manage the planning/implementation of projects in Asia Pacific Operation
- Partner with Technology to create solutions that are technically viable and operationally acceptable
- Capture business benefits, ensure solutions will deliver the benefits and track the delivery of those benefits to the department
- Production of project plans in partnership with Technology, management of changes to those plans in a controlled manner
15 Operations resume templates
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1
Operations Resume Examples & Samples
- Lead efforts to design and develop taxonomies and evolve the Operations Division’s ontology
- Facilitate discovery sessions with a wide range of business and technology stakeholders
- Evaluate existing taxonomies and knowledge sets for inclusion in Operations Division taxonomies
- Conduct logical validation and inference analysis for new taxonomies using taxonomy management tools
- Advocate the use of ontologies and semantic technologies within the Operations Divisions
- Act as the Operations Division contact for Technology regarding data and functionality requirements for a taxonomy management platform
- Advanced degree in mathematics or philosophy with a strong emphasis on logic
- Professional experience applying ontologies in data, artificial intelligence, or application environments
- At least 5 years of experience in developing and managing large or multiple taxonomies and search technologies
- Experience with developing and implementing strategies for enterprise taxonomy development and deployment
- Experience developing and managing business-specific taxonomies, controlled vocabularies and metadata schemas for organizing information assets
- Experience implementing taxonomies in enterprise content management systems and with taxonomy and thesauri management software
- Working experience in the financial services industry
- Strong communications abilities, especially with synthesizing and arbitrating different points of view
- Must have strong problem solving and conceptual thinking abilities
- Successful track record of integrating enterprise taxonomies with enterprise information systems
2
Operations Resume Examples & Samples
- Manage exceptions relating to sub-allocated trades
- Demonstrate knowledge of settlement and payment procedures and deadlines in order to avoid fails (including DTC, fed wire, physical, European domestic and Euroclear)
- Facilitation of the account opening and documentation process with Operations, documentation, credit and Legal teams
- Assist in day-to-day settlement activities primarily in Americas and European markets
- Interact externally with GSCO Institutional clients, DTC brokers, counterparties, custodian banks, and transfer agents; interact internally with operations (securities/clearing/global control) and revenue businesses
- At least 3.5 years of work experience in Finance or related field
3
Operations Resume Examples & Samples
- Engage with Operations subdivisions to review business processes, generate recommendations leveraging different analysis techniques including Six Sigma, and quantify business cases for subsequent implementation
- Lead the effort to integrate design standards, approaches, tools and other enablers into one coherent Business Process Management capability for Operations to use in designing solutions. In developing our design capability we are first and foremost focused on process design and need to establish a strong business process management capability
- Collaborate with change groups both inside and outside of Operations to ensure our BPM capability is understood, adopted and supported
- Drive the streamlining and standardization of business processes performed across the Operations Division
- Build relationships with key stakeholders in Operations and be an evangelist for BPM throughout the Division
- Bachelor's degree required, preference for an engineering discipline
- Previous experience in financial services, management consulting, industrial process design, and business process outsourcing
- Experience using Aris (Software AG) or Signavio
- Hands on experience of one or more quality management methods i.e. LEAN, Six Sigma, Kaizen, TQM, BPR
- Process modeling, design and optimization experience using BPMN
- At least 2 years of work experience in practical process improvement and/or process re-engineering
- Graduate Degree in business or engineering preferred
4
Operations Resume Examples & Samples
- Support the delivery of cross-Operations, high priority projects across all typical project phases
- Project initiation and scoping, including definition of plans and setting and managing realistic expectations for successful delivery with project stakeholders
- Business analysis and requirements definition
- Testing and implementation, in particular user acceptance testing
- Ongoing project management, including progress monitoring, reporting and quality assurance throughout the project
- Build and manage strong relationships with project sponsors and stakeholders in Operations, Technology and the business. Manage competing priorities across these groups
- Understand the firm’s and Operations’ strategic plans, business, process and architecture in order to influence design and develop solutions
- Work with Operations business units to assess and streamline processes in order to mitigate risk, cost or service issues and generate efficiencies
- Note: Flexible work schedule may be available
- Minimum 3 years of work experience in a business analysis / project management function supporting both business process and technology implementations’
- Previous experience in Operations, Financial Services industry and / or Management Consulting
- Demonstrate excellent process and project management skills
- Strategic thinker with strong business analysis and planning skills
- Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding
- Ability to formulate the implications of a specific solution across processes, e.g. costs, risk, service
- Project management skills including project scope definition; project issues, challenges, risks definition; status reporting; User Acceptance Test execution
- Have a proven track record of scoping and driving delivery of projects and achieving results independently, on time and to budget inclusive of
- Strong analytical skills including process analysis. Very strong interest in the underlying detail of the analysis is a must
- Ability to design practical solutions
- Strong organization skills - ability to handle multiple tasks and prioritize accordingly
- Exemplary attention to detail and ability to work to tight deadlines under pressure
5
Operations Resume Examples & Samples
- Play a major role on cross-Operations process and product solution definition, implementation and support
- Co-ordinate cross-functional teams to develop key product solutions
- Be the go-to Subject Matter Expert on a number of key core products
- Co-ordinate and participate to ensure rigorous and high-quality functional user acceptance testing of core applications prior to deployment or major upgrades
- Support and coordinate global communication efforts through many media and forums – video conferencing, email, training materials, global team meetings, product status updates
- Define and implement sustainable governance processes around product deployment
- Understand the firm’s and Operations’ strategic plans, business, process and architecture
- Bachelors / Undergraduate Degree
- 1-3 years of work experience in a business analysis / project management function supporting both business process and technology implementations’
- Demonstrate excellent process, analysis and project management skills
- Possess good facilitation and excellent data gathering skills
- Highly collaborative, team player
- Excellent communication and interpersonal skills written and oral; confident in interaction with stakeholders
- Strategic thinker with strong business analysis and planning skills. Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding. Provides creative & innovative solutions. Ability to understand the implications of a specific solution across processes, e.g. costs, risk, service
- Has good understanding of assisting in delivery of projects and achieving results independently, on time and to budget including
- Ability to understand complex problems or opportunities, and define practical solutions
- Great organization skills - ability to handle multiple tasks and prioritize accordingly
- Demonstrate understanding of Operations processes and procedures and an ability to learn quickly. Knowledge of products and processes related to the financial services industry would be an advantage, as is related experience in technology strategy or in a client service or business function and / or management consulting
- Demonstrate comprehensive understanding of job-related operational and compliance procedures
- Understands and appropriately addresses Goldman Sachs compliance and reputational judgment issues
6
Operations Resume Examples & Samples
- Approve asset movements leaving client accounts
- Maintain integrity of customer accounts
- Strong-self management, presentation, communications, escalation and interpersonal skills
- Attention to detail and strong organizational skills
- Compliance and/or regulatory experience a plus, not required
- Series 7, 63 a plus, not required
- Internally driven
7
Operations Resume Examples & Samples
- Ensure timely and accurate capture/validation of corporate actions that affect GSAM portfolios
- Maintain relationships with GSAM fund managers and custodian/prime broker contacts
- Timely communication with the aforementioned contacts on relevant corporate actions
- Effective and timely execution of relevant steps in the lifecycle of a corporate action
- Bachelor’s degree
- Experience with Microsoft Office applications, specifically Excel
- Capability to prioritize and make decisions in a fast-paced environment
- Energetic team player, able to work well inside a group
- Demonstrates ability to independently troubleshoot and resolve most common problems that arise
- Demonstrable operational product knowledge of at least one of equities, fixed income, derivatives and/or currency
- Prior knowledge and/or experience of client reporting or fund reporting (1940 Act, Collective Trust, Cayman, Luxembourg)
- Proactively seeks and undertakes appropriate training to further enhance client / market / industry knowledge
- Demonstrates an in-depth understanding of how Operations supports the business, how risk is managed and how controls operate
8
Operations Resume Examples & Samples
- Allocation and booking of client trades in GS systems
- Reconciliation of GS books and records to the exchanges
- Exchange and Intercompany margining
- Reconciliation of consistency across GS entities and among various ledgers
- Brokerage fees payment, receipt and reconciliations for give-up trades
- Client and sales support for Listed Derivatives statement delivery
- Monitor and follow up with counterparty brokers on trade and brokerage related queries
- Generating various reports for regulators and internal clients
- Testing new systems and architectures
- Manage all executions done on Exchanges covered by Bangalore region
- Allocation and booking of client/house trades
- Resolving discrepancies between the firm’s books and records v/s exchange
- Resolving any queries raised by clients on a T 1 basis
- Look for constant innovation & process improvements
- Monitor and report positions to various stakeholders
- Minimum 3-4 years of experience
- Proficiency with Microsoft Office (Word, Excel, PowerPoint)
- Demonstrates the ability to manage and track multiple tasks and deliverables simultaneously
- Strong ability to understand the complex process and to be able to articulate it clearly
- Ability to proactively approach senior management at the appropriate timing, with the right amount of detailed information
- Excellent analytical, communication both verbal and written, and organization skills
- Strong professionalism and dynamism to act as a role model
- Meticulous attention to detail and the ability to meet strict, aggressive deadlines
- Strong risk management skills with the ability to come up with ideas for process improvement
- Positive attitude, proactive approach and strong interpersonal and leadership skills
- Ability to work and coordinate with teams across locations
- Willingness to work flexible hours
- Leadership and people management skills with ability to set a goal, make strategy and drive team to achieve it
- Coaching skills to motivate team members, applying most suitable leadership approach
- Understanding clearing of Listed derivatives on Asia and EMEA exchanges
- Knowledge of specific applications such as GMI and exchange systems
- Prior experience in similar field
9
Operations Resume Examples & Samples
- Leverage firm systems to analyze position exceptions in customer HIC accounts, and work with hedge fund clients to resolve any resulting issues
- Monitor and control risk associated with Prime Brokerage exceptions
- Perform root-cause analysis on client issues, and work with technology and other operations teams to reduce exception volumes and prevent reoccurrence of errors
- Help ensure the integrity of the firm’s books and records by proactively identifying control gaps and best practices
- Develop and implement process improvement methodologies to enhance daily efficiency
- Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint, Microsoft Word, and Access
10
Operations Resume Examples & Samples
- Calculation and issuance of margin calls, including validation and follow up, ensuring calls are met in a timely manner
- Perform approvals and manage workflow
- Respond to and manage incoming queries
- Project and initiative management and participation within the team and across all regions
- At least 3.5 years of work experience in Operations or related field (Associate)
- At least 3.5 years of work experience in Finance or related field (Associate)
- Prior experience with the Margin Lending business, systems, flows, products and client base
11
Operations Resume Examples & Samples
- Support new product origination and issuance of structured securitised derivatives
- Portfolio lifecycle management of scheduled and market driven events (coupons, barriers, callable features)
- New issuance documentation review to ensure integrity of risk and legal product document definitions
- Monitoring and resolving open items on the suite of business critical control and position reconciliations
- Constant interaction with the trading and sales desks on live issues and resolutions
- Work closely with all Federation areas to resolve both client and internal issues whilst also expanding understanding of the business
- Interaction across Operations and the broader Federation on strategic infrastructure development and business expansion
- University degree holder
- Minimum 2 years’ experience in Equity Derivatives Operations
- Good understanding of equity derivatives products (eg: CFD’s, Options, Swaps and Certificates) an advantage
- Middle office experience in an exotic/structured environment is preferred
12
Operations Resume Examples & Samples
- Manage the planning/implementation of projects in Asia Pacific Operation
- Undertake business analysis tasks on current operational workflows to redesign and document requirements for any new technology solutions
- Identify and communicate the impact of business requirements on functional processes, work with impacted areas to implement those changes
- Partner with Technology to create solutions that are technically viable and operationally acceptable
- Capture business benefits, ensure solutions will deliver the benefits and track the delivery of those benefits to the department
- Production of project plans in partnership with Technology, management of changes to those plans in a controlled manner
- Facilitate communication across multiple areas including Sales teams, operations, technology, legal and compliance departments. Liaise with global counterparts to ensure best practices and global consistency
- Define quality assurance and testing approach for projects. Document test cases and scripts, and run various types of testing phases including user acceptance, production data, production parallel, and conversion tests
- Develop migration strategies for the operational processes, including risk mitigation, conversion and recovery plans
- Perform post implementation reviews, including benefits analysis and lessons learned reviews
- Minimum of 1.5 years industry experience in the Financial Services industry, preferably in Operations or Technology
- Minimum of 1.5 years experience in a project management position with a proven track record of delivering complex projects individually or as part of a team
- Proven track record delivering technology projects. Ability to understand and challenge technical designs and plans and to partner effectively with systems developers is essential
- Project management skills and ability to execute a complete project lifecycle
- Strong business analysis and business requirements skills, with the ability to identify, review and prioritize business requirements across multiple user groups. Evidence of active engagement in defining improved processes and solutions
- Effective quality assurance and testing skills, including the ability to create test plans and test scripts, and track and resolve testing issues
- Ability to collaborate effectively across front office, operations, technology, legal and compliance teams
- Strong technical skills and familiarity with project management processes
- Outstanding leadership, interpersonal, presentation and communications skills
- Highly organized, attention to detail and excellent follow through skills, and ability to work independently and motivate a team. Capability to proactively determine next steps and break through stalemate situations
13
Operations Resume Examples & Samples
- Provide innovative solutions to meet the ever changing risk management environment; define a vision for execution of a risk-management strategy
- Facilitate industrialization efforts as part of the joint venture between the Industrialization team and risk
- Build and manage relationships with key contacts and senior managers across all Operations business units, Operations Risk teams, Technology, Operations Strategists and other firmwide risk groups
- Manage projects involving architecture changes, new system builds and enhancements to existing systems
- Articulate concepts & ideas into technical requirements; produce detailed requirements documentation and achieve sign off from stakeholders
- Communicate project goals and status through the life-cycle of the project
- Develop testing and implementation approaches and manage user acceptance tests, production parallels and migration plans
- Provide process / procedures and a framework for production support of the newly-built applications or processes
14
Operations Resume Examples & Samples
- Analyze operations process flows continually for the enhancements of quality, reliability, cycle time, cost reduction, and yield
- Investigate production quality issues to identify root cause and implement appropriate corrective actions
- Create and analyze ad hoc reporting, to determine trends and trouble shoot business process problems and issues. Deliver recommendations to leaders and business process owners
- Establishes critical success factors for the processes including the associated metrics to assess success, communicate results and drive the changes to effectively increase performance
- Coordinate with operations business units to align their work functions to end to end processes and collaborate with business areas to define key measures of performance and analyze potential improvement actions
- Establish and maintain process metrics and take corrective actions to correct process deviations
- Lead the implementation of small capital projects
- Bachelor's Degree in Engineering or Operations Management
- Process modeling, design and optimization experience
- Lean Six Sigma skills with Black Belt certification preferred
- Experience with aligning stakeholders, facilitating conflict, and communicating information in a way that enables leaders to have transparency on the underlying issues and potential solutions in varying settings including workshops, small group sessions or one-on-one meetings
- Minimum 5 years' experience in-house at a financial services firm or consulting firm
- Previous Operations related experience
15
Operations Resume Examples & Samples
- Provide technical expertise related to the implementation of new processes, global consistency, risk management, efficiency, and technology convergence initiatives among other projects
- Minimum 2 years of experience
- Has personal impact and experience to negotiate effectively with other internal groups, including front office
16
Operations Resume Examples & Samples
- Join team focused on client data quality and executing regulatory requirements while working with colleagues across multiple divisions globally
- Resolve issues and identify and implement process improvements related to client data by partnering with PWM Business, Compliance, Legal, and Operations groups
- Review client provided legal agreements and other account documentation for completeness and accuracy
- Create test plans, test cases, and scripts for full integration testing of complex applications and ensure that they support project goals
- Produce various executive status reports, and analyze data to ensure an accurate and meaningful consolidated global view on a regular basis
17
Operations Resume Examples & Samples
- Monitor daily reports on exceptions and problems by identifying root causes, and manage risks associated
- Coordinate pre-settlement activities including trade confirmation reviews and inventory management
- Respond to Ad hoc queries from traders, sales or clients
- Work with Operations business units to assess and streamline processes in order to mitigate risk or control issues and generate efficiencies
- Drive change management process for Industry Initiatives and internal enhancements
- Bachelor’s Degree (US or equivalent)
- Demonstrate strong communication skills and confidence in both written and verbal forms
- Demonstrate strong organizational/multi-tasking skills to cope with rapidly changing priorities throughout the day
- Demonstrate strong analytical and problem-solving skills
- Demonstrate understanding of Operations processes
- Takes initiative to improve performance outside scope of day to day
- Proficient with computer application and comfort with learning complicated systems
18
Operations Resume Examples & Samples
- Liaise with Derivatives, Clearing and Security Operations teams across the globe to ensure accurate application of cash and reduce client and liquidity risk
- Maintain close relationships with market counterparts, agent banks & internal business partners, as well as daily interaction with Global Treasury Operations teams in Tokyo, Hong Kong, Singapore, London, New York and Salt Lake City
- Assessing reconciliations and systems requirements for New Products as well as being involved in any initiatives undertaken to improve application of cash such as SWIFT messaging improvements
- Oversee the execution of high value or sensitive transactions (for Equities, Bank Loans, IBD and IPO’s amongst others)
- Manage and resolve payment related investigations, such as amendments, recalls, tracers and cancellations
- Minimize financial, reputational and regulatory risk to the firm and its clients
- Analyse and resolve exceptions, escalate risk items to management and the business
- Work towards improving efficiency & control of existing processes
- Defining and implementing necessary controls for new business flows in emerging and growth markets
- Develop and motivate diverse teams on departmental vision and strategy
- Exhibit confidence in communicating in a variety of forums, including one-to-one feedback sessions, formal presentations, training sessions and town halls
- Translate Firm and Operations strategies into objectives for the Department, and proactively manage performance against these deliverables
- Managing risks in the process by implementing and reviewing relevant controls
- Represent Treasury Operations on various cross department initiatives
- Manage and develop team members
19
Operations Resume Examples & Samples
- Partner with AML Compliance to ensure all AML requirements are met for new clients and/or accounts and new AML policies and regulations are fully implemented within Global PWM
- Work closely with PWM Teams to prepare Account Opening Documentation and ensure all necessary documents and disclosures are correctly sent to and obtained from client
- Ensure new accounts comply with all jurisdictional laws, regulations and firm policies
- Review client documents including organizational documents for entities to ensure proper account set up and all required signatures have been obtained
- Ensure suitability review has been completed via Client Profile Form (CPF)
- Identify red flags at client onboarding stage
- Liaise with other Operations Teams to ensure additional client documents received through onboarding process (Tax Forms, Banking Services Forms) are delivered to appropriate teams in timely manner
20
Operations Resume Examples & Samples
- Support the Goldman Sachs loan portfolio through ongoing monitoring of client compliance with financial covenants
- Communicate with internal groups to highlight credit risk concerns through weekly reporting and calls with Lending and Credit teams
- Correspond with external and internal parties to collect all required deliverables for covenant compliance
- Generate and distribute reporting to alert Lending Team of delinquent and non-compliant covenants
- Coordinate with internal tax and insurance team to monitor client’s collateral
- Manage projects for process and system improvements
- Loan servicing or operations background
- Some depth of loan product knowledge
21
Operations Resume Examples & Samples
- Document functional requirements for technology to describe the required changes to reporting processes as a result of rule changes or other change management initiatives
- Serve as stakeholder representing the group in firm-wide new business initiatives, managing the impact assessment reviews and implementation of changes to reporting as needed
- Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiatives on regulatory reporting
- Conduct deep dive reviews into existing reporting rules, processes and associated infrastructure
- At least 4 years of business experience in financial services
- At least 3 years of Project Management experience including development and tracking of project plans and preparing scope and user requirements documents
- At least 3 years of securities processing/clearing experience
- At least 2 years of preparing test scripts and coordinating user acceptance testing
- Strong technical skills, along with general understanding of system development lifecycle
- Strong analytical skills (strong Excel skills; basic SQL a plus.)
- Excellent communications and organizational skills
- Strong ability to partner with other areas e.g. Legal/Compliance to understand complex regulatory reporting requirements
22
Operations Resume Examples & Samples
- Interact with end users, senior management, and others to understand current issues in Operations, gaining broad exposure to the division’s and the firm’s business activities
- Total experience of 3+ years
- Strong understanding of computer science fundamentals and programming experience in a variety of languages ( Python, Java, Scala, C, C++, etc.)
- Strong interest in database technologies, such as SQL or Hadoop
- Understanding of distributed systems
23
Operations Resume Examples & Samples
- Process all loan related asset servicing: borrowings, repayments, rollovers, conversions, commitment reductions
- Communicate with external counterparties which may include Agent banks, borrowers and lenders daily regarding loan activity
- Communicate closely with internal counterparties such as Middle Office, Legal, Tax, Controllers, etc
- Cash/Wire Reconciliation Experience
24
Operations Resume Examples & Samples
- At least 2 years of work experience in accounting
- At least 2 years of cash/wire reconciliation experience
- At least 2 years of work experience in loan operations
- Ability to work in fast paced environment; need to think and make decisions quickly
- Fast learner with a proactive approach
25
Operations Resume Examples & Samples
- Perform daily transaction and position reconciliations such as subledger to general ledger, with external clearing agents/depositories, between intercompany accounts and other types of internal books and records functions
- Research reconciliation discrepancies, provide follow up and complete resolution
- Interact continuously with various operational areas such as Securities, Derivative, Clearing and Controllers to name a few groups
- Perform root-cause analysis on exceptions and make recommendations for process improvements
- Continuously assess reconciliation workflows to ensure maximum efficiencies and auto-match statistics
- Monitor and report suspense account balances to report differences in securities and/or cash settlement amounts
- Perform month-end procedures to meet regulatory requirements
- Work with other team members to ensure that the group’s overall goals and deliverables are met
- Knowledge of Operational Process Flows
- Client service oriented
- Proactive approach in addressing issues
- Exhibits strong problem solving and organizational skills
- Able to handle multiple tasks and prioritize accordingly
- Must demonstrate considerable energy, focus, drive, and a sense of urgency
26
Operations Resume Examples & Samples
- Risk Management (RM) team has a primary responsibility to provide a rigorous framework that enables future activity to take place in a consistent and controlled manner. This involves providing a comprehensive and structured understanding of business activity, volatility and project opportunity / threat as well as providing risk mitigation and prevention services and optimising operation efficiency
- Fund Administration (FA) has primary responsibility for Net Asset Value and Portfolio Accounting as well as providing high quality Fund Administration services for the client funds administered. This involves daily trade date cash and position reconciliations as well as daily settle date position reconciliations, between the client and Prime Broker. In addition, they will undertake monthly price and position reconciliations between the Client, Prime Broker, and GSAS. In this process they work closely with, and in support of, Fund Accountants
- Daily Cash & Position Reconciliation with custodians & Prime Brokers
- Daily Price/Position/Total Equity reconciliation for Futures and OTC derivatives products
- Daily/Monthly Portfolio Market Value reconciliation with Fund administrators
- Daily projection & reporting of tradable Cash & Position to respective desks
- Monthly Standard Client reporting for Institutional Client Portfolios
- Processing, controlling, confirming and settling the firm’s and our client’s transactions to a high quality standard as well as internally generated transactions necessary to conduct business
- Obtaining sound understanding of a wide range of financial products and markets as well as broad knowledge of our systems, with emphasis on life cycle, market practices and regulations
- Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation
27
Operations Resume Examples & Samples
- Assist in developing and integrating quality control framework for new and existing processes
- Responsible for managing local team comprising of analysts and associates
- Regional point of contact for managing queries and escalations
- Partner with Compliance to implement new and updated policies to satisfy regulatory obligations
- Collaborate with line teams to ensure sound and consistent practices across the division
- Coordinate and conduct training sessions for regional teams on new and updated policy guidance
- Conduct quality assurance reviews to ensure adherence to firm policies
- Assist with audit preparations in response to internal and external regulatory inquiries
- Participate and contribute to industry-wide initiatives
28
Operations Resume Examples & Samples
- Interface with, and understand all facets of the GSEC franchise to serve as the centralized point of contact for operational inquiries
- Foster premium client service by building single point of contact relationships and attending client visits
- Drive strategic root cause analysis on client’s operational allocation and trade processing (booking / amendments / settlements / fails) exceptions and inefficiencies
- Partner with the Operations Client Experience (OCE) and the Clearing Client Service (CCS). teams to drive client service and functional consistency
- Obtain in depth equity, fixed income, and option product knowledge
29
Operations Resume Examples & Samples
- Liaising with external & internal clients to maintain the integrity of data
- Process improvement and increased efficiency, and working to ensure costs are managed at the same time as maximizing control
- Accelerate Industrialization strategy which helps adapt to the new environment by selecting the right goals, developing the right behaviour’s and investing in the right tools
- Minimum 4-6 years of experience
- Strong communication and interpersonal skills written and oral; confident in interaction with all levels of employees
- Proficiency in Microsoft office applications (Excel / Power point / Word)
- Ability to deliver / Attention to details & deadlines along with adhering to risk and controls
- Forward thinking with the ability to assert new ideas and follow them through / finds alternative solutions and identifies clear objectives
- Be responsible for, willing to continuously invest in learning / training to stay abreast of constantly changing policy requirements including keeping abreast of industry developments related to AML and be able to demonstrate this
- Where needed act as the intermediary between Compliance, Legal and the business to achieve commercial outcomes that does not compromise our ability to comply with the AML Policy
30
Operations Resume Examples & Samples
- Minimum 2 years work experience in relevant function
- AML Compliance or other risk assessment experience strongly preferred
- Ability to understand large and complex regulations and rule sets
- Previous experience in writing policies and procedures
- Previous experience in people management
- Understanding of Risk – operational, reputational, client confidentiality etcResourcefulness, strong judgment and problem solving skills
- Previous exposure to project management or business analysis is desirable
- Ability to communicate effectively in both written form and verbally with peers and management
- Ability to work in a dynamic environment and respond to tight deadlines and changing requirements
31
Operations Resume Examples & Samples
- Assist in day-to-day settlement activities in US (DTC & FED), Canadian, Latin American and International markets
- Integral part of overseeing and satisfying regulatory requirements for 15c3-3 and Rule 204
- Interact externally with counterparties, custodian banks, and transfer agents; interact internally with Operations and revenue businesses
- Understand process flows and market requirements to help direct global convergence strategies
- Ensure risk, control and service level requirements are maintained
- Management reporting and transparency, leading by example
- Build on commercial effectiveness between firm desks and settlements while maintaining control/risk based judgment
- Assist with project initiatives designed to improve and streamline existing processes
- Devise and implement process improvements by partnering with Technology
- Solid leadership skillset with proven track record (people management experience a bonus)
- Self starter – Ability and motivation to learn new functions quickly
- Demonstrate accountability, integrity and quality of work
- Able to work under time critical constraints and execute to deadlines in a high pressure environment
- Experience in project planning, coordination and implementation
32
Operations Resume Examples & Samples
- Review and analyze master documentation (e.g. ISDAs/CSAs)
- Model complex legal and credit terms into firm systems for downstream consumption
- Identify key risks in documentation and develop new workflows or controls to mitigate this risk
- Liaise with Legal, Credit, Middle Office, Strats, Corporate Treasury, Collateral Management and other internal GS teams on adhoc issues
- Develop a comprehensive understanding of how various legal and credit systems impact other areas of the firm
- Streamline existing processes to increase throughput for documentation review
- Work with Technology on strategic enhancements to the firm’s existing infrastructure
- Coordinate with the global team to produce reports and metrics
- At least 4 years of professional work experience in a related field
- Knowledge of ISDA documentation and supporting CSAs
- Knowledge of Derivatives business
- Understanding of Securities
- Legal, Credit, Corporate Treasury, Funding background
- Strong attention to detail - goal of zero defect in work product
- Strong control orientation
- Ability to work independently as well as be part of an interactive team
- Ability to multi-task, prioritize, and manage projects
- Good problem solving skills/solid judgment
- Excellent verbal and written communication – role requires a lot of interaction with internal clients
- Ability to grasp complex concepts quickly
- Self starter who will push themselves to learn
33
Operations Resume Examples & Samples
- Communicate effectively across regions and with regional managers
- Resolve issues/disputes with clients
- Delivers superior client service
- Collaborate with GSS’s business unit to support client business and resolve issues
- Prime Brokerage/GSEC/Listed Derivatives and/or cash management experience a plus, but not required
34
Operations Resume Examples & Samples
- New account opening
- Account maintenance
- Performance of account linking
- Prime Brokerage functions
- Support and execution of on-going projects
35
Operations Resume Examples & Samples
- Ensure due diligence is performed to comply with “Know Your Customer” regulations
- Draft procedures to reflect changing regulatory requirements
- Implement process improvement efficiencies
- Coordinate with internal and external clients to obtain relevant on boarding requirements
- Approve the opening of new accounts
- Knowledge of Customer Identification Programs (CIP)
- Understand structure of trading counterparts
- Knowledge of financial markets and products
- Prudent in escalating potential risk to the Firm
- Securities Registrations
36
Operations Resume Examples & Samples
- Primary functions will be to assist with the regs requirements and necessary regulatory filings for our physical commodities
- At least 3.5 years of relevant work experience
- Strong understanding of Physical Commodities specifically, Coal, Crude Oil, Uranium, Freight and Base Metals
- Previous experience of working directly with the Front Office
- Strong communication, interpersonal, and presentation skills
- Excellent technical and analytical skills, absolute attention to detail, accuracy, and control focus required
- Control awareness
- Proactive, self starting individual with high levels of ownership
- Ability to work well under pressure, in a high-pressure environment
- Ability to prioritize workloads and use a proactive approach to meet deadlines
- Mature and pro-active approach to generating solutions for daily and long-term challenges
- Be driven, enthusiastic and dynamic in search of improving processes, controls and procedures
- Excellent team player, with high level of team orientation
- Excel Skills preferred but not essential
37
Operations Resume Examples & Samples
- Trade exception resolution
- Ad hoc queries from traders/sales/clients
- Liaise with internal teams on break resolution
- Manage Life Cycle Events, Allocation support, and/or Novation management
- Support new products and activities for the Credit Business
- Industry Initiatives and internal enhancements
- Excellent teamwork skills and ability to work with a wide user group across multiple functions
- Significant control and risk management mindset
- Self-motivated and confident when dealing with senior members of the firm
- Ability to work in a high-pressure environment
- Good PC application skills and comfort with learning complicated systems
- Derivatives background a plus
38
Operations Resume Examples & Samples
- Bachelors Degree (BA/BS) with competitive GPA
- Strong communication and interpersonal skills, both written and oral
- Proficient in Microsoft Office tools
- Bachelors degree in a quantitative discipline
- Self-starter, who thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives
- Previous internship experience in
- Financial Services
- Management Consulting
39
Operations Resume Examples & Samples
- Bachelors Degree (BA/BS)
- Minimum 4 years of professional experience
- Minimum 2 years of practical process improvement and / or process re-engineering
- Hands on experience of one or more quality management methods i.e.: LEAN, Six Sigma, Kaizen, TQM, BPR
- Ability to work across products, regions and functions
- Ability to work in project teams to help formulate the implications of a specific solution across the process, e.g. costs, risk, potential for re-use of services developed, etc
- Excellent communication and interpersonal skills, both written and oral
- Highly collaborative, team-oriented and strong consensus builder with confidence in interaction with senior stakeholders
- Masters Degree in business or engineering
- Previous experience ideally from
- Financial services
- Management consulting
- Industrial process design
- Business process outsourcing
- Experience in use of Aris or Signavio
40
Operations Resume Examples & Samples
- Handle cash management, assist teams in subscription and redemption of Hedge Funds, Private Equity Funds and Money Market Funds
- Assist on projects related to new business development, strategic planning, product development and other marketing infrastructure issues
- Infrastructure re-engineering – working with global project team in enhancing the platform
- Training – formulate training and development for analysts
- Minimum 2 years of work experience with previous client service experience preferred
- Cantonese and Mandarin language skills a must (Business level)
- Highly motivated and results orientated, have a high level of self initiative to challenge and improve processes
- Able to manage multiple task or projects and manage deadlines effectively
- Strong team player who is able to work under pressure
- Strong understanding of risk and control framework in operations
41
Operations Resume Examples & Samples
- Involvement in both short term and longer term initiatives employing typical project phases
- Project initiation and scoping, plan definition and setting and managing expectations for successful delivery with project stakeholders
- Testing and implementation, coordination of user acceptance testing
- Preparing status reports, conduct meetings to follow-up on issues and monitor progress of all work threads
- Ongoing project management and quality assurance throughout the project
- Build and manage relationships with key project stakeholders in Operations and Technology
- Develop broader global partnerships across Operations, broader Federation and the derivatives business
- Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiatives
- Minimum of 5 years experience in a project management or business analysis role
- Have a proven track record of assisting in delivery of projects and achieving results independently on time and to budget including
- Ability to coordinate and gain consensus across multiple groups (Operations, Legal, Compliance, Technology), in multiple regions, at various levels of seniority
- Solid understanding of the derivatives business and related products
- Highly articulate with strong verbal and written communication skills
- Demonstrate understanding of Operations processes and procedures and an ability to learn quickly – knowledge of processes related to Operations or the Financial Services industry, particularly in respect of derivatives or regulatory reporting, would be an advantage
- Demonstrated ability to work across products, regions and functions, preferably in the financial services industry and / or management consulting
- Technical aptitude and ability to partner with and provide sounding board to IT on technical solutions
- Very organized, able to work independently, and manage conflicting priorities
42
Operations Resume Examples & Samples
- Identification and reconciliation of operation risk items
- Partnering with internal counterparts to provide the best operation services to the clients
- Liaising with the Trading/Sales desks to ensure correct risk representation in Front Office risk systems
- Defining new system specifications and carrying out subsequent UAT testing
- Quick to pick up new concepts, challenge the status quo, identify inefficiencies in trade processing and execute change
- System literacy, (i.e. Programming Excel Macros, VBA etc) is an advantage
43
Operations Resume Examples & Samples
- Provide support for priority cross-operations strategic initiatives, including analysis, business requirements, senior management communications and program execution
- Support all phases of major initiative development from concept through tangible deliverables, resulting in multi-year implementation plans for significant segments of Operations’ strategic architecture
- Interact comfortably with stakeholders and other constituents at all levels in Operations and Technology
- Graduate or of graduate calibre
- Minimum of 4 years experience in investment banking operations and business analysis/project execution
- Proficient in Microsoft Word, Excel, Project & Visio or other business process management software
- Excellent communication and interpersonal skills both written and oral; confident in interaction with all levels of employees and navigating organizations
- Self motivated and well organized. Proven track record; ability to handle multiple tasks, prioritise accordingly and make decisions as required
- Strong background in technology including understanding of technology architecture and strategy and good numerical analytical ability
- Able to build and manage relationships between various user groups, technologists, and management
44
Operations Resume Examples & Samples
- Liaise with clients in order to track all requests for daily, weekly and monthly pricing
- Consolidate requests in order to communicate pricing needs to Trading
- Interact with Sales and Trading in order to validate and obtain all pricing requests
- Deliver all prices to clients in a timely and efficient manner
- Constantly recommend and develop more efficient methods of price consolidation and delivery
- Participate in development and implementation of Strategic Pricing System
- Plan and execute projects under Manager's direction
- Ability to generate creative solutions to problems and challenge processes; be willing to dig into the detail to resolve issues
- Some experience of portfolio reconciliations would be desirable
45
Operations Resume Examples & Samples
- SPG middle office supporting SPG Trading and Equity Sales team
- Interaction with ED Trading & Sales, ED Trade Processing and Control teams, and Prime Brokerage Reps to resolve client processing and booking issues
- Perform allocation, daily control and client service functions and work with Legal, Credit, Compliance, and Controllers to resolve daily issues
- At least 2 years’ experience in Equity Derivatives Operations
- Highly detail orientated and strong sense of control
- Good interpersonal skills with strong analytical / problem solving abilities
- Proficiency in Microsoft office applications (Excel / Powerpoint / Word)
- Desire to continuously reengineer existing processes, to leverage off previous Operational best practices, and apply it to our team
46
Operations Resume Examples & Samples
- Perform daily account opening, maintenance and closure based on the authorized request
- Verify the completeness of account document to fulfill internal/regulatory requirements
- Ensure timely report to Taiwan Exchange and Taiwan Central Depository Corp on account/settlement related updates
- Arrange proper documentation of the client instruction and account package
- Identify gaps in current processes and provide recommendations for better risk control and efficiency
- Establish relationships with brokers and custodians to streamline workflow
- Ensure relevant procedures are up to date
- Qualified Brokerage License for Taiwan market
- Minimum 2 years relevant experience in Operations in the finance industry
- Demonstrated team working skills as well as excellent communication skills
- Attention to detail and good follow up skills; ability to demonstrate initiative and ownership of issue resolution
- Self-motivated, driven to achieve and able to manage pressure and prioritize multiple tasks
- Fluent in both spoken and written Chinese and English
- Experience in Taiwan securities business
- Understanding of local regulatory and market practice
47
Operations Resume Examples & Samples
- Experience with speaking with trading desks and Middle Office teams
- Financial Product Acumen
- Derivatives product knowledge (Eg,Credit/Equity/Rates)
- Strong understanding of risk management principles
- Good Attention to detail with strong analytical and logical skills
- Strong client service
- Inquisitive mindset
- Good technical/system knowledge
- Ability to manage competing priorities and stay focused throughout the day
- Self motivated team player who takes ownership and accountability for work
- Proactive and can work well independently
48
Operations Resume Examples & Samples
- Determine, analyze and document business requirements leveraging Operations and business users knowledge as appropriate
- Liaise with Technology teams to define estimates for proposed development work, and track status of technical build and testing
- Plan, manage and support UAT phases leveraging Operations and Business users as appropriate, and work closely with
- Experience in either product, process and industry knowledge of derivative products e.g. credit, rates, FX, commodities, equity OR project / change management
- A strong understanding of how technology supports this kind of business areas
- Where the candidate has not performed a dedicated change management role, he/she must be able to demonstrate a key contribution to change in their current environment
- IAQ qualified
- Exposure to, or involvement in delivery of change in their current organization (business analysis / project management)
- Formal Project Management and/or Process Improvements qualification (e.g. Prince2, Six Sigma, PMP)
49
Operations Resume Examples & Samples
- Proactively manage external relationships for GS including agent banks, central counterparties, settlement and payment systems and other third party post-trade service providers to achieve the firm’s commercial and strategic goals
- Work with divisions of the firm to analyze and influence industry strategy and change
- Partner with divisional and business stakeholders to identify and execute on opportunities to develop optimal industry operating models, thereby facilitating GS business needs
- Provide transparent connectivity for agent bank and market infrastructure relationships at all levels of the organization
- Seek opportunities to facilitate the delivery of the Operations industralization strategy by creatively leveraging existing or establishing new external relationships to develop optimal sourcing solutions for the industry and the firm
- Coordinate the firm’s vendor management program for market infrastructure providers, which will assess vendors’ risk management, fee structure, service level, and issue resolution
- Ability to operate independently and effectively drive multiple initiatives
- Detail oriented with the ability to quickly identify and learn pertinent information across wide range of businesses
- Outstanding analytical and decision-making skills
- Ability to combine tactical and strategic thinking
- Excellent communication skills with the ability to influence a wide range of stakeholders, both internally and externally
50
Operations Resume Examples & Samples
- Manage real-time trade booking exceptions internally between the trading desk and sales force
- Liaise with trading, sales and various operations teams to resolve trade exceptions
- Monitor trade flow exceptions and perform necessary resolution. Respond to inquiries from trading and sales force
- Mitigate risk by reconciling discrepancies between the trading desk’s positions and the firm’s books and records
- Engage in various industry and regulatory initiatives in a constantly changing environment
- Collaborate with technology teams on the implementation of process flow improvements and efficiencies
- At least 2 years of relevant experience
- Excellent PC skills (Word and Excel)
- Ability to communicate with individuals at all levels
51
Operations Resume Examples & Samples
- Preparation of data and systems for monthly statement reporting cycles
- Follow-up with other Operations teams to clear statement holds
- Ad-hoc regulatory communications
- Manage projects to support the monthly statement process
52
Operations Resume Examples & Samples
- Understand the variety of different products supported by the team
- Identification and reconciliation of trade booking errors
- Liaising with Trading/Sales to ensure timely booking of new trades and amendments to existing bookings
- Management of life cycle events on existing Trade population with Trading, including interaction with internal teams to ensure relevant actions are taken
- Provide assistance to other Operations teams dealing with trade related queries (during the trade confirmation drafting and settlement process) acting as an intermediary and liaising with Trading/Sales where necessary
- Awareness of ISDA, key definitions and standards and current industry initiatives would be useful
- Industry Regulatory Reform Agenda
53
Operations Resume Examples & Samples
- Provide support for PWM special investments such as GS hedge funds, AAG hedge funds, and private equity
- Serve as single point of contact for PWM Teams, Operations, & Product Manager inquires
- Responsible for order management and settlement flows with third party fund administration/record keeper
- Liaise with third party fund administrator/record keeper, PSC and/or SIG on trade flows and strategic initiatives
- Perform trade and position reconciliation for PWM accounts
- Participate in projects and process improvements to create efficiencies within the alternative investment platform
- Understanding of the securities industry; experience with Wealth Management brokerage functions preferred
- Order management and trading experience
- Hedge Fund industry knowledge preferred
- Strong commitment to quality, controls, and procedures
54
Operations Resume Examples & Samples
- College or graduate degree required
- Minimum of 5 years Operations experience (Reference Data preferred)
- Financial sector experience desired
- Critical thinking: ability to suggest improvements and identify risks
- Service orientation: sense of urgency, ability to manage internal clients’ expectations and professionalism
- Strong knowledge of Microsoft Office (Word, Excel, access, etc.)
- Team-work oriented, strong interpersonal skills
55
Operations Resume Examples & Samples
- Calculation, review and analysis of the daily regulatory client money requirement – this will involve daily interaction with Operations and Finance areas globally
- Review of client documentation to ensure regulatory compliance
- Participation in project work to develop and improve reporting systems
- Establish close links with Legal and Compliance so as to keep up to date with Client Money developments and initiatives
- Oversight responsibility for custody functions executed out of Bangalore
- Proficient in the Regulatory rules, governance around their application including providing daily guidance on process queries (includes discussions with Compliance)
- Provide client money training to Operation groups that provide input to the daily client money lock up number
- Challenge the status quo – challenge, test and enhance the client asset to further enhance the control environment
- Increase the awareness around client asset lock up process and strengthen the control mindsets of the Operations teams impacting the process
- Strong communication skills to clearly articulate issues and ideas with different levels across Operations and Federation stakeholders
- Aptitude for understanding and appreciating the importance of regulatory and control frameworks
- Proven track record of improving processes and demonstrating successful teamwork
- Proven ability to effectively manage operational risks and to develop control enhancements
- Good management skills
- Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations
- Innovative and flexible in coming up with suggestions and ideas
- Practical experience of working in Operations or Internal Audit
56
Operations Resume Examples & Samples
- Responsible for one or more drafting asset class teams within the Cross Product Confirmation Drafting Group
- Responsible for managing day to day risk of the team, ensuring we are adhering to internal risk and control policies
- Responsible for developing, challenging and progressing all individuals in the team
- Working knowledge of one or more product ISDA Definitions
- Maintain high standards of accuracy and consistency around termsheets, risk bookings and confirmations
- Liaise with internal groups (sales, trading, compliance) to resolve and escalate issues
- Partner with IT and Sales/Trading on systems enhancements and development
- Liaise with Legal Department to standardise templates for repeat structures and create templates for new structures
- Spearhead the development of the documentation function in accordance with market standards as well as regulatory requirements
- 6 years of full time work experience
- Undergraduate Degree Required
- Vice President level position with experience managing a team in a Derivative Operations environment
- Experienced in drafting ISDA Confirmations and reviewing structured products across one or more asset class
- In-Depth understanding of risk and controls required to support structured transactions
- Demonstrates the capacity to think strategically about how they approach and manage their functions day-to-day
- Is a risk manager who understands the businesses they support and the teams they supervise and owns the details of their teams day-to-day functions, demonstrating accountability, completeness and a strong culture of escalation
- Exhibits ability to influence senior leadership and manage business relationships on a range of topics such as processes, technology investment, resourcing and business priorities
- Able to operate autonomously, managing complex projects and functions with minimum management oversight, but knows when to engage management appropriately and timely. Has a track record of success that optimizes across the risk, client service and economic needs of the businesses they support
- Ability to deal with multiple demands through effective prioritization, load balancing, time management and a focus on delivery
- Demonstrates strong management skills that inspires, develops and motivates high performing, diverse teams
57
Operations Resume Examples & Samples
- Cashflow validation: Settlements is made aware of any issues that may prevent a timely settlement like high-risk payments, incorrect/missing account set-up
- Payment confirmation: Prior to instructing payments, Settlements ensures that cashflows have been pre-agreed with counterparty
- Payment instruction: Before instructing any payments, Settlements ensures that payment instructions have been properly entered and approved by managers
- Releasing payments: Ensure that payments are released from internal systems utilizing the established procedures
- Break resolution: analysts will investigate any discrepancies or fails associated with payments, to ensure the timely resolution of any breaks in booking and settlement systems
58
Operations Resume Examples & Samples
- Supporting trade flow, verification, and books and records accuracy of listed and OTC FX products
- Ensure positional integrity and trade flow between risk systems, processing systems, and books and records
- Serve as a central point of contact for Trading and other Operations teams
- Generate and review management reports and risk analytics
- Ensure the accuracy and completeness of the firms daily Funding Requirements
- Awareness of key middle office risks and controls
- Email & query management through application of critical thinking skills
- Experience and ability to interact with Sales and Trading teams on a daily basis
- Foreign Exchange Operations experience – specifically FX product knowledge
- Understanding of trade allocation and confirmation processes, including trade discrepancy resolution
- Reconciliation and reporting analysis and problem solving skills
- Ability to network and interact across Global Derivative Operations, and Technology teams
59
Operations Resume Examples & Samples
- Nominating oil positions to relevant Market/System Operators and managing intraday issues related to oil flows
- Ensuring counterparty and Operator submitted data reflects our trading positions
- Providing Traders & Sales Teams with timely and accurate market data
- Reconciling inventory between internal systems and Market/System Operators
- Interfacing with Settlement teams to provide information and resolution to settlement issues
- Develop a detailed understanding of the Oil Industry with particular emphasis on physical transportation & storage
- Participate in ongoing development of the Global Logistics team procedures & processes required to support our developing business
- Project Management to facilitate trading in a new market including external interfaces and internal IT systems
- Interfacing with Legal, Compliance, Credit, IT, Tax & relevant external bodies
- Work well under pressure and meet deadlines
- Ability to learn quickly in a fast moving environment
- Team oriented approach – openness and good communication skills within the team and the ability to work across functions inside and outside of Operations
- Innovation, able to suggest & implement ideas to complement & develop new processes as they evolve with the business
- Self-motivated to manage projects and seek opportunities to enhance business benefit
- Focus on control issues, processes and procedures
60
Operations Resume Examples & Samples
- Risk Hunting – identify new risks in Clearing Operations processing for which there are currently no mitigating controls in place and also identify control failures and gaps in the processes; put forward remediation and suggestions to mitigate the risks and enhance the control framework
- Post Implementation Reviews – perform an analysis of a recently implemented process or mitigating control to ensure it has been fully and consistently implemented across Clearing Operations
- Challenge the status quo – challenge the risk and control framework to further enhance the control environment
- Incident Review & Analysis – conduct deep dive reviews on the incidents, aiming to define common risk themes and issues, and put forward suggestions for remediation. Participate in the Level 1 incident sharing process to work with the line managers in reviewing and sharing the lessons learned
- Risk Metrics and Analysis – work with the Clearing Operations team and other regional/functional Operations groups to identify key risk metrics (e.g. via Risk Quotient) and highlighting areas of concerns, working with line managers on remediation efforts
- Risk & Control Self Assessment (RCSA) – work with line managers in ensuring the RCSA risk and control templates reflect the current risk environment and also vet through RCSA issues raised to ensure proper remediation is in place
- New Product Process/Migrations – provide guidance and advice from a risk and control perspective to ensure risks arising from new products and/or business, migrations, etc. are properly addressed
- Work closely with other risk managers in other locations to share key initiatives and best practices; better integrate with the wider global Operations Risk Management teams
- Increase the awareness on risk management and strengthen the control mindsets of the Operations teams in the region
- Provide risk management related training to the Operations teams in the region
- Excellent communication skills to clearly articulate issues and ideas with different levels across Operations and Federation stakeholders
- Strong control mindset with a passion for risk management
- Practical experience working in Operations
61
Operations Resume Examples & Samples
- Processing of Voluntary EMEA Equity and Fixed Income Corporate Action and Income events
- Execution of client instructions to local custodian banks
- Reconciliation of cash and security positions
- Distribution of entitlements
- Supporting and liaising with internal trading desks, Prime Broker clients, Stock Loan counterparties and external brokers
- Extensive interaction with Client Services Group and other operations departments
- Assisting the stock lending desk with arbitrage opportunities
- Resolving internal breaks and reconciliation of elections on accounts related to hedge fund clients, trading desks, private wealth clients and external brokers prior to market deadlines
- Opportunity to participate in a wide range of projects
- Superior organization skills with regards to day to day and project work
- Logical and proactive thinker
- Ability to work in a high risk environment to challenging deadlines and targets
- Proven track record of using initiative and implementing process improvements
- Understanding of a broker dealer environment and key associated market risks
- Experience of Crest and UK market is preferential
62
Operations Resume Examples & Samples
- Management of relationship with client through daily communication and regular client visits
- Timely and accurate response to queries raised by direct hedge fund clients and other business partners
- Risk management & reporting - the monitoring of various reports for distribution to clients and senior management
- Supporting and liaising with internal trading desks, Prime broker clients, Stock loan counterparties and external brokers
- Extensive interaction with the Global Asset Servicing Group and other operations departments
- Strong Client relationship skills
- Experience of Asset Servicing
63
Operations Resume Examples & Samples
- Provide process, procedures and framework for production support of Syndicate balances
- Build and manage relationships with key contacts and senior managers across Firmwide Groups, IBD, Operations Risk teams, and Technology
- Provide management reporting around different metrics to ensure a strong understanding of the business progression
- Ensure strong career growth and mentoring for team members through both formal and informal feedback
- Develop, motivate and organize staff to encourage accountability and achievement within the team
- Ensure that the team adheres to all policies, procedures and controls through consistent review of checklists and control reporting around risk management framework
- Identify opportunities to standardize and improve procedures and processes across the global framework
- Identify areas of potential risk and implement best practice and appropriate process and procedures to mitigate
64
Operations Resume Examples & Samples
- Establish, lead and champion the Testing Centre of Excellence (TCOE) including
- Understand and manage expectations for successful delivery with project stakeholders
- Lead test execution and test automation delivery for initial areas in scope (regulatory reform testing delivery for the Derivatives Operations Sub-division)
- Set up the TCOE capability by defining the strategy and roadmap with key milestones and deliverables
- Ensure programme alignment with wider Operations and Technology testing goals
- Define the business case for the TCOE
- Define the Target Operating Model including functions / processes supported in the TCOE, methodology, functional architecture, systems architecture, number of people, skills required, pace of ramp up, key performance indicators and management information (MI) required
- Define and agree a comprehensive test methodology across all aspects of testing involving Operations – test strategy and preparation linked to requirements, User Acceptance Testing, regression testing, test management, test automation, TCOE entry and exit criteria, etc
- Define systems needs and select packages or in-house applications
- Design, build, test and deploy the appropriate testing framework to support the testing methodology
- Develop a framework to helps prioritize work done by the TCOE
- 10 years of professional change experience with 4 years of test management and / or with experience in establishing or running a TCOE
- Demonstrate excellent people management skills
- Work closely with Derivatives Operations Regression Testing team in Bangalore and their consulting vendor
- Define and agree transition plan for consulting vendor exit
- Build capability (people, processes, systems) to enable that transition plan
- Lead, manage and champion the TCOE including
- Day to day management of people, processes, systems and communication to stakeholders
- Research industry best practice and provide thought leadership in GS on improving our testing capability
- Promote and advocate overall quality excellence and encourage innovation to enhance team efficiencies to maximize the ROI for TCOE
- Define and communicate strategic vision and goals for the team
- Provide transparency on the TCOE performance, utilization and accomplishments
- Implement and evolve appropriate measurements and metrics
- For the TCOE as a whole including business case as well as daily MI
- To be applied against the product under test To be applied against the testing team
- Manage and grow testing assets (processes, people and tools) required for meeting the testing mandate
- Act as a client manager to key sponsors and stakeholders in Operations, Technology and the business
- Communicate effectively to identify and evolve testing solutions and strategies
- Identify new ways to increase stakeholder satisfaction and deepen relationships
- Deliver superior solutions to stakeholders and proactively seeking out feedback Face off with Operations and Technology senior managers to resolve risks and issues in a timely manner
- Build and manage strong relationships with project sponsors and stakeholders in Operations, Technology and the business
- Manage competing priorities across these groups
- Understand the firm’s and Operations’ strategic plans, business, process and architecture in order to influence design and drive change related conversations. Link closely with related initiatives – RTMA, Zebra, etc
- Provide guidance to project resources on applicable use of the methodology and project organization for testing
65
Operations Resume Examples & Samples
- Strong team-player, excellent communication skills
- Ability to work independently, to take initiative and to be proactive; exhibit analytical and creative thinking in problem solving
- Proactive client service orientation to the business and to external clients
- Ability to multi-task in a high pressure environment
- Ability to analyze and improve existing process
66
Operations Resume Examples & Samples
- Perform day to day Asset Servicing processing including reconciliations and approval of event set up
- Ensure timely and accurate capture/validation of corporate action and proxy events
- Maintain relationship with several Ops teams and agent banks/custodians
- Timely communication with the above mentioned contacts on relevant issues
- Effective and timely execution of relevant steps in the lifecycle of an Asset Servicing event
- Strong problem solving skills with analytical and control mindset
- Strong organization and multi-tasking skills with attention to detail
- Technical Skills - Demonstrates strong technical skills, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
- Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles
- Client and Business Focus - Effectively handle difficult requests, build trusting, long-term relationships with clients and manage client/business expectations
- Teamwork – Gives evidence of being a strong team player and interpersonal skills collaborates with others within and across teams, encourages other team members to participate and contribute
- Judgment and Problem solving - Thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
67
Operations Resume Examples & Samples
- Minimum of 3.5 years work experience in relevant function
- Understanding of Risk – operational, reputational, client confidentiality etc
- Resourcefulness, strong judgment and problem solving skills
- Proven ability to work well in a team environment
68
Operations Resume Examples & Samples
- Work closely with the Trading and Sales desks to resolve post execution discrepancies on a variety of credit related products
- Participate in and lead ISDA Working Group discussions to establish greater standardization in the Credit Derivatives space and drive industry initiatives forward
- Execution and management of lifecycle events and support project teams in meeting objectives related to departmental wide initiatives
- Risk mitigation, ensure economic trade details are agreed with counterparties promptly post trade execution
- Close interaction with experts from various different teams such as Technology, Projects and Trade Management. This role will involve a large amount of facilitation and negotiation
- Resolve trade breaks between GS proprietary systems and the vendor systems
- Work closely with other team members and management to achieve both industry set and internal targets
- Create, manage and own close relationships and partnerships with business partners and external clients
- Develop and implement strategic changes to re-engineer and industrialize processes and reduce risk surrounding the function
- Accuracy and absolute attention to detail required
- Ability to demonstrate initiative and curiosity through past experiences
- Sound judgment, analytical and communication skills
- Derivative product and technical process knowledge is beneficial
69
Operations Resume Examples & Samples
- Negotiate Master Confirmation Agreements (“MCAs”) for Equity Derivative products (ISDA published and in- house MCAs, vanilla and structured templates) with counterparties
- Liaise with Legal, Trading and Sales to agree documentation with Counterparties
- Timely resolve mark-ups on outstanding trade confirmations
- Resolving queries and exceptions where necessary, understanding the importance of effective escalation
- Participate on Industry & ISDA working groups to establish standardised templates for new products
- Partner with other teams, departments and management on strategic and ad hoc projects
- Minimum of 3 years experience in Operations, derivatives and/or legal documentation
- Client focused and target driven
- Flexible team player with an ability to work well under pressure
- Effective problem solver and consensus builder
- Be driven, enthusiastic and dynamic in search of improving processes, controls & procedures
- Understanding of ISDA Documentation structure
- Previous negotiation or drafting experience, preferably within Equity Derivatives at a broker dealer
- Understanding of regulatory timeframes and the impact on documentation issues
- Advanced degree in business and/or law could be combined with years of experience
70
Operations Resume Examples & Samples
- Based on the operations floor within our main campus, you will be part of a team concerned with the capture and processing of all post trade life cycle events relating to cleared derivatives positions held by our clients and internal trading desks
- Events covered include Exercise, Assignment and Expiry of futures and options positions, Corporate Action processing and physical delivery of underlying instruments as applicable
- Prompt investigation and resolution of queries raised to the team via our client facing and internal middle-office teams
- Prompt escalation of any unusual or erroneous activity relating to clearing
- Root cause analysis of breaks and issues experienced by the team with a drive to improve and streamline failing or inefficient processes
- Liaising with CRM & Sales to help streamline processes in partnership with our clients
- Providing input and participating in UAT for a broad range of projects and upgrades
- Ongoing enhancement of our Business Continuity Process (BCP) cross-regional training and handovers
- Proven track record within operations, preferably within Listed or other Derivatives area
- The ability to work efficiently in a fast paced and dynamic environment
- A proactive, self sufficient and mature work ethic
- A strong team player who is able to work efficiently under extreme pressure and time sensitivity
- Enthusiasm and a strong desire to learn about trading and markets
- A highly confident and professional approach
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Operations Resume Examples & Samples
- Perform daily reconciliation functions and ensure breaks are resolved on a timely manner
- Demonstrates a strong understanding of the process flows and able to resolve complex breaks
- Effective escalation on critical & high value breaks to senior management
- Work with the wider team and management to effectively & efficiently manage process & business targets
- Communicate in a clear and concise manner with global and regional leadership
- The role may not involve direct client interactions but is a key component of superior client service delivery; hence it requires a good understanding of clients business & priorities
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Operations Resume Examples & Samples
- BA or BS degree is required; concentration in Finance or legal studies a plus
- 3+ years of Operations experience, preferably in derivatives
- Ideal candidate should have an understanding of credit derivatives, including the current regulatory environment
- Legal documentation experience
- Excellent PC skills, including Microsoft Word and Excel
- Knowledge of current industry focuses and structured transactions a plus
- Excellent team player, able to work well inside a group and broadly across an organization
- Proven ability to organize and prioritize own workload and drive results
- Familiarity with the firm’s risk and control framework
- Ability to multitask and work in high pressure environment
- Strong written and verbal communication skills; demonstrated confidence in communicating in a variety of forums and with varied audiences, including: formal presentations, training sessions, larger meeting venues, and with external/internal clients
- Attention to detail, particularly with regard to legal language and a sense of urgency in escalating and resolving outstanding issues
- Demonstrated commitment to quality controls and procedures
- Understanding of the derivatives industry; knowledge of Credit Derivatives preferred
- Experience working with legal counsel and external customers a plus
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Operations Resume Examples & Samples
- Becoming an SME for the processes covered within the department, i.e. trade management, support of structured transactions, reconciliation, lifecycle event processing to name a few
- Oversight for a number of these functions, facing off to the trading desks, sales, as well as senior management within the Federation and Securities division and other internal groups
- People management – ensuring that the team continues to grow and develop, providing career guidance and support to team members and fostering their growth
- Involvement and contribution towards strategic project initiatives – we have a number on-going within the department, and we are looking for someone who is able to drive and influence as well as provide subject matter expertise
- Ability to demonstrate a sound of understanding of a range of Equity Derivative products as well as Cash Securities, or technical expertise demonstrated through experience with other Derivatives products
- Track record in the development of client relationships and key stakeholders, both internally and externally
- Ability to gain a strong understanding of the business and work with Prime Brokerage, Marketing, Structuring, Trading and Sales desks
- Ability to thrive and remain composed under pressure
- Strong leadership skills essential – this role will require a self-starter who can manage competing deadlines and can prioritise appropriately
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Operations Resume Examples & Samples
- Build and manage relationships with key contacts and senior managers across all
- Operations business units, Operations Risk teams, Technology, Operations Strats and other Firmwide risk groups
- Develop testing and implementation approaches, and manages user acceptance tests, production parallels and migration plans
- Minimum of 5 years of experience; At least 2 years of project management experience
- Experience working on a large-scale project and/or program management experience
- Strong written and verbal communication skills, including the ability to pitch to senior and junior audiences
- Ability to multi-task, as well as the ability to prioritize technology resource utilization
- Highly developed analytical skills with commercial focus and ability to perform business analysis
- Technical aptitude including proficiency in MS Office (Excel, Access, PowerPoint, Word, Visio; MS Project is a plus)
- Understanding of how technology works (Visual Basic / C or SQL understanding preferred)
- Knowledge of the technology development lifecycle, ability to understand process/system flows and ability to write detailed functional/technical specifications
- Ability to understand process/system flows
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Operations Resume Examples & Samples
- Trade management – timely allocation of trades, dealing with trade queries from internal and external clients
- Support execution of Structured and bespoke transactions
- Reconciliation – trade reconciliation, corporate actions processing and reconciliation, risk reconciliation, P&L reconciliation and completion of tasks associated with control around the business
- Identification of areas for improvement in processes
- Documentation of procedures and process flows to help enhance our controls around the business
- Daily review of control reports to ensure all trade bookings and risk management is accurate
- Working with internal clients to ensure that all breaks are resolved - these include external clients, internal trading desks, PB reps, Sales, Structuring, Settlements, Documentation etc
- Training and development of team members to a high standard
- Liaising with other teams within GS to ensure timely resolution of queries
- Ability to demonstrate a sound of understanding of a range of Equity Derivative products as well as Cash Securities. Strong Team-working skills – for working with both internal departments in London and globally
- Strong leadership skills essential – this role will require a self starter who can manage competing deadlines and can prioritise appropriately
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Operations Resume Examples & Samples
- Support new product origination and issuance of securitized derivatives
- Corporate actions management
- Daily risk mitigation duties such as risk booking analysis, ensuing the accuracy and completeness of hedging activities
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Operations Resume Examples & Samples
- Bachelor’s Degree (BA/BS)
- 1-3 years of professional experience
- 2+ years of practical process improvement and / or process re-engineering
- Be proficient in Microsoft Office tools
- Bachelor’s degree in a quantitative discipline
- Master’s Degree in business or engineering
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Operations Resume Examples & Samples
- Coordinate with other areas of the Firm when need be (i.e. Risk, Compliance, Legal, Business, Operations, etc)
- Coordinate directly with either CDD team members, sales and/or clients to obtain relevant on boarding requirements
- Perform capacity and authority reviews as necessary
- Possible oversight responsibilities
- Ability to adapt to new changes and new challenges
- Use best judgment to prioritize work flows and ensure deadlines are met
- Ability to forge strong relationships with colleagues and clients
- Pro active, self motivated
- Ability to deliver while working under pressure and tight deadlines
- Language skills Spanish and/or Portuguese (ability to speak and read)
- Proactive, self-motivated
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Operations Resume Examples & Samples
- Proactively assisting the Business, Operations, Compliance, and IT management in understanding the impact of business initiatives on regulatory reporting
- Analyzing the distributed workflow front to back to identify the root cause of report inconsistencies
- Conducting deep dive reviews into existing reporting rules and associated infrastructure
- Developing reconciliation tests and process control improvements
- Recommending infrastructure improvements; and developing recommendations for process control improvements
- At least two years of work experience with solid understanding of the Equities, Derivatives and Fixed Income industry and products
- Certification or industry accreditation preferred
- Prior experience in project management, risk management product development and implementation of strategic operational plans
- Prior Experience in complex financial products/functions with experience including data analysis, information technology, business operating processes, and compliance
- Experience in the regulatory reporting area is a plus (OATS, ACT, TRACE, Bluesheets, SEC)
- Ability to train staff to understand complex workflows
- Developing and tracking of project plans
- Strong ability to partner with managers to understand complex regulatory reporting requirements
- Coordinating user acceptance testing
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Operations Resume Examples & Samples
- Develop methods for assessing data integrity and identifying corrupt or inaccurate data
- Work closely with senior managers in Risk to develop new risk measurements and tools
- Assist in the standardization of risk measurement and management tools and their deployment and periodic refreshing
- Minimum of 3 years of professional experience
- Proficiency in Access a plus
- Basic knowledge of key concepts and methods in statistics
- Previous experience in Operations, Financial Services industry and / or other Technical discipline
- Attention to detail and experience in driving standardization of processes
- Strong communication and interpersonal skills both written and oral
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Operations Resume Examples & Samples
- Ensure timely and accurate confirmation of all trades
- Ensure prompt resolution of breaks and failing trades
- Establish and maintain relationships with broker operations teams
- Identify and escalate issues
- Identify opportunities to improve systems and processes where possible
- General knowledge of markets and financial products
- Well-developed organizational skills
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Operations Resume Examples & Samples
- Calculation and issuance of margin calls for PWM, PB and GSEC clientele
- Responding to all incoming queries and interacting with many different areas of the bank, in particular with Risk, Credit and Technology
- Strong organizational and multi-tasking skills to balance competing priorities and meet deadlines
- Exceptional understanding of products, risks, controls and escalations process across Operations
- Excellent problem solving skills; comfort dealing with large datasets and strong numerical aptitude
- Motivated, enthusiastic and career focused. Strong motivation to succeed, both as an individual and as a team
- Desire for continued improvement and new challenges, both on a business and personal level
- Excel skills an advantage
- Good working knowledge of product flows and systems, including OTC derivatives and intercompany processes
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Operations Resume Examples & Samples
- Technical Expertise: Experienced candidate in this financial industry who has product and functional expertise in Listed Equities or Fixed Income products. The candidate needs to be able to represent Middle Office to the business and to our external clients
- Risk Management Framework: Ensure that the team adheres to all policies, procedures and controls through consistent review of checklists and control reporting. Identify opportunities to integrate Risk Quotients into the daily workflow to assist with prioritization. Identify areas of potential risk and implement best practice and appropriate reporting to mitigate
- Change Management: Work cooperatively across the team and project managers to advocate for process improvement whether through technology or workflow enhancements, to think outside of box. Use root cause analysis, time in motion studies and metrics to evaluate work drivers and to target and drive process improvements within and across teams
- Business level Chinese or Japanese (verbal and written) is required as the role will require interaction with clients/colleagues based across the region
- Strong record of working proactively with Operation's Clients and Business partners
- Strong control focus and understanding of operational tools to mitigate risk
- Either Fixed Income products or Listed Equities products knowledge
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Operations Resume Examples & Samples
- At least 8 years financial industry experience that includes managing a department or team
- Excellent communication skills; Can face off with various internal teams including the business
- Strong problem solving skills; Able to quickly step into an issue and perform a risk assessment
- Experience working with Technology on strategic system enhancements
- Experience with KPIs to track productivity
- Knowledge of master derivative documentation including ISDAs and CSAs
- Knowledge of the derivatives business and the securities market
- Experience negotiating derivative documentation
- Experience validating trade/document terms against internal systems
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Operations Resume Examples & Samples
- Perform impact assessments on tax processes for new markets, new products, business reorganizations, system changes and new/changed tax regulations
- Investigate and remediate issues with tax processes and develop control improvements
- Work with senior management across the regions from both the Federation and Revenue generating divisions to manage change programs and issue resolution
- Define and produce comprehensive project documentation, including project plan/milestones, business requirements, process flow diagrams and management/project status reporting
- Produce test scripts and coordinate/participate in testing activities with Operations and Technology
- Conduct risk reviews and in-depth assessments of existing reporting infrastructure and recommend improvements
- Provide program oversight and regular feedback / reporting to management
- Act as a risk manager for the firm through ongoing assessment and awareness of the tax regulatory environment and the firm’s adherence to its tax reporting obligations
- Be flexible to contribute to other activities of the group where necessary
- Interact with Tax, Technology, businesses and the rest of Operations to manage change programs and issue resolution
- Develop expert knowledge in taxation requirements, processes and systems for a number of transactional based tax procedures
- Minimum 3 years post graduate experience with exposure to tax and/or project management
- Analytical thinker with the ability to generate innovative ideas and translate strategy to execution
- Problem solving and documentation skills with an ability to understand complex workflows
- Strong data analysis skills; MS Access or basic SQL skills a plus
- Proven ability to organize and prioritize workload and drive results
- Excellent communication skills with an ability to influence senior business stakeholders and make decisions
- Proactive and self-starting individual with solid teamwork skills
- Flexibility and ability to learn quickly
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Operations Resume Examples & Samples
- Produce and/or validate for accuracy daily, weekly or monthly regulatory reports
- Analyze daily, weekly and monthly reporting metrics to identify trends and areas for improvement
- Manage maintenance of procedures and other documents relating to the team
- Maintain a strong focus on streamlining inefficient processes
- Maintain strong risk management within the daily production process
- Proactively assist the business, operations, compliance, and IT partners in understanding the impact of business initiatives on
- Bachelor’s degree required. Certification or industry accreditation is also a plus
- 5 years of professional work experience in Operations, preferably in Derivatives
- Understanding of the derivatives business and related products
- Experience of process improvements and system upgrades/testing cycles
- Strong technical skills, along with general understanding of system development
- Strong ability to partner with colleagues in the business and other Federation teams
- Proactive self-starting individual
- Ability to spot ‘red-flags’, and strong understanding of when/how to escalate issues/concerns
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Operations Resume Examples & Samples
- Monitor all equity and fixed income trades for GSEC clients globally
- Mitigate risk by prioritizing all high risk trades pre and post settlement date
- Foster premium client service by ensuring timely settlement of all trades
- Drive strategic root cause analysis on reducing fail rate, enhancing client reporting and improving controls to mitigate financial and regulatory risks
- Drive industrialization by looking for functional consistencies across all Fails teams within Clearing organization
- Perform daily reconciliation between GSEC and GSI Books and Records
- Address inbound requests (via team hotline or distribution group) from Clients, Counterparties, Operations and Business Unit in a timely and accurate manner
- Drive strategic initiatives and projects to enhance controls and close efficiency gaps
- Adhere to the teams written policies and procedures
- Bachelor's degree required; candidates must possess a college degree from an accredited university
- In depth analytical and risk management skills
- Knowledge of post trade equity processing
- Ability to multi task and undertake project work on an ad hoc basis
- Ability to communicate with individuals at all levels within the organization
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Operations Resume Examples & Samples
- 7 years of professional experience with 4 years of project / change management experience in business process and technology implementations
- Ability to engage with and influence stakeholders outside their direct control
- Comfortable leading project working groups and possesses strong facilitation and data gathering skills
- Strategic thinker with strong business analysis and planning skills. Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding. Provide creative & innovative solutions. Ability to formulate the implications of a specific solution across processes, e.g. costs, risk, service
- Great organization skills - ability to handle multiple tasks, prioritize accordingly and make decisions
- Excellent communication and interpersonal skills, both written and oral; confident in interaction with senior stakeholders
- MBA / relevant change management certifications like PRINCE, PMI, PMP would be a plus
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Operations Resume Examples & Samples
- Proactively manage external relationships for GS including central counterparties, settlement and payment systems and other third party post-trade service providers to achieve the firm’s commercial and strategic goals
- Provide transparent connectivity for market infrastructure relationships at all levels of the organization
- Seek opportunities to facilitate the delivery of the Operations industrialization strategy by creatively leveraging existing or establishing new external relationships to develop optimal sourcing solutions for the industry and the firm
- At least five years of professional work experience, with previous experience in Operations, Financial Services industry and / or Management Consulting
- Track record of scoping and driving delivery of projects
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Operations Resume Examples & Samples
- Expiry and delivery notification management ensuring clients are fully aware of positions and risk
- Root cause analysis and strategic resolution of re-occurring problems
- Strengthening the Client and GS Business relationship
- Understanding of industry regulations including Dodd Frank, CFTC, SEC, EMIR
- Minimum 3 years of experience working in Finance
- Previous client service experience
- Understanding of the regulatory landscape governing derivatives products
- Passion for working collaboratively with external clients and internal stakeholders
- Common sense coupled with a strong analytical and logical approach to all work undertaken
- A flexible, proactive, energetic approach is essential
- A highly confident, mature and professional approach to all work undertaken and most importantly other members of the team
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Operations Resume Examples & Samples
- Help analyze client requirements and service standards from legal documentation and business requirements supporting all account events
- Identify and communicate the impact of business and client requirements on internal systems and processes
- Ensure that all client documentation required by the Firm’s Customer Identification Program (CIP) is received, reviewed and approved within the appropriate timeframes
- Process and control analysis to ensure effective oversight and risk management
- Basic knowledge of the asset management business and investment products across major asset classes (fixed income, alternatives, equities, money markets)
- Understanding of the trade lifecycle, from order and execution management, allocation, confirmation and fail management a plus
- Client interaction and commercial sense
- Able to deliver high quality results while meeting deadlines
- Experience working effectively across business, operations, technology, legal and compliance teams
- Understanding of the firms risk and control framework with the ability to identify and improve control weakness
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Operations Resume Examples & Samples
- Develop technical understanding of flows and processes across Liquidity and Trade Management functions
- Partner with the local and global functional teams across Funding Ops
- Build and manage relationships with key stakeholders in Operations, Technology and the businesses
- Contribute to the broader Funding Operations and LCO organization outside of specific business analysis deliverables
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Operations Resume Examples & Samples
- Prepare and review draft documents to clients
- Provide OTC derivative trade confirmation
- Discuss confirmation provisions with clients
- Liaise with internal groups (sales, trading, compliance) to execute all confirmations for customer base
- Liaise with Legal Department to agree upon acceptable language for documentation
- Spearhead the development of the documentation function in accordance with market standards and participate in industry knowledge forums
- At least two years of experience in the Derivatives industry, preference for experience in a documentation role
- Ability to meet multiple deadlines in a Trading Environment
- Strong communication skills, working to contribute to the effectiveness of the team and experience in negotiating effectively with other internal groups, including front office
- Skilled at gathering and analyzing quantitative data to guide decision-making
- Experienced in monitoring and ensuring that controls are in place and procedures are followed
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Operations Resume Examples & Samples
- Assist with running the global risk and controls self- assessment quarterly program. This includes co-ordinating with various global stakeholders, preparation of the presentation material and analysis. This is a key part of the risk framework which has a high level of global and senior management participation
- Challenge the status quo – challenge, test and enhance the Operations risk and control framework (e.g. RMT reviews, RQ, Self-Assessment, Incident Reporting, Spot Checks) to further enhance the control environment
- Production of various risk reports required by senior management to oversee risk across the division, analysis of the trends and highlighting these as needed to senior management
- Risk Metric Review & Analysis – conduct deep dive reviews on the incidents and other risk metrics, aiming to define common risk themes and issues, and put forward suggestions for remediation
- Work closely with the respective product aligned Embedded Risk managers and DRM teams in other locations to share key initiatives and best practices; better integrate with the wider global ORM teams
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Operations Resume Examples & Samples
- Supporting trade flow, verification, and books and records accuracy of listed products
- Bachelor’s degree or M.S. Finance
- At least two years of experience, to include Foreign Exchange Operations experience – preference for FX product knowledge
- Strong understanding of trade allocation and confirmation processes, including trade discrepancy resolution
- Reconciliation and reporting skills
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Operations Resume Examples & Samples
- Lead the effort to integrate design standards, approaches, tools and other enablers into one coherent Business Process Management. capability for Operations to use in designing solutions. In developing our design capability we are first and foremost focused on process design and need to establish a strong business process management capability
- Bachelors Degree – preference for an Engineering discipline
- 7 years of professional experience
- 5 years of practical process improvement and / or process re-engineering
- Masters Degree in business or engineering—preferred
- Experience of use of Aris (Software AG) or Signavio is desirable
- Demonstrated ability to work across products, regions and functions, preferably in the financial services industry
- Highly collaborative, team-oriented and strong consensus builder and confidence in interaction with senior stakeholders
- Demonstrate excellent communication and interpersonal skills, both written and oral
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Operations Resume Examples & Samples
- Develop expert knowledge in taxation requirements, processes and systems
- Drive strategy and solution design for key projects and change management initiatives by interacting with senior managers and other project resources across Corporate Tax, Technology, other Operations groups, and Revenue generating divisions globally
- Manage the end-to-end project lifecycle for key initiatives within Tax Ops including documentation of requirements and test cases, execution of testing, and project status reporting
- Coordinate and participate in testing activities for exiting system enhancements and new strategic technology builds
- Act as a risk manager by remediating issues and defining control mechanisms in order for the firm to remain in regulatory compliance with its tax reporting obligations
- Minimum three years post graduate experience with professional experience in project management and or/ business analysis within within Operations, Financial Services industry and/ or Tax
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Operations Resume Examples & Samples
- Monitor and investigate reporting breaks and process failures; synthesize and implement corrective actions
- Find and resolve booking discrepancies across complex derivative businesses
- Engage with front office and operations technology to help facilitate the resolution of technical production issues
- Develop and implement strategic changes to re-engineer processes and reduce risk
- Be a key player in projects specific to Regulatory Reform which will include understanding regulatory guidelines across multiple jurisdictions
- Ensure that processes are continually reviewed and improved, risk is managed, and results are achieved that meet expectations for timeliness, quality and cost effectiveness within the Department
- Bachelor’s degree with competitive GPA
- At least 3 years of professional work experience in financial services operations
- At least two years of experience with Microsoft applications like Excel and Word
- Ability to demonstrate strong technical skills and keen attention to detail
- Middle Office experience highly recommended
- Team player with a collaborative style and strong interpersonal skills
- Effectively handle difficult requests, build trusting, long-term relationships with the business and be able to manage expectations
- Strong written and verbal communication skills with ability to be clear, and concise
- Able to successfully multi-task, work towards extremely challenging goals and persist in the face of obstacles
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Operations Resume Examples & Samples
- Rapid development of desktop solutions across multiple platforms (Access, SQL Server, Excel, Outlook, SharePoint, C# and/or VB.NET, etc.)
- Provide technical support and manage enhancement requests for existing applications
- Conduct functional validation reviews on existing tools to mitigate risk, improve functionality and reduce support requirements
- Oversee the application Lifecycle Management process for assigned area(s) of responsibility, providing instruction where needed as well as enforcing policies and procedures surrounding application development
- Work with end users to model business processes, elicit functional requirements
- Drive process optimization and reduce risk, increase productivity and lower costs through intelligent automation
- Demonstrated ability to work independently as well as within a team
- Professional work experience with the following, with five years of experience preferred
- Microsoft Excel and Access development (Office 2010 or higher)
- Proficiency with Visual Basic for Applications (VBA) programming
- Proficiency using Microsoft Visual Studio 2008 or higher
- Ability to analyze, debug and/or enhance existing VBA applications
- Knowledge of MS SQL Server programming and SQL languages
- Ability to analyze, debug and/or enhance SQL Server stored procedures
- Understanding of relational database design
- Experienced with web application design using ASP.NET (other platforms a plus)
- Tableau and/or Business Objects experience
- Dashboarding and data visualization skills a plus
- JIRA administration/management
- Confluence (general Wiki) development/administration
- Business Process Modeling; Signavio experience a plus
- Business Decision Management experience a plus
- Business Analyst skills
- Essbase/OLAP experience a plus
- Requirements gathering, design, development and testing of applications
- Ability to communicate clearly with end users, development managers and other stakeholders
- Financial Services industry experience a plus
- Proficiency creating and delivering presentations
- Ability to manage several projects/tasks simultaneously
- Self-motivated with strong problem solving skills
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Operations Resume Examples & Samples
- Risk reporting – responsible for the production of a variety of risk reports:- weekly risk meeting, risk mitigation team,, incidents, regulatory response
- Automation – partner with the Operations Risk Technology Strategy team and the Risk Technology teams to design, enhance and automate the various risk reports for the division
- Reference data maintenance – update and maintain multiple risk reference data tables and sharepoint sites
- Risk Analytics Platform (RAP) – responsible for identifying enhancements and testing
- Coordinate the updating and close out of Risk Action Items
- Risk Metrics and Analysis – work with the ORM team and to identify key risk metrics (e.g. via Risk Quotient) and highlighting areas of concerns & themes across the division
- Risk & Control Self Assessment (RCSA) – work with the global ORM team in ensuring a smooth and efficient quarterly risk and control signoff process
- Practical experience in Operations
- Minimum 1.5 years of experience
- Microsoft Excel and Access development skills required
- Visual Basic for Applications programming language required
- Experience creating Excel and Access applications required
- Ability to debug and/or enhance existing VBA applications required
- Ability to analyze existing Macros and VBA code required
- MS Office automation using MS products like Outlook, PowerPoint, etc
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Operations Resume Examples & Samples
- Strong Microsoft Excel and Access development skills required (3 years minimum)
- Ability to perform several tasks simultaneously
- Ability to work independently, as well as within a team
- Business Objects, Essbase & Crystal Reports experience a plus
- Business Analyst skills a plus, especially in the Financial Services industry
- Ability to communicate clearly with end users and development managers
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Operations Resume Examples & Samples
- Comfortable facilitating project working groups and possesses strong data gathering skills
- Excellent communication and interpersonal skills, written and oral; confident in interaction with senior stakeholders
- Strategic thinker with strong business analysis and planning skills. Capable of identifying and interpreting wider-ranging issues: ‘Big picture’ understanding. Provides creative & innovative solutions. Ability to formulate the implications of a specific solution across processes, e.g. costs, risk, service
- Have a proven track record of scoping and driving delivery of projects and achieving results independently, on time and to budget including
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Operations Resume Examples & Samples
- Daily Settlement of IRS/FX/Equity Derivative/Credit Derivative cashflows and authentication of settlement instructions
- Monitoring of exceptions preventing trades settling in time, by working closely with Middle offices, Treasury and Funding teams
- Completion of a series of daily system reconciliations which ensure consistency of trade data between operational systems and the firm’s ledgers
- Work with the business, IT and other Operations teams to maintain and build scalable systems to support growing business with straight through processes
- Work on line initiatives and projects to meet regulatory requirements in the current dynamic regulatory environment
- Support sales and client regarding general queries in general
- Attention to detail and good follow up skills
- Ability to demonstrate initiative and ownership of issue resolution
- Fluent in both spoken and written Japanese and English
- Minimum 2 years' of experience in the financial industry
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Operations Resume Examples & Samples
- Perform trade processing, settlement, and reconciliation functions for GS and third party mutual funds
- Investigate and resolve trade activity and position level breaks related to onshore and offshore mutual fund trading
- Liaise directly with transfer agencies and vendors to ensure accurate settlement of trades and resolve trade, position or record-keeping issues
- Provide daily support to PWM sales teams
- Enforce regulations pertaining to mutual fund trading
- Continuously identify and implement process improvements
- The candidate will be expected to gain thorough knowledge of the function and relevant risk management systems within first 12 months
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Operations Resume Examples & Samples
- Lead and participate in Projects and New Business Initiatives
- Supervise and process daily trade matching and booking, and margin settlement with exchange and clients
- Perform client on-boarding process for foreign and domestic clients inclusive of documentation, due diligence, and account opening setup
- Prepare regulatory reports, such as, daily/monthly FSS regulatory reports, KOFIA reports, and ad hoc data requests from regulatory bodies such as BOK, KOFIA, FSS, KRX
- Perform daily reconciliation for client balances, broker margins, and bank balances
- Minimum 3 years' experience of Korea Listed Derivatives Operations
- In-depth knowledge concerning Korea markets, listed derivatives products and regulations
- Fluency in written and spoken Korean is mandatory
- Strong English communication and interpersonal skills
- Profound understanding of risk and control required in Operations
- Ability to prioritize and balance issues and workload and to manage and track multiple tasks and deliverables simultaneously
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Operations Resume Examples & Samples
- B.S. in technical field (math, physics, engineering)
- Strong understanding of Computer Science fundamentals such as analysis and design of algorithms, basic data structures, etc
- Programming experience in a variety of programming languages like C, C++, Java, Scala, etc
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Operations Resume Examples & Samples
- Supporting traders and portfolio managers across various asset management businesses
- Trade & payment confirmation / instruction
- Monitor daily reconciliations between various trading systems
- Interface with the Trading and brokers to resolve day to day issues and ensure efficient settlement of trading activity
- Problem solving capability for complex trade flow, accounting issues and trade discrepancies
- Process analysis to improve control, scalability and efficiency
- Manage collateral across various derivative instruments
- Provide liquidity analysis for GSAM’s funds, working closely with Portfolio Managers and Global Risk teams
- Providing project management leadership and/or support for new and existing products, with an emphasis on co-operation with Information Technology for the development and enhancement of processes and systems
- Building relationships with outside financial institutions (brokers, custodians, prime broker and fund administrator) to improve quality and productivity of work, integrating best practices as appropriate
- Providing regular and ad hoc management information on STP rates, risks and volumes
- Proactively identifying opportunities and enhancements to improve functions
- Maintain team procedures and provide regular management reporting to senior Operations managers and the business
- At least 3.5 years of professional experience
- At least 3.5 years of professional experience with financial products, knowledge in one, or more, derivative/core products with an interest to expand into other areas
- Preference of at least 1.5 years asset management or middle office experience (experience or solid understanding of OTC derivatives/Mortgages/Mutual Funds/Private Investments/Bank Loan confirmations/settlements or related trade support functions preferred)
- Understanding of industry agenda & platforms (e.g. DTC, ClearPar, SWIFT, FED, Oasys, MBSE, DTCC, Trade Warehouse
- Swaps wire etc) is a plus
- Fail trade/payment investigation experiences preferred
- Experience in broker and/or client facing activities
- Proactive, self motivated individual with high levels of ownership, and driven to achieve
- Demonstrate ability to identify inter-relationships and understand the broad impacts of work and projects across the organization
- Possesses excellent communication skills and attention to detail
- Strong interest in Operations and asset management trade support and/or middle office
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Operations Resume Examples & Samples
- Daily planning of deliverables and resource requirements
- Maintaining the expected turnaround time and accuracy level for functions performed by the team
- Direct point of contact with business unit queries. Partnering with various business units to ensure regular and timely payment of invoices or settlement of expense reports
- Manage various projects which are kicked off in the department
- Represent Accounting Services on various cross department initiatives
- Strong accounting knowledge
- General experience in execution of payments and financial transactions
- Knowledge related tax and compliance reporting related to 3rd party payments
- Minimum 3.5+ years experience in a similar role
- Ability to motivate teams to high levels of productivity and accuracy while retaining risk and control focus
- Strong analytical, organizational and interpersonal skills
- Good teamwork skills and ability to work with a wide user group in different regions of the world
- Strong communication and problem solving skills
- Committed and proactive with a desire to succeed
- Forward thinking with the ability to assert new ideas and follow them through
- Previous experience in people management in a collaborative team environment
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Operations Resume Examples & Samples
- At least 5 years of work experience in Operations or related field
- At least 5 years of work experience in Finance or related field
- Proficiency using the Microsoft Office Suite in particular Excel, Access, PowerPoint and Microsoft Word
- Experience reviewing legal documentation including but not limited to trust agreements, partnership agreements and LLC operating agreements
- Strong focus on control, maintaining accuracy and attention to detail
- Ability to work independently, multi-task and prioritize work under tight deadlines
- Intellectual curiosity, a strong work ethic and commitment to a superior work product
- Strong interpersonal skills with a focus on providing superior client service
- Excellent writing, communication and presentation skills; must be confident in interacting with all levels of employees and navigating a global organization
- Foreign Language Skills in French, German, Italian, Chinese or Japanese
- Experience leading complex projects across multiple regions and/or lines of businesses and products
110
Operations Resume Examples & Samples
- Have experience of designing decision model strategies that can support a holistic and broad scale BDM deployment within an organization
- Have experience of developing BDM strategies and methodologies that capture both the tactical and strategic goals of the organization, and which can be mapped to metrics to provide ongoing governance
- Have extensive knowledge of building decision models to fundamentally change the way that teams manage their businesses, and that are both high technical quality and cost efficient
- Have experience of designing and managing the appropriate control frameworks to ensure optimal standardization and re-use of decisions across organizations
- Be a subject matter expert for evaluation of business decision models and ensuring that they fit with our divisional strategy for BDM
- Have experience of building rule-based systems and analytical models for enabling high-volume, automated decision making
- Have demonstrated experience of eliminating business rules complexity and delivering return on investment through expedited implementation of decision and rules frameworks
- Have experience of enterprise architecture and building consistency and governance in the way that decisions are implemented across organizations
- Minimum of 3 years’ experience in investment banking operations
- Minimum of 5 years’ experience in Business Decision Modelling / Management or similar
- Experience of the lead business decision management software applications, including but not limited to Sapiens, BLAZE, BizzDesign, Pegasys
- Proficient in Microsoft Office applications
- Self-motivated and well organized. Proven track record; ability to handle multiple tasks, prioritize accordingly and make decisions as required
- Competent in Microsoft Office applications, particularly MS Excel
- Ability to articulate solutions clearly to senior management
111
Operations Resume Examples & Samples
- This is a highly interactive role and as such requires the capability to work effectively with a diverse range of professionals both internally and externally, covering a wide variety of products and functions
- Work with trading counterparties to provide the necessary documentation and information to allow them to conduct credit review and open derivative trading lines
- Partner with the Desk to understand investment and trading strategies to be able to provide suitable trading line coverage
- Work closely with Legal, once they negotiate legal documents to support the operational set up of accounts with trading counterparties
- Build a comprehensive understanding of the GSAM legal documents and structure – e.g. IMAs, ISDAs, GMRAs
- Identify potential risks in operational processes; develop and implement controls to mitigate risk
- Analyse, suggest and execute process improvements
- Managing relationships with key trading counterparts including performance metrics and issue tracking
- Minimum 3-5 years works experience in financial industry
- Ability to manage multiple deliverables and prioritise accordingly to meet completing deadlines
- Acute attention to detail
- Sound understanding of risk – operational, reputational, client confidentiality
- Ability to build strong relationships with internal stakeholders and external trading counterparts and vendors
- Excellent organisation skills
- Legal/Para-legal, Credit or on boarding experience strongly preferred
- Knowledge of Asset Management business and investment products across major asset classes is desirable
- Understanding of regulatory landscape – with particular focus on EU and US regulations will be useful
112
Operations Resume Examples & Samples
- Participation various aspects of account event management, including onboarding, restructures, and terminations
- Developing an advanced understanding of the German client base to be able to identify trending issues and drive change that will benefit both the client and GSAM
- Engaging with clients on daily basis to answer operational queries and attending client due diligence meetings on a ad hoc basis
- Operational risk oversight of clients portfolio’s relating to reconciliations, guideline breaches and trade exceptions
- Responsibility for delivering best in class client experience, using innovative approaches to identify and address clients’ needs
- Ad hoc analysis and reporting for Portfolio Managers, Distribution and Clients
- Managing and driving key projects for clients/wider GSAM operational initiatives. This involves structuring deliverables and effective communicate to key stakeholders
- Strong academic background including a Bachelors degree
- Minimum 6 years experience with a global asset manager
- Demonstrable background in client reporting
- Proven team management skills
- Thorough understanding of NAV’s and fund reconcilliations
- Demonstrable progression within previous positions and consistency of employment
- Keen to possess a good understanding of client types, relevant markets, products, processes, regulations and systems required to achieve business objectives
- Demonstrates and develops ability to independently troubleshoot and resolve problems that arise
- Ability to demonstrate success in improving processes and experience of working on projects to deliver efficiency gains
- Experience in being able to scope, drive and deliver projects through self-initiative
- Proficient organisational skills, with ability to coordinate regular communication key stakeholders
113
Operations Resume Examples & Samples
- Using systems to analyze and process client trades with incomplete information or rejected based on internal controls
- Extensive communication with clients, Product Data Quality, Technology, as well as representatives within Prime Brokerage area
- Escalation of issues to management in a fast paced, deadline driven environment
- Continue to ensure that optimal controls are in place in performing daily functions
- Participation in cross-training, procedures, and ad hoc team projects / initiatives
- Strong product knowledge and an understanding of domestic and international markets
114
Operations Resume Examples & Samples
- Liaising with the Trading/Sales desks to ensure timely processing of amendments to existing bookings
- Provide technical assistance to Trading/Sales when booking new trade types
- Provide assistance to the wider Operations teams, dealing with trade related queries and acting as an intermediary when liaising with Trading/Sales where necessary
- Opportunities to participate in high profile project work at an industry/team level
- Minimum 2 years of experience in the financial industry
115
Operations Resume Examples & Samples
- Ability to break down and fully understand complex transactions and their payoff formulas
- Ability to communicate complex issues to demanding internal clients and to build relationships
- Japanese or Chinese language skills
116
Operations Resume Examples & Samples
- Minimise financial, reputational and regulatory risk to the firm and its clients
- Flexible team player / works well under pressure
- Demonstrated Risk Management acumen
- Good organisational skills and ability to prioritise workload and work to tight deadlines
- Be able to use own initiative and work with minimal supervision
- Control and Accuracy orientated
117
Operations Resume Examples & Samples
- Interpret and determine client requirements and service standards from legal documentation and business requirements supporting all account events
- Manage the vetting/negotiations of all contractual, guideline and supplemental agreements (i.e. IMA, ISDA, FCM, Direction Letters, etc.) with both internal and external parties. Ensure that any and all agreements are finalized and executed prior to account opening and all client issues are resolved in a timely and satisfactory manner
- Detailed understanding of the trade lifecycle, from order and execution management, allocation, confirmation and fail management
- Highly organized, attention to detail and excellent follow through skills
118
Operations Resume Examples & Samples
- Execute team responsibilities such as client specified reports, advise specialist view on reporting requirements to new and existing
- Minimum 2 years Asset Management or financial industry experience in Operations or any type of reporting functions
- Solid understanding of financial products such as equities, fixed income, derivatives and foreign exchange
- Demonstrated success in project management especially working with Technology. Able to deliver high quality results while
- Understanding of risk and performance measurement is a plus
- Understanding of regulatory requirements in Japan and prior experience with audits
119
Operations Resume Examples & Samples
- Manage the end-to-end project lifecycle for key initiatives within Tax Ops including documentation of requirements and test cases, execution of testing, and project status reporting, to drive change and ultimately bring projects to completion within budget and with minimal risk to the organization
- Industrialize current processes and procedures by applying process improvement methodology and work with IT to automate manual process components where possible
- Minimum six years post graduate experience with professional experience in project management and or/ business analysis within within Operations, Financial Services industry and/ or Tax
120
Operations Resume Examples & Samples
- Execute team responsibilities such as client specified reports, advise specialist view on reporting requirements to new and existing clients, and implement reporting procedures with proper control
- Lead or participate in global and local project initiatives designed to improve operational efficiency by providing project scope, system specification, cost/benefit analysis, test scripts, issue log, and meeting coordination. Typical projects include system automation, workflow engineering, and insourcing and outsourcing projects
- Act as a trouble shooter to resolve issues, and handle ad-hoc queries with internal and external parties
- Provide audit support for internal audit, regulatory bodies and independent auditors as well as for control initiatives such as SSAE16, Legal ledger requirements, etc
- Demonstrated success in project management especially working with Technology
- Ability to effectively manage multiple tasks and relationships
- Able to fully utilize various systems to maximize control benefits and efficiency
- Proactive. Able to recognize possible problems and act independently to fix issues
- Strong desire for personal growth and willingness to take ownership for team issues
- Flexible and creative. Able to adjust quickly to new business environments and welcome changes
- Proficiency with MS Office applications (Outlook, Excel, PowerPoint, Word)
121
Operations Resume Examples & Samples
- Participate in and contribute to industry-wide initiatives
- Understanding of Risk – operational, reputational, client confidentiality, etc
- Compliance or other risk assessment experience preferred
122
Operations Resume Examples & Samples
- Assist with cross-Operations, high priority projects across all typical project phases
- Project initiation, including definition of plans
- Ongoing project management support, including progress monitoring and reporting throughout the project
- Build and manage strong relationships with project sponsors and stakeholders in Operations, Technology and the business. Manage competing priorities and escalate as appropriate
- Work with Operations business units to assess and design processes
- 1 to 3 years of work experience in a business analysis / project management function supporting both business process and technology implementations’
- Provides creative & innovative solutions
- Ability to understand the implications of a specific solution across processes, e.g. costs, risk, service
- Ability to define practical solutions
- Project management skills including project scope definition; project issues, challenges, risks definition; status reporting; test strategy definition and User Acceptance Test execution
123
Operations Resume Examples & Samples
- Assist with cross-operations, high priority projects across all typical project phases
- Work with the Federation and other firm business units to assess and design processes
- At least 1 to 3 years of work experience in a business analysis/project management function supporting both business process and technology implementations
- Has good understanding of assisting in delivery of projects and achieving results independently, on time and to budget
- Strong analytical skills including process analysis
- Capable of identifying and interpreting wider-ranging issues: ‘big picture’ understanding
124
Operations Resume Examples & Samples
- Liaison with internal groups (Credit, Sales, Trading, Middle office, Legal, Front Office, Settlements, and Corporate Treasury) to resolve collateral issues
- Maintenance of reference data in Firmwide Product and Pricing systems
- Ensuring accuracy and integrity of the firm’s books and records
- Bachelor’s degree, preference for a degree in a numerical major
- At least two years of professional work experience in a related field
- Strong numerical, analytical and problem solving skills
- Strong communication skills, highly articulate
- Language skills, as potential to interact with clients from across regions
125
Operations Resume Examples & Samples
- Excellent business analysis mind-set & skills to bring order to the abstract
- Modelling experience in Sapiens DECISION (or equivalent) Business Decision “Rules” Engine
- Impact and influence – be able to shape discussions and build consensus
- Clarity and confidence in both written and verbal communication
- Good interpersonal skills and ability to partner with others face-to-face and remotely
- Experience of mapping Business Process (in BPMN preferably)
- Drive and determination to bring about change without needing to be driven
126
Operations Resume Examples & Samples
- Track docs, verify deal requirements regarding docs, post docs to required systems
- Communicate with external counterparties which may include Agent banks, borrowers and lenders daily regarding docs
- Communicate closely with internal counterparties such as Servicing, Legal, Tax, Closers, Deal Managers, etc…
127
Operations Resume Examples & Samples
- This role supports the oversight of Net Asset Value provided by accounting agents for both proprietary and external mutual funds
- Knowledge of SEC, U.S. GAAP, U.S. GAAS, IFRS procedures and standards, the Investment Company Act of 1940 and the AICPA Audit and Accounting Guide - Investment Companies
- Perform initial and ongoing fund administrator due diligence
- Support the control framework and operating policies
- Identify and resolve accounting agent issues
- Act as a central interface with accounting agents and external Investment Managers
- Partner and communicated with internal groups such as compliance, legal, risk, and the business in the monitoring of sub-advisors
- Coordinate the delivery of fund oversight related activities including material preparation, inquiry responses, and investigations and reporting
- Support department driven initiatives
- Self-motivated, well organized and attention to detail
- Strong economics background
- Proven analytical and time management skills
- Interest in portfolio management
- Energetic team player, able to work well within a group
- Flexible individual, able to learn quickly
- A proactive self-starter, able to manage own time, prioritize and independently identify and complete implied tasks
- A leader who works effectively in a team setting and is passionate about providing innovative solutions for complex business needs
- Strong delivery focus with a proven track record of achieving results and demonstrating proficiency in managing multiple competing tasks on a daily basis
128
Operations Resume Examples & Samples
- Exhibit confidence in communicating in a variety of forums, including one-to-one feedback sessions, formal presentations, training sessions and town halls. ?
- 7 years experience in the financial services industry / domain
- Change management – The ability to identify opportunities for improvement in order to gain efficiencies and enhance controls
- Knowledge of accounts reconciliation requirements is desirable
129
Operations Resume Examples & Samples
- Take ownership for developing the next generation of managers (i.e. focus on Team Managers)
- Manage relationships with global divisional finance teams
- Performance and management reporting of non-comp expense data
- Manage relationships with risk partners like Global Control, Treasury and Controllers
- 10 years experience in an Ops role (financial services industry / domain)
- Should be able to effectively communicate and develop/sustain good working relationships with other teams and stakeholders
- Ability to motivate teams to high levels of productivity and accuracy during periods of increased volume and retain risk and control focus is also essential to the role
- Excellent partnership building skills and strong customer service perspective
- Effective organisational and time management skills
130
Operations Resume Examples & Samples
- Determine, analyse and document business requirements leveraging Operations and Business users knowledge as appropriate
- Plan, manage and support UAT phases leveraging Operations and Business users as appropriate, and work closely with Technology team to ensure the prompt resolution of fixes and retesting
- Identifying, developing and driving process improvements within department and participating in department or divisional Industrialization initiatives
- Prepare status reports, conduct meetings to follow-up on issues and monitor progress
- Work with other Business, Operational and Firmwide areas to ensure necessary input and support for projects
- The individual will be expected to lever their existing product and process knowledge and develop a good understanding of the existing GS processes and systems
- Build strong relationships with Line & Business resources, and with Technology Teams who support the Business & Operations
- Start to take responsibility for the end-to-end delivery of workstreams within the agenda for Regulatory Reform
- Demonstrates comprehensive understanding of relevant regulations, operational and compliance procedures
- Graduate Degree
- Minimum 2 years experience in Operations or a Finance related field
- Product, process and industry knowledge of Derivative Products e.g. Credit, Rates, FX, Commodities, Equity. OR
- Project / Change Management
- Self-motivated and confident when dealing with people from all areas of the firm
- Possess necessary leadership skills, self-motivation and determination to drive and complete projects
- Strong teamwork skills and ability to work with a wide user group in different regions of the world
- Strong organisational skills and ability to work independently
- Ability to successfully analyse issues and see them through to conclusion
- Ability to deliver multiple project threads, whilst working under pressure and to tight deadlines
- Good PC application skills
- Ability to engage with and influence key stakeholders
- Provides attention to detail, able to work to deadlines and provides creative & innovative solutions
- Capability to prioritise and make decisions in a fast paced environment
- Exposure to, or involvement in delivery of change in their current organisation (business analysis / project management)
131
Operations Resume Examples & Samples
- Drive strategy for a team of ~35 people globally alongside flawless execution and coverage of the control environment
- Take responsibility for delivering best in class client experience, using innovative approaches to identify and raise trends in client behavior to Client Clearing Services teams
- Work to create / improve metrics that record workload drivers and build process to efficiently maintain changes to these
- Contributing to the development of the methods to improve processes, reduce risks, increase controls, and / or increase customer satisfaction
- Liaison and ad hoc analysis for Client Clearing Services, senior leadership and external Hedge Fund clients
- Demonstrates and develops ability to independently troubleshoot and resolve most common problems that arise
- Excellent process manager and good at time management - BAU, mandatory projects, discretionary projects
- Effective at managing stakeholders in a global matrix organization (Sec Div, Ops mgmt, Technology)
- Demonstrates the ability to re-engineer manual processes with an eye on automation
- Excellent risk management skills (financial, reputational, client service)
- Assertive personality that is able to grasp detailed concepts quickly and operate consensually / within a team environment
- Ability to work effectively with tight deadlines and under high pressure situations
132
Operations Resume Examples & Samples
- Produce and/or validate daily, weekly or monthly Regulatory Reports
- Investigate and resolve exceptions generated during the Regulatory Reporting process
- Respond to enquiries from the Regulators and internal teams such as Compliance and Legal
- Support Business Analysis team delivering strategic projects to improve the regulatory reporting infrastructure, e.g. completing
- Support team involvement in other GS activities outside of daily work
133
Operations Resume Examples & Samples
- Review and analyze ISDA/CSA and other Master documentation; Identify key risks in documentation
- Develop a comprehensive understanding of the Legal and Credit systems
- Liaise with Legal, Credit, Middle Office, Strats, Corporate Treasury, Collateral and other internal GS teams on issues
- Work closely with IT to identify/resolve system issues, and implement system enhancements to increase efficiency in current processes
- Work with the global team to produce reports and build metrics
- Adhoc issues
- At least 3 years financial industry experience
- Understanding of securities
- Self-starter who will push themselves to learn
134
Operations Resume Examples & Samples
- Proactively assisting Lead Project Manager coordinating the requirements gathering, development, testing, implementation, as well as posting on the progress of multiple work streams to all relevant stakeholders
- Documentation of Business Requirements, partnering with the Business, Operations, Compliance, and Technology ensuring all the requirements are well documented
- Assist in design and implement oversight controls and reconciliation processes
- Assist in functions related to non-financial regulatory reporting daily exception management handling
135
Operations Resume Examples & Samples
- The Client Onboarding team within ODQM Operations is primarily responsible for satisfying the firm’s regulatory obligations as well as ensuring adherence to all Compliance policies, procedures and regulatory obligations with regard to Anti-Money Laundering / Know Your Customer
- Performing Anti-Money Laundering checks locally and working closely with the offshore Anti-Money Laundering team within Client Onboarding. This includes drilling down on beneficial ownership for higher risk clients, identifying politically exposed individuals, and liaising with the Enhanced Due Diligence team in relation to entities in high risk jurisdictions, negative media, and sanctions issues
- Responding to queries and assisting with problem-solving of matters received from the business desks and other departments to ensure prompt responses to client queries where applicable in the Onboarding process
- Assisting with defining, discussing and enhancing process efficiencies both for EMEA and for global Onboarding initiatives
- Delivery of excellent client service during the Onboarding process to gather KYC documentation and ensure the appropriate legal documentation is in place including regulatory reform information
- Participating in regular meetings with Management, Compliance, Legal, Credit and the Business to maintain strong relations with regard to client pipeline discussions and Onboarding capacities / efficiencies
- Participating in ad hoc Onboarding projects as required
- Provide further assistance as may be identified within the Client Onboarding team
- Minimum of 18 months prior experience in the field of Anti-Money Laundering / Know Your Customer checks required
- Excellent attention to detail organised approach and strong problem solving/facilitation abilities
- Mature approach and influential communication skills
- Must be capable of working to deadlines in a high volume, high-pressure environment while maintaining 100% dedication, excellent attitude and flexibility
- Legal & Compliance experience / awareness of regulatory reform requirements in the derivative market for financial institutions
- Proactive and takes initiative to improve processes and create efficiencies
136
Operations Resume Examples & Samples
- Collateral issues
- Problem and break resolution
- Proficient in Microsoft applications (Word, Excel, PowerPoint etc)
137
Operations Resume Examples & Samples
- Develop expert knowledge in regulatory requirements, processes and systems for a number of transactions and position based regulatory reports
- Perform impact assessments on these reports for new markets, new products, business re-organizations, system changes and new/changed regulations
- Investigate and remediate issues with these reports and develop control improvements
- Contribute to strategic initiatives relating to these reports, for example strategic Technology developments
- Act as a risk manager for the firm through ongoing assessment and awareness of the regulatory environment and the firm’s adherence to its reporting obligations
- Be flexible to contribute to other activities within the group where necessary, e.g. daily report production
- Bachelor’s degree required (Engineering or Sciences a plus), Graduate degree preferred
- Minimum 4 years work experience in the Financial Industry
- Proficient in the use of MS Office products
- Engineering or Sciences undergraduate degree combined with MBA or Financial Services experience
- Strong data analysis skills with a working knowledge of databases and SQL
- Business process reengineering experience
- Ability to learn quickly and adapt to new changes and new challenges
- Working knowledge of financial products, e.g. Equities, Fixed Income, Exchange Traded & OTC Derivatives
- Previous exposure to regulatory reporting a plus
- Knowledgeable about securities processing, corporate actions, and asset servicing a plus
138
Operations Resume Examples & Samples
- Rapid development of Microsoft-based desktop solutions across multiple platforms (Access, SQL Server, Excel, Outlook, SharePoint, C# and/or VB.NET, etc.)
- Actively seek out ways to improve processes, reduce risk, increase productivity and lower costs
- Microsoft Excel and Access development
- Business Objects experience
139
Operations Resume Examples & Samples
- Negotiate Master Confirmation Agreements (MCAs) for Equity Derivative products (ISDA published and in- house MCAs, vanilla and structured templates) with counterparties
- Participate on Industry & ISDA working groups to establish standardized templates for new products
- Minimum of 3 years of experience in Operations, derivatives and/or legal documentation
- Driven, enthusiastic and dynamic in search of improving processes, controls & procedures
140
Operations Resume Examples & Samples
- Responsible to initiate and actively participate in document analysis and template implementation
- Definition of document XML schema and understanding of Thunderhead Business Objects Schema
- Rationalization of document templates along with Customer SME/BA team
- Design the approval workflows
- Good understanding of the enterprise content management space
- Good with effort estimation
- Developing document templates, layouts, style sets in business content studio
- Business Objects creation and validation
- Unit testing using Sample data
- Developing interface with external systems using Thunderhead WebService API
- Training templating team members
141
Operations Resume Examples & Samples
- Scheduling and management of metals contracts in real time
- Using commercial understanding to manage logistics along supply chain from source to final delivery point
- Building close relationships with the trading /structuring desks to provide support and information pertinent to new business
- Providing expertise in the contract drafting and negotiation stages
- Establishing and operating an extensive control process and resolution of any disputes that may arise
- Establishing and building strong working relationships with external counterparties both domestically and internationally
- Management and organisation of all documentation relating to the physical metal and transportation
- Keeping track of inventory at every stage in the supply chain
- Minimum of 7 years of physical Metals logistics/traffic operations
- Broad knowledge of physical commodity products and markets
- Experience with warehouses and agents
- Possess excellent communication skills
- Innovative and able to suggest and implement ideas and new processes as they evolve with the business
- Demonstrates ability to drive project success and process efficiency as well as to secure cooperation from other areas as necessary
- Degree qualified or be of graduate calibre
- Understanding of Financial Services Operations
- Language Skills
142
Operations Resume Examples & Samples
- Primary point of contact within Operations responsible for building strong relationships with a defined portfolio of clients
- Responsibilities include daily processing of margin, managing position breaks or fails, and investigating client queries
- At least 4 years of experience working in finance
- Understanding of the regulatory landscape governing securities and derivatives, specifically futures products
- A highly confident, mature and professional approach to all work undertaken and most importantly to supporting other members of the team
143
Operations Resume Examples & Samples
- Manage the planning/implementation of projects globally
- Develop and implement operational infrastructure to support changes in industry standards and regulatory requirements
- Facilitate the assessment of regulatory rule impact to Operations, Business, and Technology
- Design and manage the monthly performance metrics package for the division
- Analyse and present metrics effectively on a monthly basis
- Work with Finance to provide on-going validation, reporting, tracking and forecasting of headcount, expenses and allocations and ensure alignment with business priorities
- Coordinate globally with senior stakeholders and colleagues across Operations, Technology, Finance, and Business/COO divisions around our project portfolio management process: to identify project needs, perform feasibility analyses, coordinate resource estimation, and agree on prioritization
- Calculate project ROI and other relevant data points in support of senior management prioritization decisions
- Minimum of 3.5 years industry experience in the Financial Services industry or Asset Management Operations
- Minimum of 3.5 years’ experience in a project management position with a proven track record of delivering complex projects individually or as part of a team
- Experience with Microsoft Word, Excel, PowerPoint, Project and Visio
- Asset Management experience preferred
- Experience in managing global financial industry regulatory reform initiatives (Dodd Frank, CFTC, EMIR, etc.) preferred
- Strong quantitative analysis skills and ability to work with large amounts of data
- Ability to collaborate and communicate effectively across front office, operations, technology, legal and compliance teams
144
Operations Resume Examples & Samples
- Drive organizational adoption of BPM concepts and technology and work with the BPM practitioners to mature BPM delivery methodology and best practices
- Lead strategic planning and development of the BPM capability roadmap in alignment with business and IT strategic priorities
- Collaborate with business sponsors to promote BPM capability and adoption through the enterprise; work with the project management team to set-up BPM reviews, track project life cycle metrics and drive for continual improvement
- Drive implementation and enterprise-wide adoption of process governance as well as the process measurement system
- Support the sub-division BPM leads in establishing their practices and ensure successful design reviews
- Expert knowledge of Business Process Modeling (BPMN 2.0) and BPM Methodology as well as a track record of hands-on experiences in defining and implementing BPM initiatives to achieve targeted business value
- At least 6-8 years of experience in developing and managing and hands-on experience in core aspects of BPM including process frameworks, process architecture, process governance, measurement systems in complex environments
- Strong analytical skills with a demonstrated ability to analyze business processes and build an integrated end-to-end future state vision across functional silos
- Experience facilitating workshops and focus groups at the leadership level
- Strong business / client engagement skills
145
Operations Resume Examples & Samples
- Take responsibility for delivering best in class client experience, using innovative approaches to identify and address clients’ needs
- Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture
- Scalability analysis of workflow cost drivers and trends to help drive process improvements and efficiency, budgeting and cost allocation to various revenue producing desks
- Owning relationships with brokers, custodians, prime brokers and fund administrators to improve quality and productivity of work, integrating best practices as appropriate
- Represent GSAM in industry forums and help define market and GSAM processes to meet changing regulatory requirements
- Liaise with internal and external business partners / clients
- 8 years with either an asset/investment management or financial services background
- Background in Portfolio Accounting and Relationship Management
- Need to be strategic leaders, thinkers, demonstrate real ownership for problems and strategy
- Proactively seeks and promotes appropriate training to further enhance client / market / industry knowledge
- Ability to forge strong rapport with our client base
146
Operations Resume Examples & Samples
- Leverage operational consulting skills, business knowledge, processes skills, change management and continuous improvement methodologies, measurements & tools to analyze issues and drive operational improvement solutions for the business units
- Manage the implementation of policy change and infrastructure improvements in the areas of regulatory reform, business expansion, global consistency, risk management, efficiency initiatives, and technology convergence initiatives
- Coordinate full project lifecycle for global projects, including business analysis, technology design and development, integration testing, user acceptance testing and production rollout
- Define quality assurance and testing approach for projects, document test cases and scripts, and run various types of testing phases including user acceptance, production data, production parallel, and conversion tests
- Provides business process or systems support that may include duties such as root cause analysis, mapping of current processes or systems, iterative problem definition and hypothesized improvement opportunities
- Graduate Degree with a minimum of 3 years' experience in-house at a financial services firm
- Operational consulting experience, either internally or at a large external consulting firm
- Lean Six Sigma skills with Green Belt certification preferred
- Project Management Institute (PMI) certification, or equivalent, preferred
- Process modeling, design and optimization experience using BPMN preferred
- Fluent with technology solutions to manage projects including appropriate Microsoft Office programs (i.e., Word, Excel, PowerPoint, Project, Visio) and also SharePoint
- Strong quality assurance and testing skills, including the ability to create test plans and test scripts, and track and resolve testing issues
147
Operations Resume Examples & Samples
- Rapidly product and oversee the development of software to meet high impact business needs while working concurrently on multiple projects of limited duration
- Strong understanding of computer science fundamentals and 2+ years of programming experience in a variety of languages ( Python, Java, Scala, C, C++, etc.)
- Experience with database technologies, such as SQL or Hadoop
148
Operations Resume Examples & Samples
- Risk mitigation, ensure the risk in GS’ outstanding trades is effectively mitigated and controlled through timely affirmation and confirmation
- Ensure processes and systems are continuously reviewed and improved and risk is managed
- Achieve results within the team that adhere to expectations around timeliness, quality and cost effectiveness
- Conduct a complete diagnosis of most business problems, factoring in a seasoned and detailed understanding of the processes and system used in the department
- Close interactions with senior experts and peers from various different teams and regions including GS sales/trading, Technology and Compliance for issue resolution and process improvement. This role will involve a large amount of facilitation and negotiation
- Oversee implementation of creating efficiency within the team to support regulatory changes as well as new client and business requirements
- Participate and lead discussions in Industry Working Group and actively work with the wider team and management to achieve both industry and regulatory targets
- Establish, manage and own close relationships and partnerships with business partners, external clients and regional stakeholders
- Develop a vision and implement strategic changes to re-engineer processes and reduce risk
- Provide thought leadership to the wider team both locally and regionally Develop plans to retain and grow talent
- Lead the implementation of organization wide initiatives and projects
149
Operations Resume Examples & Samples
- Monitor trade bookings by trading and sales real-time to ensure data consistency and to limit market risk
- Identification and resolution of transaction errors preventing trades from flowing into our operational confirmation and settlement systems
- Support trading desk on monitoring of cross-product trading, futures, and fixed income products
- Completion of a series of daily system reconciliations which ensure consistency of trade data between risk management/operational systems and the firm s general ledger
- Co-ordination with the business and IT to maintain and build scalable systems to support a growing business
- Monitoring and co-ordination of the firm s global currency tom/next roll, liaising extensively with trading, treasury and funding groups; liaison with Treasury to action intraday funding requirements
- Co-ordination of trading requirements for securities-related activity in the growing emerging market business
- Work on line initiatives to meet regulatory requirements in the current dynamic regulatory environment
- Support sales and client trade setups, including broker platform setups, account openings
- Native Japanese speaking and writing ability is preferred
- Experience with financial regulatory reform policies (eg. CFTC, EMIR) will be highly beneficial
- Previous experience in Derivative Operations/strong derivatives product knowledge is highly preferred
150
Operations Resume Examples & Samples
- Improving risk indicators and metrics, performing incident analysis, addressing root causes, increasing awareness and instilling ownership and accountability, developing partnerships and developing best practices within Securities Operations in Asia
- Assist with incident management by reviewing incidents when they occur in Asia Sec Ops with Global Sec Ops management teams. This is achieved by the Risk Manager partnering with the relevant line team(s) to clearly identify the root cause, control failures and mitigating action plans surrounding the incident in order that the Sec Ops Management teams can review the incident(s)
- Conduct annual Risk and Control Self Assessments (“RCSAs”) of specific product areas by partnering with the line teams to identify inherent risk, update the control framework and apply residual risk ratings. This includes reviewing the findings with the appropriate management teams before facilitating the briefing of senior Sec Ops management on the process and the subsequent approval process
- Manage an associate within the Asia Risk Team
- 7 to 10 years of working experience with a line operations background within investment banking operations (including settlements, trade support, client support group etc.)
- Experience in risk managementwould be advantageous
- Good knowledge in front back process flows
- Good presentation, interpersonal and analytical skills
151
Operations Resume Examples & Samples
- Analyzing market developments (including short term emergencies) and working with BU and Infrastructure colleagues to ensure appropriate responses
- Understanding and negotiating requirements for agent bank participation in new Morgan Stanley product development
- Agent Bank relationship management
152
Operations Resume Examples & Samples
- Engage in the testing and implementation of rule changes that impact reporting processes
- Analyze regulatory inquiries related to trade, transaction or position data
- Maintain a strong focus on streamlining in efficient processes, drive forward solutions to remediate production issues in order to improve both accuracy and timeliness
- Recommend infrastructure improvements; and
- Experience in working with complex financial products and functions including data analysis, information technology, business operating processes, and compliance
- Past responsibility for project management, risk management, or operations work including regulatory reporting
- Certification or industry accreditation is also a plus
- Solid understanding of the securities / derivatives business and related products
153
Operations Resume Examples & Samples
- Risk mitigation through review of daily reconciliations across risk systems and books and records
- Determine trade calculations for exotic transactions
- Collaborate with Strategists and Technology to improve front-office risk systems and implement enhancements
- Rate verification
- Opportunities to participate in project work at an industry/team level
- Strong judgment and problem-solving skills
- Risk Prioritization
- Basic product knowledge
- Basic trade service and support experience (any product)
154
Operations Resume Examples & Samples
- At least 2 years of work experience in operations or related field
- Experience with Microsoft Office applications-specifically Excel
- Knowledge and experience in financial services a must. Asset Servicing knowledge is preferred
- Experience in dealing with multi-functional teams to resolve issues and drive solutions
- Pays attention to detail and can multi-task
155
Operations Resume Examples & Samples
- Perform ongoing client level and balance sheet driver analytics for GSEC
- Determine amounts and initiate stock lending activities with GSCO and GSI
- Evaluate the funding impact of new clients as well as the liquidity of their portfolios
- Monitor daily GSEC’s cash flow and liquidity needs
- Maximize the use of collateral at the OCC
- Participate in the innovation and implementation of new systems and applications
- Process requests for other teams to release securities to meet delivery obligations
- Prepare daily funding strategy reports and monthly/quarterly senior management update reports
- Ability to create and handle complex Microsoft Excel spreadsheets
- Risk and control-oriented
156
Operations Resume Examples & Samples
- Work with the business and internal stakeholders to come up with creative ways of enhancing our revenues
- Fee and membership maintenance
- Fee accruals, reconciliations, invoice payment and associated cost allocation
- Exception report management
- Day to day query resolution from both internal and external parties and first point of contact for any issues that should be escalated
- Set up and management of vendor service changes for clients
- Contribute to development of team, ensuring that we use best practice in what we do at all times
- Involvement in initiatives which re-design the flow of incomings/outgoings to improve the process, provide extra client service offerings and/or enhance our controls
157
Operations Resume Examples & Samples
- Perform analysis on the firms regulatory obligations to define the relevant reporting requirements and document into formal requirements for Technology
- Actively participate in the development of the strategic control framework for Regulatory Operations
- Participate in strategic initiatives across the global Regulatory Operations department
- Develop solid working relationships with many other areas of the firm including the Front Office, Technology, Legal, Compliance, as well as interaction with external clients and regulators to support various reporting functions
- Degree Qualified or be of graduate calibre
- Experience in an Operations Control Environment
- Strong analytical skills with an ability to understand complex workflows
- Proven ability to organise and prioritise own workload and drive results
- Proactive and self-starting individual with high levels of ownership
- Working knowledge of trade lifecycle
- Working knowledge of tradable financial products, e.g. Equities, Fixed Income, Exchange Traded Derivatives, OTC Derivatives
158
Operations Resume Examples & Samples
- Apply statistics, econometrics, and machine learning to perform forecasting, prediction, and pattern recognition for the support of data-driven decision making
- Guide the use of data and analytics to answer business questions and make recommendations including design of its visualization delivery
- Drive and review the development of software to aid and streamline the application of analytics
- Collaborate with end users, senior management, and our business partners to identify, understand, and tackle current issues, gaining broad exposure to the firm’s business activities
- Bachelor’s degree in a technical area (e.g. Math, Computer Science, Physics, or Engineering)
- Programming experience in a general purpose language (e.g. Java, C, Python, Scala)
- Experience or coursework in probability, statistics, and regression analysis
- M.S. or Ph.D. in a technical area
- Expertise in Machine Learning, Data Mining, Econometrics, or other numerical field
159
Operations Resume Examples & Samples
- Liaise with FX, Funding Desk and business units to assess liquidity requirements on a real time basis
- Work with agent banks to consolidate the Firm's cash positions, within each markets currency cutoff
- Maintain close relationships with market counterparts, agent banks & internal business partners, as well as daily interaction with Global Liquidity Management teams in Tokyo, Singapore, Bangalore, New York and Salt Lake City
- Assessing funding and systems requirements for New Products as well as being involved in any initiatives undertaken in Growth Markets
- Manage funding flows for highly regulated Goldman Sachs entities
- Defining and implementing necessary controls for new funding flows in emerging and growth markets
- Strong performing graduate or experience hire
- Minimum of 1 year’s experience in Operations
- Demonstrated risk management acumen
- Control and accuracy orientated
160
Operations Resume Examples & Samples
- 3 to 7 years of relevant experience within loan operations
- Self-motivated and adaptable, and have good attention to detail
- Strong team player, with good interpersonal skills and be able to work under pressure to tight deadlines
- Excellent communication skills in English and a high level of professionalism as this position require extensive interaction with Business Unit and external counterparts
- Able to read loan agreements in Chinese. Language skill on conversational Mandarin is preferred
- Capable of maintaining confidentiality in relation to non-public or market sensitive information
- IT literacy is a requirement, and the candidate should have a good working knowledge of Word and Excel, with knowledge of SAFE system being advantageous
- Experience in the administration of loans, particularly syndicated facilities is preferred
161
Operations Resume Examples & Samples
- Assist in day-to-day settlement activities in US (DTC & Fed), Canadian, and Latin American markets
- Interact externally with counterparties, custodian banks, and transfer agents; interact internally with operations and revenue businesses
- Management reporting and transparency
- At least two years of professional experience
- Strong analytical/problem-solving abilities
- Able to work under time critical constraints in a high pressure environment
- Past experience of process improvement analysis, project planning/coordination and implementation
162
Operations Resume Examples & Samples
- Process payments, journals and securities movements in accordance with Firm guidelines
- Identify control and exposure points within transaction/workflow
- Recognize the importance of maintaining the integrity of the firm’s books and records
- Streamline tasks by identifying deficiencies and escalating ideas for process improvement and efficiencies to manager
- Propose solutions for day-to-day business improvement and issue resolution to manager
- Develop a detailed understanding of all activity within the CCM organization
- Deliver superior client service
- Demonstrated ability to apply tactical office product based solutions (Excel/Access)
- Able to demonstrate successful relationships with Business and Technology partners
- Excellent teamwork skills and ability to work with a wide user group across multiple functions and regions
- Ability to successfully analyze issues and see them through to conclusion
- Ability to multi-task and deliver while working under pressure and to tight deadlines
- Good PC application skills particularly Excel and Access
- Excellent interpersonal skills and the ability to work well within a team environment
- Excellent analytical skills, with focus on application of root cause analysis and contribute to process improvements
- Excellent communication skills for liaising with Operations, Client Reps, and/or Technology teams on day to day issues
- High level of proficiency with Microsoft Office products, especially Excel
- Comfortable presenting complex information in a structured manner
- Professional experience in relevant industry (8 years)
- Ability to learn new functions quickly
163
Operations Resume Examples & Samples
- Monitor event information in the market and ensure accurate set-ups in the system
- Facilitate market elections for voluntary corporate actions and proxies
- Process income payments of coupons, redemptions and dividends and mandatory corporate actions
- Closely liaise with Compliance and Tax divisions to comply with various rules and taxation
- Closely liaise with global Asset Servicing teams for global coverage and industrialization
164
Operations Resume Examples & Samples
- Identify, develop and drive process improvements within department and participate in department or divisional Industrialization initiatives
- Work with other business, operational and firmwide areas to ensure necessary input and support for projects
- Leverage existing product and process knowledge and develop a good understanding of the existing GS processes and systems
- Build strong relationships with line & business resources, and with Technology teams who support the business & Operations
- Demonstrate comprehensive understanding of relevant regulations, operational and compliance procedures
- Experience in either product, process and industry knowledge of derivative products e.g. credit, rates, FX, commodities, equity OR prroject / change management
165
Operations Resume Examples & Samples
- Develop expert-level knowledge of relevant tax systems, procedures and requirements
- Work with global teams to support implementation of evolving IRS and global tax regulations
- Work with teams across regions to drive initiatives and issue resolution
- Document process flows and recommend approaches for automation or scalability
- Remediate anomalies in tax processes and develop control improvements
- Perform testing and data analysis to identify trends / exceptions compared to expected outcomes
- Effectively communicate with colleagues in Tax Advisory, Technology, business units and the rest of Operations to manage inquiries and issue resolution
- Research the tax impact of corporate actions and other market events
- Provide regular feedback / reporting to management
- Act as a risk manager through ongoing awareness of the tax regulatory environment and the firm’s adherence to its tax reporting obligations
- Be flexible and contribute to other activities as requested
- Master's degree in Accounting, Finance, Information Systems or CPA preferred
- Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word, as well with web applications
- Strong data analysis skills and experience with Microsoft Excel and Access / basic SQL
- Knowledgeable about securities processing, corporate actions, and asset servicing
- Prior tax operations related work experience
- Spanish, Portuguese, Japanese, Mandarin, or German fluency a plus
- Comfort working with large data sets and proprietary systems
- Quickly comprehends complex concepts and detailed process flows
166
Operations Resume Examples & Samples
- Act as liaison between PWM US IP and PWM Operations
- Become proficient on various internal operating systems
- Strong custody/banking and accounting background preferred
167
Operations Resume Examples & Samples
- Daily monitoring/validation of key reference data that contributes to GSAM investing decisions
- Coordinate closely with key individuals from across GSAM Operations, the GSAM Fund Management Desks, and Technology to improve the quality of product data
- Act as a central point of contact/escalation for inquiries from the GSAM business regarding data quality
- Management of daily responsibilities and multiple projects to meet key deadlines
- Knowledge and experience in financial services
- Securities product knowledge is preferred
- Proven track record contributing in a dynamic team environment
168
Operations Resume Examples & Samples
- Liaise with clients in order to track and resolve position discrepancies
- Consolidate requests in order to communicate pricing and position issues with Controllers, Credit and Middle Office teams
- Deliver position reports to clients and 3rd party vendors on a timely fashion
- Participate in development and implementation of Portfolio Reconciliation mandate
- Advanced proficiency with Excel macros and other functions
169
Operations Resume Examples & Samples
- Responding to queries and assisting with problem-solving of matters received from the business desks and other departments to ensure prompt responses to client queries where applicable in the on boarding process
- Assisting with defining, discussing and enhancing process efficiencies both for EMEA and for global on boarding initiatives
- Participating in regular meetings with Management, Compliance, Legal, Credit and the Business to maintain strong relations with regard to client pipeline discussions and on boarding capacities / efficiencies
- Bachelors in Law
- Minimum 4 years’ experience within both Legal and Banking sectors
- Demonstrable knowledge of KYC rules
- Legal & Compliance experience / awareness of Client on-boarding process, beneficial
- Proven ability to perform Client Due Diligence within KYC policy
- Excellent attention to detail organised approach
- Strong problem solving / facilitation abilities
- Mature approach
- Influential communication skills
170
Operations Resume Examples & Samples
- Highly motivated, self starter with strong academic background
- Strong analytical and flawless communication skills
- Ability to articulate complex ideas in clear, concise language and to write with perfect grammar
- Team focused; able to flex style to interact effectively with a wide range of individuals, including senior management
- Ability to learn quickly, evaluate and form independent judgments
- Convincing confidence, presence and intellectual maturity
- Strong organizational skills and the ability to manage multiple assignments to deadlines
- Competency with MS software including Excel, Word, Outlook, PowerPoint
171
Operations Resume Examples & Samples
- Preparation of standard, non-standard, consultant and regulatory reports. The focus of the role is to ensure the accuracy and quality of work and appropriately escalating any unresolved issues to senior management
- Performing operational controls across client portfolios to ensure accurate and timely reporting of accounting data
- Work in collaboration with Client Implementation team to onboard new clients
- Must develop an understanding of the inter-operability between the processes they work on and other processes in the department
- Documenting process flows and creating procedure manuals for the function performed
- Contributing to the development of the methods to improve processes, reduce risks, and increase controls
- Work on improving and automating the reporting process
- Demonstrates an in-depth understanding of the economics that underlie transactions or processes being performed. Proactively seeks and undertakes appropriate training to further enhance client / market / industry knowledge
- Japanese (spoken and written) language skills as the role may involve interaction with clients and colleagues in Japan
172
Operations Resume Examples & Samples
- Ensure prompt resolution of breaks and Failing trades
- Liaison between multiple teams internally and externally on trade support related queries
- Participate in new product and new market launches
- Building relationships with outside financial institutions to improve quality and productivity of work, integrating best practices as
- Relevant asset management operations experience or similar
- Problem solving capability for trade issues
- Experience with Microsoft office applications, specifically Excel
- Team player, able to work well inside a group and broadly across an organisation
- Flexible individual, able to be innovative and creative in the approach
- Motivated and ambitious to seek out improvements to processes
- Detail oriented and can multi-task
- Japanese language skills (spoken and written) required to interact with Japanese speaking colleagues and clients
173
Operations Resume Examples & Samples
- Strong technical skills; Able to review complex documentation and navigate multiple internal systems
- Strong communication skills; Can face off with various internal teams including the business
- Experience with process improvement and/or system enhancements
- Proficient with Microsoft Excel; Able to put together metrics for large sums of data
174
Operations Resume Examples & Samples
- Drive process improvement by identifying inefficiencies, and proactively partnering with in house Technology professionals to enhance process and flows associated with the Regulatory agenda
- Impact analysis of future regulation and partnering with other departments such as Trading, Legal, Compliance and Technology on requirements and design
- Working with external parties such as other Dealers and Reporting Repositories on upcoming regulations and improvements to current processes
- Good knowledge of OTC Derivative Products such Options, Swaps, Structured Products
- Knowledge and experience of the Regulatory Reform agenda such as DODD FRANK, EMIR or MIIFD
- Demonstrates skill in prioritization & organization, when faced with multiple tasks & requirements in a high pressure environment
- Contributes to the effectiveness of the team by working closely with colleagues - sharing information, skills, and responsibilities
- Design mindset
175
Operations Resume Examples & Samples
- Minimum 3 years Project management and/or Business Analyst experience
- Strong interpersonal and relationship building skills. Require strong communication skills and should be highly articulate. Able to manage relationships between various Stakeholder groups
- Able to work proactively and independently. Self-motivated and well organized. Proven track record; ability to handle multiple tasks, prioritise accordingly and make decisions
- Post Graduate qualifications also preferable
- Experience of Liquidity and Collateral
- Good knowledge of Financial products preferred but not essential
- Strong background in technology, including understanding of Technology Architecture and strategy
176
Operations Resume Examples & Samples
- Work closely with BC&E and the Bank Relations and Market Infrastructure teams to analyze and report expenses in the brokerage, clearing and exchange node of the firm’s general ledger
- Help with the development of process re-engineering recommendations aimed at enhancing the accounting protocol
- Implement management reporting and metrics, ongoing and adhoc
- Monitor activity through various managed spend related accounts
- Develop the appropriate message based on spend activity and facilitate discussions with firmwide stakeholders, due diligence and process change
- Serve as point person for managed spend inquires
- Minimum five years finance / business analysis experience, preferably in financial services industry
- Advanced Excel skills, specifically with regard to data mining and management
- Well organized and detail oriented
- Ability to work in fast pace dynamic global environment
- Familiarity with general ledger structure, particularly for financial services
- Basic Access skills
- Familiarity with applications like MAP/Essbase
177
Operations Resume Examples & Samples
- Open and maintain client account data within the firmwide systems
- Answer queries on accounts and client relationships from Operations and Sales
- Project management ranging from small enhancements to large-scale, global projects
- Contacting clients and the business to obtain AML information and documentation
- Ensuring all communications are of the highest professional standard to maintain client service excellence
- Timely and effective escalation of potential relationship issues and devising possible resolutions
- Taking responsibility for delivering against commitments
- Participate in regular meetings with the program team to maintain clarity around workflow, develop required reporting and identify and implement efficiencies
- Minimum of 3.5 years’ experience financial industry experience
- Experience in liaising with clients directly and business contacts on a global basis
- Experience of AML requirements either via a Client On-boarding role or experience on a similar project including an understanding of client structures and AML requirements for hedge funds, private corporations, etc
- Excellent communication skills, in both written and verbal form. Confidence to deal professionally and persuasively with clients and senior figures within the firm
- Ability to work in a dynamic environment and changing requirements
- Excellent organizational skills with strong attention to detail
- Proven ability to work well in a global team environment
- Proficiency in Microsoft Office products; advanced skills
- Fluency in Japanese will be preferred as the role may include interaction with clients and colleagues based in Japan
178
Operations Resume Examples & Samples
- Resolve issues/disputes with counterparts & brokers
- Help with the resolution of exceptional technical & production issues
- Investigate process failures; synthesize and implement corrective actions
- Collect and analyze data to guide decision-making and to drive improvement
- Shows initiative in developing own understanding & expertise
- Quickly grasps new technical and business knowledge
- Balances efficiency and accuracy in order to maintain high output while avoiding mistakes
- Picks up or anticipates problems through careful analysis & attention to detail
- Demonstrates skill in prioritization & organization when faced with multiple tasks & requirements in a high pressure environment
- Takes actions to ensure that controls are in place & procedures are followed
- Has personal impact to negotiate effectively with other internal groups, including the Business
- At least 1.5 years of professional experience in Operations, preferably Equity Derivatives
- Excellent quantitative background
- Excellent ability to communicate effectively
- Experience in trade flow design / project engineering a plus
179
Operations Resume Examples & Samples
- Minimum of 4 years relevant experience in Asia financial market (Operations experience in equity and fixed income capital markets preferable)
- Communication and relationship management: The constant interaction with Trading and Sales desks requires the individual to be confident when dealing with demanding business people, ensuring at all times we protect the interests and reputation of GS whilst endeavoring to accommodate trading and client requests
- Fluency in written and spoken English and Cantonese are mandatory
- System literacy, (i.e. Programming Excel Macros, VBA, Powerpoint, etc) is an advantage
- Accounting experience is an advantage
180
Operations Resume Examples & Samples
- Providing exceptional client service by building strong relationships with global Traders, global Sales, internal teams and counterparties
- Ensure trades are booked accurately into firm’s books and records in a timely manner
- Working closely with internal stakeholders as well as external clients to draft Physical Confirmations correctly reflecting trading intention and all the terms and conditions as required by credit and legal
- Perform economic verification with external clients on T+1
- Working closely with clients to ensure timely receipt of all confirmations
- Coordinate discussion with Sales, trading, Credit, Legal, IT to come up with solutions to resolve booking or contract issues wherever they arise
- Perform daily settlement of physical cash flows and assist in authentication of settlement instructions
- Monitoring of trade exceptions preventing trades from settling in time by working closely with Treasury and Funding teams
- Completion of series of daily reconciliations to ensure consistent trade data between operational systems and firm’s ledgers
- Demonstrate a strong focus on controls and operational risk management and ensure escalation of issues on a timely manner
- Identifying areas for improvement to reduce risk and improve efficiencies and working with technology teams on solutions implementation
- Work on line initiatives and projects where required
- Minimum 1.5 years of documentation experience or trades processing experience ideally within Physical Commodities
- Possess strong understanding of end to end transaction processes
- Strong organization skills, ability to manage and track multiple tasks and deliverables simultaneously
- Strong focus on controls and operations risk management
- Must be a team player and have good communication skills
- Ideally possess Microsoft office skills
- Business Japanese language (speaken and written) as this role may involve interaction with colleagues and clients based in Japan
181
Operations Resume Examples & Samples
- Responsibility for the preparation of daily, monthly, quarterly summary reports
- Rotation of job responsibilities within the team to ensure effective training of self and others
- Proactively work with Operations and IT teams to develop expertise in new reports and document the existing regulatory reporting processes and controls performed within the Operations division
- Work to help centralise relevant regulatory reporting activity across Operations, demonstrating a willingness to learn and perform new tasks
- Take ownership and provide feedback on new reports, creating checklists and resolving exceptions
- Preparation of the supporting documentation for each report
- Escalating issues to management as necessary
- Participation in User Acceptance Testing and implementation
- Support strategic business initiatives and assist with integration into the team
- Any Bachelors Degree , University or Equivalent
- An understanding of various Financial products would be beneficial
- Experience with regulatory reporting, particularly from an Operations perspective, will be greatly valued
- Ability to set own priorities and work well under pressure
- Ability to work quickly and accurately in a fast-paced environment
- Ability to communicate effectively with various operations teams and technology teams
- Strong inclination to process improvement
- Strong team player with excellent communication and time management skills
- Good computer skills – Excel, Access , Power-point, Word etc.,
182
Operations Resume Examples & Samples
- Experience in managing small teams / individuals
- Graduate with 8 years of Experience
- Ability to generate creative solutions to problems and challenge processes, be willing to dig into the detail to resolve
183
Operations Resume Examples & Samples
- Collateral Management is focused on the mitigation of counterparty credit risk through the performance of a number of operational processes. A VP will be expected to perform these functions as well as demonstrating innovation and a proactive approach,highlighting inefficiencies, risks and implementing improvements and a high level of service to their clients
- The role will involve close interaction with a wide range of areas of the bank including Credit Risk Management, Legal and Compliance, Sales, Trading and other Operations Departments. As a result the successful candidate will be required to possess strong communication skills
- Graduate with 8 years of experience
- Evidence of experience working within Financial Services with exposure to OTC Derivatives and Securities
- Ability to articulate technology requirements for future builds and ability to partner with technology teams in order to go live on such builds
- Ability to embrace the ever changing industry focus and regulatory environment
- Familiarity with ISDA Masters Agreements and supporting CSAs
184
Operations Resume Examples & Samples
- Demonstrate strong technical and market knowledge around Derivatives and associated market nuances. Including trade capture, confirmation and settlement
- Liaising with traders and brokers to ensure efficient settlement of trading activity
- Building relationships with outside financial institutions to improve quality and productivity of work, integrating best practices as appropriate
- Problem solving capability for complex trade flow, settlement & accounting issues
- Significant liaison with internal and external clients
- Extensive ad hoc analysis for fund managers and trading
- Minimum of 2 years asset management experience or similar
- Product knowledge in OTC derivatives preferred, with an enthusiasm to expand into other areas. Previous Middle Office, Settlements or Confirmation execution experience beneficial
- Ability to gather information, make decisions and drive results
- Demonstrate ability to identify inter-relationships and understand the broad impacts of work and projects across the organisation, as well as to involve the right people, in the right way, and at the appropriate project stage
185
Operations Resume Examples & Samples
- Daily interaction with traders, sales, Legal and other operational departments to resolve discrepancies
- Daily real time monitoring and reconciliation of cleared and listed positions
- Liaison with brokers to check out daily trades and resolve discrepancies
- Setting up of new products in operations system in line with departmental standards
- Daily responsibility for affirmation of key economics for structured commodity products
- End of day Broker Reconciliations
- Preparation of escalation and control reports
- Trade checkout of non-vanilla commodity transactions
- UAT and Production testing for EMIR and CFTC Regulatory Technology roll-outs
- Strong understanding of derivatives
186
Operations Resume Examples & Samples
- Operate as primary point of contact for select Futures Commission Merchants (FCMs) to facilitate margin agreement and communication
- Demonstrate strong technical and market knowledge around Listed Derivatives & Futures and associated market nuances
- Problem solving capability for complex market and settlement issues
- Proactively identifying opportunities to improve functions with significance across departments
- Problem solving capability for complex trade flow & accounting issues
- Minimum of 1 years asset management experience or similar
- Product knowledge in / exposure to Listed Derivatives Clearing (Futures & Options), with an enthusiasm to expand into other areas
187
Operations Resume Examples & Samples
- Manage risk with respect to team’s daily operations, ensuring the integrity of our processes
- Functional oversight with respect to team’s daily operations
- Timely resolution and escalation of all client disputes and queries
- Liaise and build relationship with key stakeholders including Legal, Credit, Sales, Trading, Middle Office, Front Office, Corporate Treasury, Settlements and other internal GS teams on issues
- Identify & assess potential risks in operational processes; implement controls to mitigate risk
- Analyze current processes and recommend improvements to gain operational efficiency & establish standards and consistencies in controls and processes with the global team
- Perform general line functions and approvals to maintain technical skillset
- Enhance and evolve the functional risk management framework , processes and infrastructure
- Review and approval of management and control reports
- Experience leading teams with strong people orientation
- Strong attention to detail and a risk and control mindset
- Ability to work independently and develop stakeholder relationships
- Ability to grasp complex concepts quickly and understand master documentation
- Desire for continued improvement and new challenges
188
Operations Resume Examples & Samples
- Draft OTC Equity Derivative trade confirmations
- Work closely with legal, trading, sales and internal clients to resolve any trade related queries or issues
- Monitor work flows to ensure verification and confirmations are prioritized in line with expectations of external clients and regulators
- Communication and relationship management skills
- Flexible and able to work well under pressur
- Derivative product knowledge and basic understanding of 2002 and 2006 ISDA Definitions
189
Operations Resume Examples & Samples
- Process invoices complying with tax requirements of various regions
- Analyzing daily/weekly control reports in order to ensure regular payment of invoices
- Minimum 2 years’ experience in a similar role
- Knowledge of accounts payable, vendor management and fundamental payment controls
- Ability to identify problems and control gaps and come up with innovative solutions to mitigate risk
- Effectively communicate with stake holders across different regions and help build partnerships
- Excellent partnership building skills in a collaborative customer service team environment
- Strong accounting knowledge and attention to detail
- Experience in working with ERP Accounting Systems
190
Operations Resume Examples & Samples
- Support the Goldman Sachs CRE Mortgage Desk(s)
- Process monthly remittances received from Servicers
- Settle trades and update systems, book and records
- Send wires and take in cash related to trades and remittances
- Communicate closely with internal counterparties such as Trade desk, Controllers, Asset Management, etc
- Self- motivated but able to work within a team environment
191
Operations Resume Examples & Samples
- Demonstrates a minimum of 2 years experience in Banking or similar environment
- Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute
- Judgement and Problem solving - Thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
- Credit Derivatives Documentation, Trades Processing or Settlement experience advantageous but not essential
- Knowledge of Regulatory commitments in the Derivative markets is beneficial
192
Operations Resume Examples & Samples
- This individual is responsible for supporting the regional chief of staff in the development and execution of the Operation’s division’s strategy
- Developing content, presentations and prep materials for the co-chief operating officer and regional leaders for events
- Responsible for writing, reviewing and approving communications for the division to ensure a consistent global standard
- Project managing initiatives that cross business units, developing project plans and acting as an execution resource to management on their key people, strategy and communication priorities
- Facilitate management of meetings, including managing agendas, content and production of minutes and follow-ups (e.g., EMEA Regional Managers Forum meetings)
- Responsible for logistics of divisional meetings (e.g., townhalls, business planning, onsites, etc.)
- Responsible for analysis and reporting across various divisional initiatives
- Liaison with the Executive Office and other divisions in the Federation on topics impacting the firm including current events and communications
- Highly motivated, self-starter with strong academic background
- Ability to articulate complex ideas in a clear, concise language and have very strong written communication
193
Operations Resume Examples & Samples
- Coordinate the quarterly Balance Sheet Substantiation process for Operations
- Communicate to Senior Operations Manager Directors, Vice Presidents and Account Owners throughout the lifecycle of BSS
- Analyze BSS results and summarize key components for Operations Committee Risk and Control Self Assessment (RCSA) review quarterly
- Facilitate and assist Finance Controllers with various regulatory and audit requests
- Evaluate, identify and consult with business units on workflows, areas of risk, team knowledge and advice and track solutions to be implemented by coordinating the Peer Review internal audit program
- Structure and deliver BSS certification requirements and training program for operations
- Participate in various projects/initiatives within the team aimed at promoting and improving efficiencies and control
- Prepare monthly and quarterly reports for senior managements
- At least 2 years of professional experience in the job offered or similar background
- At least 2 years of experience in project management
- Strong Team-player, excellent communication and organizational skills
- Proactive client service orientation to the business and to internal clients
194
Operations Resume Examples & Samples
- Middle Office support for multiple global Trading and Structuring teams
- Account management for clients and counterparties, managing all operational aspects of structured financing transactions and communication with external clients
- Risk mitigation, ensuring client activity is successfully managed post trade execution
- Manage operationally the issuance process for new SPVs/MTN transactions to ensure all aspects of the issuance process and hedging strategy are successfully executed
- Subject Matter Expert around Credit Derivatives, Debt Instruments and associated operational processes, SPV Origination and Structured Finance
- Work with other key Federation stakeholders such as Controllers, Legal, Credit, etc. on executing new business and maintaining the existing portfolio of trades
- Actively identify and mitigate risk through the perpetual review of daily controls and reconciliations across risk systems, and understand the constantly evolving business landscape and the applicable regulatory requirements in the industry
- Provide Lifecycle Support and guidance to Trading Desks, Sales and Clients. This role will involve a large amount of facilitation and negotiation with Global teams across all divisions
- Commercial Impact – Develops ideas and proposals by stepping back to gain a broader insight on processes
- Operational knowledge of Bonds, Loans, Total Return Swaps and CLNs will be highly beneficial
- Credit Derivatives Documentation including Swaps, Notes and CDS, highly advantageous but not essential
195
Operations Resume Examples & Samples
- Strong knowledge of data manipulation and query tools (SQL, TSQL, PL-SQL) across number of
- Strong analytical and problem solving skills with attention to detail
- Strong communication skills to interact with various stakeholders on the business and technology side
- Exposure to documenting and developing business process flows and business requirement documents like workflow and UAT manuals using standard applications such as MS word, PowerPoint, Visio, Excel
- Mathematical modelling experience will be an added advantage
- Minimum of 4-6 year relevant experience
- Engineering or Computer Science Degree or Mathematics Degree
- Interface actively with business and Technology teams across the Federation to conduct root
196
Operations Resume Examples & Samples
- At least 3 years of work experience in financial industry
- Cash/Wire reconciliation experience
- Warehouse/Commercial/Structured Finance Loan experience
- Ability to work in fast paced environment; need to think and make sound decisions quickly
- Effective reading comprehension interpreting legal and compliance materials
- Ability to write SQL code
197
Operations Resume Examples & Samples
- Demonstrate a strong focus on controls, processes, procedures and operational risk management and ensure escalation of issues on a timely manner
- Minimum of 6 years proven Commodity Operations experience
- Possess a strong understanding of end to end transaction processes
- Innovation; able to suggest & implement ideas to complement & develop new processes as they evolve with the business
198
Operations Resume Examples & Samples
- Nominating European gas and power positions to relevant Market/System Operators
- Submitting bids to power exchanges and participating in power interconnector auctions for capacity
- Develop a detailed understanding of the Gas & Power Industry with particular emphasis on physical transportation & production issues
- Participate in ongoing development of the Physical Operations team procedures & processes in order to support the business
- Project Management to facilitate trading in new markets and products including external interfaces and internal IT system enhancements
- Minimum 3 years’ experience of European Gas and Power Operations, gained in a scheduling or shift operations role. We are particularly interested to hear from people with a bias towards Continental European Gas Operations
- A European language whilst not essential would be advantageous
199
Operations Resume Examples & Samples
- Build, maintain and enhance client relationships with new and existing clients
- Provide Institutional clients with a single point of contact for a wide range of operational issues and account management queries, including addressing execution and position breaks and margin calls
- Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges the contributions of others
- Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendation
200
Operations Resume Examples & Samples
- 1+ years financial industry experience (AML or other Client On-boarding Regulatory experience a plus)
- Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications
- Exceptional organization skills
- Good judgment and strong problem resolution skills
201
Operations Resume Examples & Samples
- The Lead Specialist is responsible for providing expertise in products and markets in which the team conducts business and the functions and / or systems used by the team
- The focus of the role is to manage the risk by improving current work processes, increasing controls, mitigating risk and, reducing costs as well as improving service provided to clients. They will also be expected to lead management discussions and drive improvements in the risk management framework and ensure applying full suite of control and risk management tools
- A Lead Specialist also typically lead projects to design new systems or system changes within the department and is expected to improve current work processes, increase controls, reduce costs as well as improve quality and service
- A Lead Specialist must maintain an understanding of firm-wide systems architecture and trade flows as they relate to own business and functions performed as well as be able to quickly come up to speed on process / systems as required
- Resolving and reconciling complex business problems while working with counterparts in other organizations, possibly including external client representatives
- Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
- Being a Subject Matter Expert in the team, assisting team members in resolving complex issues as well as reviewing, approving and supervising the functions performed
- Maintaining an In-depth understanding of a wide range of financial products and markets as well as a broad knowledge of our processes and systems and their impact on other downstream processes and systems
- Proposing changes to the logic or rules underlying a system because of changes in the business environment (e.g., regulatory changes, new client requirements, trading on a new exchange)
- Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
- Responding promptly to client and counterparty inquiries, committing to deliverables as well as undertaking extensive ad hoc investigation and analysis, where this is appropriate
202
Operations Resume Examples & Samples
- Set strategy and direction for tech and workflow initiatives that will improve compliance rates
- Work directly with the line teams to identify non-compliant themes and patterns
- Work closely with Ops Senior Management, Sec Div Compliance, and Sales PMDs in the Securities Division to develop and execute on firmwide compliance strategy
- Extensive people management experience or excellent track record in leading teams
- Drive and motivation - successfully handles and prioritizes multiple tasks, takes initiative and leads to improve own and team’s performance, works intensely towards extremely challenging goals and persists in the face of obstacles
- Strong team player - effectively collaborates with others both locally and globally
- Development of creative solutions that are grounded in reality and have practical value
- Derivatives product knowledge and job experience in operations is preferred
203
Operations Resume Examples & Samples
- Investigate and resolve product and pricing data exceptions
- Set-up and maintain product data in Prime. These include equities, options, rights/warrants, convertibles, corporate bonds, municipal bonds, agency bonds, emerging market bonds, mutual funds and listed derivatives
- Proactively solve data quality issues from both tactical and strategic perspectives
- Actively support the PDQ hotline and data/pricing inquiries from our internal clients on a daily basis
- Support end of day and month-end pricing for firmwide CHOICE users
- Proactively work with market data and external vendors (e.g. Bloomberg, Reuters, S&P, etc..) to ensure we have the highest quality data in our systems
- Work on projects to support new businesses and industry/regulatory requirements
- Self-Direction to effectively prioritize efforts amongst competing demands and escalate issues quickly
- Dynamic analysis skills to help highlight issues with products or business ideas that our partners are facing our could potentially face
- Willingness to learn and take ownership of completing tasks
- Ability to multi-task and handle large volumes of work at a fast pace
- Ability both to solve problems and explain underlying issues to non-technical clients and/or colleagues
204
Operations Resume Examples & Samples
- Ensure smooth execution of department initiatives and projects: manage the end-to-end project lifecycle for key initiatives within Tax Ops including documentation of requirements and test cases, execution of testing, and project status reporting
- Preparation, validation and maintenance of documentation and reports related to transaction tax liabilities for the Firm and our Clients
- Analysis of tax related exceptions report, investigation around breaks, and identification of the root cause
- Ownership around resolution or mitigation of processes or system gaps
- Communication with a wide range of groups across Operations and Federation to ensure accurate calculation, reporting and payment of transaction taxes, along with provide support in response to tax-related queries coming from the business and/or clients
- Facilitate the communication between Federation and Business groups and the Corporate Tax Department
- Develop knowledge in taxations requirements, process and systems for a number of transactional based procedures, including Withholding Tax, Capital Gain Tax and Consumption Tax
- Develop an understanding of process flows, across a number of Operations teams and act as risk manager for the Firm through ongoing assessment and awareness of the tax regulations and reporting obligations
- Partner with the global Tax Operations team to streamline and harmonize current processes and procedures around core functions
- Minimum 5+ years of experience in an Operations role, with as solid understanding of one or more business areas, e.g. Equities, Fixed Income, Asset Management, Alternative Investments
- Good knowledge of taxation requirements for financial products across a wide range of taxes (including withholding tax and capital gain tax)
- Proven experience in dealing with Financial Industry bodies and/or Regulators
- Strong attention to details and organizational skills
- Operational mindset focusing on improving operational processes and procedures; ability to understand and analyse complex workflow
- High level of ownership
- Thrives in a teamwork environment, strong interpersonal and communication skills
- Service orientation, sense of urgency, ability to manage internal clients’ expectations, follow-through and professionalism
- Fluent in Business Japanese
- Previous experience in dealing with Corporate Tax Department and Legal is useful but not essential
205
Operations Resume Examples & Samples
- Perform daily client money calculation and adherence to regulatory requirements
- Support X-div Books & Records projects by assisting in developing new reconciliations and conducting testing/checkouts
- Support incoming/outgoing Audit Conf process
- Support Client Asset initiatives across Asia Pacific regions
- Perform daily reconciliation to ensure integrity of firm’s books and records
- Previous experience within risk and control
206
Operations Resume Examples & Samples
- Ensure that portfolios are correctly valued
- Hedges are reflected,
- A client's excess or deficit is accurately calculated
- A miniumum of 3.5 years relevant Operations experience
- Strong communication skills are essential for interacting at all levels, across business disciplines and regions
- Ability to multi task and handle large volumes of work at a fast pace
- Highly motivated; energetic and confident team player
207
Operations Resume Examples & Samples
- Become a market expert
- Understand internal and external regulations
- Assess market changes and present the impacts/recommendations
- Optimise securities inventory management
- Experience gained within Securities Lending, Settlements or Securities
- Self-driven with excellent communication and interpersonal skills
- Flexible team player and aptitude to working well under pressure with strict daily deadlines
- Strong analytical skills with ability to understand technical workflows in detail
208
Operations Resume Examples & Samples
- Validating and approving margin calls for PWM, PB and GSEC clientele
- Strong project management and change management experience in system and process flows
- Excel skills are a must
209
Operations Resume Examples & Samples
- Resolve issues/disputes with internal traders/sales, counterparts & brokers
- Adjust OTC derivative, listed & cash positions as a result of corporate actions
- Check incoming broker confirmations versus internal risk representation
- Daily reconciliation between the firm’s books and records and front end risk systems
- Monitor various other controls and activity reports and follow up to close out open issues
- Devise and implement process improvements for greater control, client service and efficiency
- Partner with Technology on system flow issues and specifications for enhancements
- Become ‘go-to’ contact with subject matter expertise related to many aspects of the business
- At least 2 years relevant work experience
- MS Office package knowledge – VBA would as a plus
- Anticipates problems when making decisions through careful analysis & attention to detail
- Takes actions to ensure that controls are in place, procedures are followed and follows up to ensure completeness of others’ work
- Has necessary confidence and communication skills to negotiate effectively with other internal/external groups, including the Business
210
Operations Resume Examples & Samples
- Update and maintain vendor profiles in compliance with the Firm’s ‘Vendor Management Policy’
- Minimum of 1.5 years invoice management experience
- Fluency in Mandarin required as the role will involve interaction with Mandarin speaking clients/colleagues
- Knowledge of accounting / finance and related controls, with an enthusiasm to expand into other areas
211
Operations Resume Examples & Samples
- Perform day-to-day Listed Option processing, including reconciliations, option premium balancing, asset servicing events, collateral management, and exercise, assignment, and expiration events
- Monitor real-time option trading to limit client and firm exposure to counterparties
- Manage weekly, monthly, and quarterly expiration processes
- Interface with Derivatives Trading and Sales desks, GSS, exchange and counterparty brokers to resolve trade discrepancies
- Balance internal client and firm options positions to the Options Clearing Corporation
- Identify, understand, and process asset servicing events
- Identify and implement work flow improvement opportunities
- Work with Compliance, Legal, and Regulators to keep abreast of changes to industry rules
- Proficiency with PC application skills, particularly Excel and Access
- Detailed understanding of the firm’s risk and control framework with the ability to identify risks, areas for improvement, and work to develop/strengthen controls
- Strong project management skills: ability to organize and track multiple threads of activity, ability to deliver on tight timelines, hands-on approach to resolving issues and detail orientation
212
Operations Resume Examples & Samples
- The opportunity is for an Associate to join the Liquidity Management team and contribute to the firm managing its daily funding requirements in the core funding functions as outlined below. The successful candidate will also be expected to proactively contribute towards continued improvements in control, operational efficiency and industrialisation initiatives
- Securities Funding: Optimising use of firm inventory for Fixed Income & Equity collateral and funding for firm short cover purposes, including intercompany funding. Support for repo and stock loan products traded by Short Term Interest Rate (STIR), Global Liquidity Products (GLP) and Global Securities Services (GSS) desks
- Funding Projections: Partnering with Corporate Treasury, Foreign Exchange Desk, Foreign Exchange Operations, and Treasury Operations to provide real-time and next-day currency projections. GCE (Global Core Excess) Management, compiling and reporting on the firm’s liquidity buffer
- Funding Efficiency: Control and oversight of the firm’s triparty trade allocations and payments to clients. Support of the Corporate Treasury, Global Liquidity Products (GLP) and Short Term Interest Rate (STIR) desks for all aspects of the triparty secured funding business
- Minimum 4 years experience in an Operations role within a Bank
- Demonstration of strong risk management practices
- Ability to analyse, evaluate and form independent judgments
- Ability to build relationships with people from other teams and levels of seniority
- Self starter with good commercial perspective
- Proven track record of process change management
- Experience within Liquidity, Collateral, Derivatives or Securities Operations preferred but not essential
213
Operations Resume Examples & Samples
- Researching clients' legal and/or organizational structures
- Updating client information
- Performing due-diligence on information provided
- Handling clients' and Goldman Sachs' proprietary and confidential information
- Understand and analyst industry regulation
- Understand financial products and financial markets
- Perform business analysis and manage projects
- Identify and mitigate risks
- Identify inefficiencies and propose solutions
- Understand operational problems and be able to offer solutions
- Proficient in Microsoft Office (Word, Excel, Access, etc.)
- Service orientation, sense of urgency, ability to manage internal clients’ expectations and professionalism
214
Operations Resume Examples & Samples
- Be responsible for root cause analysis and resolution of position, balance and tax lot breaks between AMS / AMR and Firmwide systems and transaction processing engines
- Work closely with Reconciliation team in Bangalore on various shared responsibilities
- Liaise with technology and operations groups for break resolution activities and inquiry support
- Track and report on service level agreements (SLAs) and volume of work driver activities
- Work on process and system improvement initiatives
- Perform daily break analysis for various PWM functions including: GS Zurich Bank core custody, GS Trust Accounts, various product specific processes, and GS Tax systems
- Other daily responsibilities include: liaise with technology and operations staff to determine root causes and appropriate resolution of breaks and exceptions, follow up with operational inquiries via SRS tool, and assist with month-end client reporting statement checkout work, special projects impacting Portfolio accounting, etc
- Participate in Application User Group meetings and assist with user acceptance testing on small enhancement and maintenance items
- Assist in the development of preparing UAT test scripts for new functionality and maintain library of existing test script cases, as needed
- Ensure procedures are current and updated
- Follow and enforce regulations and GS policy, as applicable
- Understanding of IRS broker reporting requirements a plus but not required
- AMS / AMR prior experience preferred
- Series 7 licensing a plus but not required
- Proficiency in MS Access
215
Operations Resume Examples & Samples
- Liaising with client’s appointed counterparties (custodian, prime broker etc.) to enable connectivity, establish operational flows and respond to service requests and inquiries
- Support the vetting / negotiations of all contractual, guideline and supplemental agreements that have an Operational input or impact (i.e. IMA, ISDA, FCM, Direction Letters, etc.) with both internal and external parties. Ensure that any and all agreements are finalized and executed prior to account opening and all client issues are resolved in a timely and satisfactory manner
- Knowledge of the asset management business and investment products across major asset classes (fixed income, alternatives, equities, money markets)
- Strong interpersonal skills: Ability to build the trust and confidence in capabilities, ability to work well with others internally to accomplish client objectives
- Must be a team player, hard working, resourceful and eager to learn
- Strong business analysis and business requirements skills, with the ability to identify, review and prioritize business requirements across multiple products
216
Operations Resume Examples & Samples
- Work with Legal and Compliance to understand regulatory rules and requirements, and work with Operations teams to understand the operational solutions for complying with them
- Prepare status reports, conduct meetings to follow-up on issues. Ensure all accountable parties understand and agree upon action items and target dates
- Work to ensure risks are mitigated and actions are delivered in targeted timeframe. As needed, work to remove obstacles and be creative when tasks are behind schedule. Ensure implications of late delivery well understood and alternative options are in place
- Facilitate and drive communication to gain input and consensus from stakeholders in multiple teams and regions. Ensure sponsors and stakeholders have latest status and issues and risks are fully transparent and well understood
- Support other members of the team as they lead particular project initiatives
- Ability to engage at various levels of seniority and globally
- Consistently able to produce high quality program documentation, specifically updates, steering committee meeting minutes, newsletters
217
Operations Resume Examples & Samples
- Contribute to tactical and strategic initiatives employing typical project phases
- Build and manage relationships with project stakeholders throughout the firm
- Become the subject matter expert within given Control Framework projects
- Communicate regularly with stakeholders to ensure that status, risks & issues are understood
- Participate in internal and external forums as required by Regulatory Operations and the firm
- Minimum of 3 years experience gained in a project management and/or business analyst role
- Proven track record of change delivery within a high tempo environment
- Keen attention to detail and technical proficiency
- Committed team player
- Good working knowledge of OTC & ETD derivative products across Equity & FICC
- Thorough technical understanding of Global Transaction Reporting to global jurisdictions such as CFTC, ESMA, JFSA, HKMA, MAS, CSA & ASIC
- Previous experience within Regulatory Risk Management projects
- Prior experience working on initiatives requiring internal Front-to-Back technology and external middleware provider change
- Formal project management qualifications such as PMP, PRINCE2
218
Operations Resume Examples & Samples
- Regular planning and execution of deliverables across regions
- Maintaining the expected turnaround time and accuracy level for all functions performed by the team / individual
- Reporting and analysing the daily, weekly and monthly metrics on all functions performed and highlighting the efficiency / productivity and accuracy aspects
- Managing risks in the process by implementing and reviewing the relevant controls
- Partnering with various business units to ensure regular and timely payment of invoices and response to queries
- Developing new processes and re-engineering the current processes to meet changing needs of the business
- Leading / contributing to various projects which are kicked off in the department
- Representing Accounting Services on various cross departmental initiatives
- Minimum 5-6 years of relevant experience
- Strong knowledge, in-depth understanding and experience of Finance and Accounting (F&A) functions
- Good team skills and ability to work with a wide user groups from different parts of the World
- Strong communication, problem solving skills and focus towards attention to details
- Effective and efficient time management and executional skills
- Risk management and understanding related regulatory requirements
- Ability to develop / sustain good working relationships with other teams and stakeholders
- Preferably, knowledge and experience in Accounts Payable, Vendor management and Invoice processing
219
Operations Resume Examples & Samples
- Have experience of enterprise architecture and building consistency and governance in the way that decisions are implemented across organisations
- Minimum of 3 years experience in investment banking operations
- Minimum of 5 years experience in Business Decision Modelling / Management or similar
- Self-motivated and well organized. Proven track record; ability to handle multiple tasks, prioritise accordingly and make decisions as required
220
Operations Resume Examples & Samples
- Lead cross-Operations, high priority projects and manage sponsors and stakeholders with competing priorities, resources and time constraints across all typical project phases
- 7 years of professional experience - required
- 3 years of project management experience - required
- Be a motivated, energetic team player
- Have a proven track record of scoping and driving delivery of projects and achieving results independently on time and to budget including
- Demonstrate excellent people management skills and ability to influence key stakeholders outside their direct control
- Demonstrate excellent communication and interpersonal skills both written and oral
- Be a strategic thinker, able to lead project working groups and possesses strong facilitation and data gathering skills
- Demonstrate understanding of Operations processes and procedures and an ability to learn quickly – knowledge of processes related to Operations or the Financial Services industry would be an advantage
- Previous experience ideally from financial services and / or management consulting
- Be proficient in Microsoft Word, Excel, Powerpoint, Project, Visio and Sharepoint
221
Operations Resume Examples & Samples
- Lead tactical and strategic initiatives employing typical project phases
- Minimum of 5 years experience gained in a project management and/or business analyst role
- Previous experience leading Regulatory Risk Management projects
- Prior experience managing projects requiring internal Front-to-Back technology and external middleware provider change
222
Operations Resume Examples & Samples
- Ability to work well under pressure and meet strict deadlines
- Ability to learn quickly in a fast-moving environment
- Strong attention to detail and the ability to keep track of a large workload
- Strong control mindset, to enhance the existing infrastructure to support increases in business
- Inherently proactive
- Team oriented approach – ability to work across functions outside of Operations
- Highly motivated, energetic and enthusiastic
- Strong organisational skills and flexibility, with the ability to cope with rapidly changing priorities throughout the day
- Excellent interpersonal skills and self-confidence, including the ability to deal with demanding business people, protecting the interests and reputation of GS whilst maintaining a commercial outlook
- Knowledge of bank loans closing, corporate actions, servicing or other operations areas is preferred. Paralegal/law firm/drafting experience or training is highly desirable
223
Operations Resume Examples & Samples
- Review pending account updates to ensure that proper client authorization is in place and the update is in accordance with regulatory and firm requirements prior to approval
- Apply sound business judgment to identify unusual or suspicious documentation or activity
- Continuously implement process changes based on regulatory and Anti Money Laundering policies
224
Operations Resume Examples & Samples
- Review existing accounts to ensure that the client information received is in accordance with regulatory and firm requirements
- Review account opening documents including client provided legal agreements
- Resolve issues through coordination with PWM Operations, PWM Sales and the Anti-Money Laundering Group
225
Operations Resume Examples & Samples
- Spearhead the development and evolution of the documentation function in accordance with market standards and regulatory requirements
- Displays ability to meet multiple deadlines in a dynamic, fast paced environment
- Contributes to the effectiveness of the team by working closely with colleagues in sharing information, skills, and responsibilities
226
Operations Resume Examples & Samples
- Maintaining the daily responsibilities of the Quality Assurance Group including liaison with Senior Operations management to report on their findings
- Take responsibility for delivering best in class control and risk oversight, using innovative approaches to identify and address regulators’ needs
- Work to create / improve metrics that record key risk indicators and the quality of our data and maintain a process to efficiently execute on these
- Contributing to the development of the methods to improve processes, reduce risks and/or increase controls
- Liaison with global counterparts within Regulatory Operations, Legal, Compliance and Internal Audit
- Strong teamwork is essential, as well as the ability to build “mutually beneficial” relationships with others. Working across geographic as well as cultural borders to ensure the success of the new Quality Assurance Group
- Strong organizational skills and the ability to cope with rapidly changing priorities are also essential
- Consistently able to produce high quality work, specifically updates of the suitability of our risk and control agenda to senior executives
- Strong analytical skill set and a curiosity for risk enhancements
- Ability to forge strong rapport with our global team
227
Operations Resume Examples & Samples
- At least 4 year of professional experience
- At least 4 year of professional experience with financial products, knowledge in one, or more, derivative/core products with an interest to expand into other areas
- Preference of at least 2 year asset management or middle office experience (experience or solid understanding of OTC derivatives/Mortgages/Mutual Funds/Private Investments/Bank Loan confirmations/settlements or related trade support functions preferred)
- Understanding of industry agenda & platforms (e.g. DTC, ClearPar, SWIFT, FED, Oasys, MBSE, DTCC, Trade Warehouse,
- Proactive, self-motivated individual with high levels of ownership, and driven to achieve
228
Operations Resume Examples & Samples
- Data Analysis and Quality Control
- Performing due-diligence and entity research
- Understand and analyze industry regulations
- Project contributions
229
Operations Resume Examples & Samples
- At least 3 years of full time work experience
- Senior Analyst/Associate level position, preferably with experience in an Equity Derivative, Commodity or Foreign Exchange documentation team or product area, including structured transactions
- Contribute to the effectiveness of the team by working closely with colleagues in sharing information, skills, and responsibilities
- Take actions to ensure that controls are in place and procedures are followed
230
Operations Resume Examples & Samples
- Build and maintain a strong business relationship with derivative trading desks and ensure that their queries and requests are appropriately addressed
- Prepare and review legal documentation of non-standard derivative trade documentation with Trading, Legal and outside counsel
- Partner with Trading and other Operations teams to provide commentary on legal language and insight for long-term support requirements
- Ensure control measures are in place and applied to support existing and new structured transactions
- Event management oversight
- Ensure confirmations accurately incorporate the appropriate ISDA Definitions, Supplements and MCAs
- Responsible for liaising with external clients to ensure timely execution of confirmations and resolve all outstanding queries on documentation
- Lead and participate in enhancement projects with Technology and other Operations colleagues, with an aim to improving scalability and efficiency of the confirmation process
- Respond to an ever-evolving regulatory environment by developing expertise in regulatory requirements, acting as a consultant to translate these regulatory requirements into functional requirements, and analyzing regulatory compliance data
231
Operations Resume Examples & Samples
- Create the appropriate team structure, hiring the right associates/analysts mix to ensure flawless execution and coverage of the control environment
- Establishing and overseeing daily responsibilities of the Quality Assurance Group including liaison with Internal Audit to ratify the model we are implementing
- Work to create / improve metrics that record key risk indicators and the quality of our data and build a process to efficiently maintain changes to these
- Liaison with global counterparts and regional leads within Regulatory Operations, Legal, Compliance and Internal Audit
- Oversee tools required to support team objectives; work with Technology and others to shape direction of required toolset
232
Operations Resume Examples & Samples
- Liaising with the Trading desks to ensure timely processing of amendments to existing bookings
- Provide technical assistance to Trading when booking new trade types
- Provide assistance to the wider Operations teams, dealing with trade related queries and acting as an intermediary when liaising with Trading where necessary
- Communication and relationship management: The constant interaction with Trading and other stakeholders requires the individual to be confident when dealing with demanding business people, ensuring at all times we protect the interests and reputation of GS whilst endeavoring to accommodate trading and client requests
- Quick to pick up new concepts, challenge the status quo, identify inefficiencies in trade
233
Operations Resume Examples & Samples
- Master’s degree or equivalent qualification in an analytical field (CS, Maths, Engineering, Finance etc.) and have an excellent academic record
- Possess knowledge of Object-Oriented Programming (MATLAB, C++, Python)
- Minimum of 18 months experience in execution of designs and projects
- Proficient in Microsoft Word, Excel, Powerpoint
234
Operations Resume Examples & Samples
- Track, coordinate, and drive project deliverables associated with Technology projects within Loan Operations
- Design and maintain the conversion schedule, including identification and resolution of conversion dependencies, as part of system migration project
- Educate key stakeholders on program execution milestones through PowerPoint presentations, conference calls and email notifications; contextualize system functionality with an emphasis on ROI
- Conduct cross-divisional user testing sessions for newly developed functionality
- Generate project planning documents in Excel and Projito to track resources, deadlines, and requirements
- Assist with various other projects as needed
- Project coordination/management experience
- Fast learner with a proactive attitude
- Knowledge of Excel (formulas, vlookups, pivots), Powerpoint and Word
235
Operations Resume Examples & Samples
- Handle incoming phone calls to the US Order Book help-desk and REDI Plus hotline from Private Wealth Management reps
- Provide trade support to the managed account strategies, GSAM separate account programs, listed products, OTC derivatives, and structured notes
- Perform trade settlement/fail management for managed account platforms where trades are executed with external counter parties
- Monitor and perform trade reconciliations
- Respond to on going regulatory changes to ensure PWM Operations compliance
- Series 7 license preferred
236
Operations Resume Examples & Samples
- Support the various Derivatives businesses
- Develop detailed product knowledge
- Act as a Client Relationship Manager, ensuring superior level of service
- Interact with the Trading and Sales Desks to resolve day to day issues and partner strategically
- Partake in function or system enhancements
- Manage all aspects of a team, including career development
237
Operations Resume Examples & Samples
- Work with the trading desk to support and provide oversight of operational components of various asset classes
- Create relationships across multiple areas in the Firm including trading desks, operations, technology, legal and compliance departments
- Provide technical expertise related to the implementation of business expansion, global consistency, risk management, efficiency, and technology convergence initiatives
- Keep abreast of regulatory change and participate in industry forums
- Champion reengineering programs with the goal of increasing efficiencies globally
- Engage the Global Trading Ops team and other parts of the Federation to resolve trade flow issues and discrepancies
- Drafting and periodic review of team procedures and checklists to meet regulatory requirements
- At least one year of experience
- Strong verbal and written communication skills with the ability to influence a wide range of stakeholders
- Risk management focus
- Highly organized individual with attention to detail and excellent follow-through skills
- Project management skills a plus
- Experience in an Operations role is preferred but not essential
- Proficient in Microsoft Office products (e.g. PowerPoint, Excel, Word, Access, SharePoint)
- Experience with change management or process improvement a plus
- Record of career progression in current role
238
Operations Resume Examples & Samples
- Participate in the calculation of the firm’s cash projections
- Facilitate the settlement of transactions by ensuring the proper funding of various firm bank accounts
- Manage risks associated with cash settlements in a real-time environment
- Provide expertise in the control process related to cash payments
- Participate in the set-up of new entities and businesses by opening new bank accounts and establishing proper cash controls
- Actively liaise with all levels within the various business units to ensure that operational errors are resolved in a timely manner,and that error trends are identified and countered through process improvement plans
- Communicate issues with both internal and external counterparts, including agent banks
- At least 1.5 years of professional and relevant experience
239
Operations Resume Examples & Samples
- Liaising with the Client Implementation teams, Clients, Sales, external agencies, counter parties/custodians on a day to day basis in order to fulfil the KYC / AML document requirements
- Conduct second check reviews to ensure adherence to firm policies
- Partner with PQA & Compliance to implement new and updated policies to satisfy regulatory obligations
- .Participate and contribute to industry-wide initiatives
240
Operations Resume Examples & Samples
- Holistic ownership and understanding of all Regulatory and External Audit reporting requirements from a GSAM Operations perspective
- Ensure accounting data accuracy and oversight in handling requests relating to Regulation and Audits
- Ensure the requirements are specified in a manner suitable for the intended audience and are understandable, unambiguous and capable of being implemented and tested
- Daily correspondence with our strategic business partners to review open requests and assign ownership
- Pro-actively review processes in an effort to gain efficiencies and improved risk oversight
- Defining clear and comprehensive timelines, estimating and planning tasks that are inter-dependent to meet objectives
- Perform surveillance to monitor for potential breaches for various limits set forth by regulators and exchanges
- Complete affiliated transaction reporting and monitoring for our 1940 Act Propriety and Sub-advised funds
- Assist with regulatory filings such as N-MFP, Form PF, CPO-PQR, CPO-CTA, NFA-PR and Form S
- Present monthly Sub-Certification summaries to members of the business committee
- Minimum of 6 years of work experience
- Experience in the Finance Industry and/or Regulatory Industry
- Team oriented and contributes to an inclusive environment
- Excellent interpersonal skills and the ability to forge strong relationships with internal and external clients
- Experience in regulatory and audit reporting
- Demonstrates understanding of risk management: understanding of controls, escalations and engagement of relevant groups
241
Operations Resume Examples & Samples
- Participate as a subject matter expert regarding trading (specifically with regard to derivatives, structured notes, and listed products) and settlements on a large scale uplift project
- Work with the project team (technology, business, compliance, legal counterparts) to provide input and recommendations based on expertise to design, implement, and execute new trading platform for Private Wealth Management
- Provide future state design recommendations which are in accordance with current regulatory requirements and environment, as well as Goldman Sachs risk and control framework
- Work closely with senior stakeholders regarding project approach, recommendations, and implementation
- Trade execution and booking experience required
- Ability to work on multiple tasks/priorities under very tight deadlines
- 5+ years work experience in financial industry
- Microsoft Office proficient
- Ability to think strategically and work with a team to drive execution of solutions
- Demonstrated skills in negotiation, quantitative and qualitative analysis, problem solving and execution
- Strong understanding of trading regulation and current regulatory environment
- Excellent organizational and time management skills, with the ability to work on multiple tasks/priorities under very tight deadlines
242
Operations Resume Examples & Samples
- Support and execute agenda to oversee identified Regulatory Commitments
- Data administrator to ensure accuracy of data and adhere to workflow and timelines
- Manage analyst who will provide team support
- Oversee toolset required to support objectives
- Support and execute agenda of team
243
Operations Resume Examples & Samples
- Support and execute agenda to oversee audit functions
- Building an infrastructure that houses detective controls and facilitates risk deep dives
- Manage a junior team and create the right support and governance to stay on top of the team’s daily workload
244
Operations Resume Examples & Samples
- Draft OTC Derivative Trade Confirmations across different asset classes
- Minimum 3 years relevant work experience
- Displays an ability to meet multiple deadlines in a dynamic, fast paced environment
- Experience in any of the 5 product areas - Foreign Exchange, Equity Derivatives, Commodity, Interest Rate, Credit in including structured transactions
245
Operations Resume Examples & Samples
- Translating Firm and Operations strategies, goals and objectives into target goals and objectives for the individuals and teams they manage, and proactively managing performance against these objectives
- Establishing controls and ensuring that they are followed, to optimise service and process quality and to manage Goldman Sachs exposure to risk within areas they manage
- Developing, motivating and managing team members so that they are well prepared to advance the organization goals
- Enforcing internal standards for all services provided by Goldman Sachs
- Building internal and external relationships to improve quality and productivity of work as well as integrating best practices as appropriate
- Providing project management leadership and / or support to new and existing business units and products
- Representing department internally with other areas of Goldman Sachs and externally with regulators, clients and industry contacts
- Identifying, developing and driving process improvements within department and participating in department or divisional initiatives
- Proactively partner with other areas of the business to build and improve relationships with internal and external clients
- Participating in the hiring process and hiring decisions
246
Operations Resume Examples & Samples
- Identify risks associated with cash settlements in a real-time environment
- Japanese language abilities required for interactions with clients and regulators in Japan
- Business level (spoken and written) Mandarin language ability would be preferred as this role may involve interactions with colleagues and clients in China
247
Operations Resume Examples & Samples
- Facilitate communication across multiple areas including Sales teams, operations, technology, legal and compliance
- Minimum of 2 years industry experience in the Financial Services industry, preferably in Operations or Technology
- Minimum of 2 years experience in a project management position with a proven track record of delivering complex projects individually or as part of a team
- Highly organized, attention to detail and excellent follow through skills, and ability to work independently and motivate a team
- Capability to proactively determine next steps and break through stalemate situations
248
Operations Resume Examples & Samples
- Managing collateral across various derivative instruments
- Monitor daily exceptions between various systems
- Interface with the trading desk and brokers to resolve day to day issues and ensure efficient settlement of activity
- Problem solving capability for complex trade flow, valuations, accounting issues and trade discrepancies
- Emphasis on regulatory reform as it impacts collateral management
249
Operations Resume Examples & Samples
- Understand the different client account structures and legal documentation required to establish new accounts
- Work closely with PWM to ensure all client documents are correct and sent to the client in a timely manner
- Request products (options, margin, checking, debit cards, etc) for the respective PWM client accounts
- Resolve issues through coordination with PWM Teams, PWM Compliance, PWM Legal
- Work on improvements to account opening workflow and process
- AML or other Client Onboarding Regulatory experience a plus
250
Operations Resume Examples & Samples
- Assist in the execution of lifecycle events and support project teams in meeting objectives related to departmental wide initiatives
- Close interaction with experts from various different teams such as Technology, Middle Office and Trade Support. This role will involve a large amount of facilitation and negotiation
- Participate in ISDA Working Groups to establish greater standardisation in the Credit Derivatives
- Work closely with other team members and management to reduce exceptions and achieve both industry set and internal targets
- Creates, manages and owns close relationships and partnerships with business partners and external clients
- Develop and implement strategic changes to re-engineer processes and reduce risk surrounding the function
- Actively involved with idea generation and implementation of creating efficiencies within the team to support regulatory changes as well as new client and business requirements
- Good communicator, enthusiastic and team spirited
- Mature and pro-active approach to generating solutions to day to day and longer term technical problems
- Able to demonstrate initiative and curiosity through past experiences
- Sound judgment and analytical skills
- High degree of system literacy
- Derivative product and technical process knowledge
- IOC or other industry qualifications an advantage but not mandatory
