Senior Investment Resume Samples
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Senior Investment Resume Samples
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Dayna
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6418 Edna Summit
New York
NY
+1 (555) 866 6129
6418 Edna Summit
New York
NY
Phone
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+1 (555) 866 6129
Experience
Experience
San Francisco, CA
Senior Investment Ops Analyst
San Francisco, CA
Bauch, Schumm and Barrows
San Francisco, CA
Senior Investment Ops Analyst
- Work with Fund Accounting to ensure accurate accounting information is maintained in all systems
- Provide training & overviews for supporting new complex instruments to GSM members and update/create documentation as necessary
- Training and Development
- Own the oversight of the Pricing Department’s daily work when the Supervisor is absent
- Assists in providing instruction/direction to other members on the SAS Team
- Function as back up for Pricing Analysts as necessary
- Prepare functional specification documents, development, testing, and implementation of modification to systems and procedures
New York, NY
Senior Investment Ops Associate
New York, NY
Gottlieb LLC
New York, NY
Senior Investment Ops Associate
- Monitor all trade processing in our Trade Order Management systems
- Assist with ad hoc projects
- Save, store and file all broker confirms each day
- Maintain accurate broker settlement instructions in accounting system
- Committed to high ethical standards and acts with the best interests of the clients and other interested parties
- Affirm all domestic trades via OMGEO system and global trades via CTM
- Analyze and complete the CTM reconciliation report
present
Chicago, IL
Senior Investment / Portfolio Analyst
Chicago, IL
Conroy, Harber and Gerhold
present
Chicago, IL
Senior Investment / Portfolio Analyst
present
- Develops and maintains checklists for tracking periodic investment managers’ reviews by third party and independent investment manager searches
- Creates portfolio/equity snapshots, researches investments and provides fund reports upon request to clients
- Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
- Establish and maintain effective working relationships with others
- Client relations management tools
- Coordinates efforts to gather data to assist Financial Advisors in preparing responses to client or prospect requests
- Serves as relationship manager for a subset of existing clients, at discretion of lead Financial Advisors
Education
Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Kean University
Bachelor’s Degree in Finance
Skills
Skills
- Strong attention to detail, quality and organizational skills
- Ability to maintain updated knowledge of procedures, products and activities of assigned area
- Ability to motivate assigned staff, hold them accountable, organize workflow, and manage change
- Strong knowledge of Excel, Word and Power Point
- Ability to accurately proofread detailed documents provided by analysts
- Possess sound knowledge of various types of securities and markets in order to analyze price reasonableness provided by vendors and brokers
- Fair Knowledge of account types and account structures from Investment management perspective
- We rely on attracting and retaining employees of exceptional quality. In addition, we work to instill a performance driven culture that reinforces accountability, innovation, and professional development. To reach these goals, Franklin Templeton Investments provides a comprehensive employment program that comprises a balanced work/life philosophy, competitive salaries and substantial employee benefits and services, including
- Ability to resolve various pricing and technical issues within time crunch and ensuring timely distribution of NAVs to AMFI, TA, NASDAQ and the entire company
- Strong research and analytical skills
15 Senior Investment resume templates
Read our complete resume writing guides
1
Senior Investment Ops Analyst Resume Examples & Samples
- Research, analyze systems problems and work with supervisor to assess the overall impact to users and take appropriate corrective actions. Maintain the necessary contact with FTT AD Team and other departments to resolve all systems problems and keep all necessary personnel apprised
- Cross train and provide training on SAS operations and give input on new procedures and training, so as to constantly improve and streamline all SAS group functions
- Masters degree in business-related major preferred or equivalent experience
2
Senior Investment Ops Analyst Resume Examples & Samples
- Oversee the daily production of the Systems Administration and Support (SAS) Team to ensure the various service level agreements (SLAs) are met and is able to address various inquiries
- Assists in providing instruction/direction to other members on the SAS Team
- Research, analyze system problems and work with the supervisor/manager to assess the overall impact to users and take appropriate corrective actions. Maintain the necessary contact with the Franklin Templeton Technology Team (FTT) and other departments to resolve all system problems and keep all necessary personnel apprised
- Assist the manager/supervisor with maintenance of user access to Unity as necessary. Support the addition and changes to funds within Unity
- Perform quality control checks on data received and included in Unity to ensure data integrity. Follow-up and resolve any issues identified
- Cross train and provide training on other SAS operations and give input on new procedures and training, so as to constantly improve and streamline all SAS group functions
- Address systems questions from outside departments and based on the need, inform the appropriate personnel of any impact to them. For example, develop ad-hoc reports using report writers (MS Access, Crystal reports) for Unity as needed or requested from other departments
- Assist with the development, testing and implementation of modification and enhancements to systems and procedures in Unity
- Assist with investment performance measurement. Understanding the basic calculation methodology and what factors impact performance measurement. Apply the conceptual knowledge of performance measurement as it relates to Unity. Based on ones conceptual knowledge of performance measurement and Unity’s calculation methodology, address performance related questions/queries from internal and external clients
- Provide training to other SAS operations and give input on new procedures and training, so as to constantly improve and streamline all SAS group responsibilities
- Perform data integrity audits on control procedures and resolve issues identified
- Address various questions and/or ad-hoc queries requested by internal and external clients
- Prepare functional specification documents, development, testing, and implementation of modification to systems and procedures
- Research, analyze, and resolve system and data problems within Unity to ensure accurate fund information (pricing and/or fund performance) is being disseminated
- 3 to 5 years work experience in the financial services operations environment
- Prefer at least 6 months of previous supervisory experience
3
Senior Investment Valuation Analyst Resume Examples & Samples
- Perform daily checks to verify and validate all daily mutual fund activity to calculate net asset value
- Monitor cash activity, corporate actions, trade and cap stock activity, investment valuation, derivative processing, as well as custody and counterparty reconciliation
- Provide assistance during year end audits
- Communicate any issues related to outages to senior staff
- Bachelor’s degree in finance, accounting or other business-related fields
- At least 4 years of work experience in the investment industry, preferably in financial services or mutual funds
- Experience working with accounting statements (trial balance)
- Working knowledge of Microsoft Office products and advanced Excel skills (macros),InvestOne experience a plus
- Knowledge of financial instruments
- Ability to handle multiple tasks in a deadline-driven, detail oriented environment
4
Senior Investment Policy & Data Analyst Resume Examples & Samples
- Read and interpret IPS requirements, statutes, and laws; annotate IPS statements and translate into CRD or manual testing process. *15%
- Write tests in CRD ensuring rule construction are complete & accurate and adhere to independent quality review process. *15%
- Monitors and researches policy alerts generated in CRD during pre-trade, post-trade, and batch compliance. *15%
- Monitors and resolves data exceptions in CRD. *5%
- Work with IPS team, including client service, investment team, operations, compliance and legal to ensure open questions and issues are resolved. 10%
- Setup and maintain accurate security master files across multiple platforms. *20%
- Assist portfolio managers with trade issues relating to compliance issues, data exceptions, or processes. *20%
- 5+ years of experience in compliance, audit, risk or comparable position
- Bachelor’s degree, preferably in Finance or Business Administration
- Knowledge of investment adviser activities and applicable laws and regulations
- Excellent written and oral presentation skills; comfort interfacing and supporting traders and portfolio managers in disparate office locations
- Familiar with post/pre-trade monitoring of investment guidelines and relevant portfolio exposures using the Charles River IMS
5
Senior Investment & Portfolio Strategist Resume Examples & Samples
- Bachelor’s degree in Finance or Economics, with Master’s degree and CFA preferred
- 8 - 10 years progressive experience in investment and/or portfolio strategy modeling and analysis
- Demonstrated knowledge in the principles and techniques of investment and economic research including strong quantitative and qualitative analytical abilities
- Demonstrated knowledge in the principles and techniques of portfolio management
- Experience with Excel, FactSet and Bloomberg
6
Senior Investment Fund Accountant Supervisor Resume Examples & Samples
- Create journal entries that account for all fund activity (cash and investment activity)
- Maintain the general ledger
- A minimum of 2-5 years working as a fund Accountant in Financial Services or a minimum of three years working in a public accounting firm focused
7
Senior Investment Analyst, Multi Resume Examples & Samples
- Conduct extensive qualitative and quantitative due diligence on approved external managers
- Source and analyze new strategies and managers for the private markets area
- Coverage areas include buyout, venture, real estate, natural resources and other real assets
- Includes both investment and operational due diligence
- Prepare extensive due diligence reports and present to Multi-Manager Investment Committee
- Teamwork and collaboration with other members of Multi-Manager Investment Team
- Work with Relationship Managers, Business Development Officers, clients and prospects providing investment expertise
- Provide manager information and portfolio construction ideas to Relationship Managers and Business Development Officers
- Work with CIO on white papers and other informational content to in enhance Atlantic Trust’s credibility in the market
- Provide educational and marketing content to support Atlantic Trust business development efforts
- Achieve and sustain a balanced approach to managing risk by ensuring compliance controls and processes (regulatory, compliance, fiduciary) are integrated into day to day activities
- Contribute to a strong organizational culture through positive, collaborative behaviors resulting in client and employee engagement
- Pursue continuous improvement and be a problem solver by anticipating obstacles, developing plans to overcome and looking for ways to improve
- Multi-Manager Investment Committee
- Investment Policy Committee (where applicable)
- Asset Allocation Committee (where applicable)
- As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, guidelines and controls
- Bachelor’s degree in Finance or business related field
- MBA / CFA / CAIA preferred
- Prior experience of 5 years in the investment field; 2+ years private markets experience
- Working knowledge of market data and analytical software
- Excellent verbal and written communication skills with ability to convey information to internal partners and external clients/prospects in a clear, focused and concise manner
- Prior experience performing due diligence on investment managers is required; work across multiple asset classes a plus
- Strong analytical and problem solving skills, including demonstrated experience identifying and quantifying problems and providing effective resolutions
- Proficient with Microsoft Excel, Word, Power Point and manager search databases
- Strong attention to detail with excellent organization skills and process orientation
- Ability to handle confidential information, and maturity in dealing with a variety of people at various levels
8
Senior Investment Analyst Healthcare Resume Examples & Samples
- Microsoft Office Suite, Bloomberg computer skills
- Must possess strong communication skills to effectively sell ideas to the management teams of the domestic equity strategies
- Work with International analyst coworkers in the assigned sectors
9
Senior Investment Ops Analyst Resume Examples & Samples
- Review and analysis of daily securities pricing tolerance and exception reports for the Franklin Templeton groups’ more complex, difficult to price and fair value securities, as well as, securities requiring additional research
- Manage the maintenance of the pricing database control lists, i.e., the frozen price, due to trade, research, and watch lists. Assist the Supervisor and Manager coordinating the research and resolution of valuation issues with the portfolio managers, analysts, traders, brokers, and the Pricing Department staff
- Analyze new additions to the pricing database, specifically complex securities to ensure proper documentation and valuation within the context of the pricing conventions, e.g., treatment of fixed income securities with embedded options, PIK, or reset features, structured notes, Rule 144A issues, verification of manual calculation formulae, and interpretation of corporate actions
- Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assists in coordinating the team’s efforts with the Supervisor and Manager
- Review the impact a Corporate Action has on ones' own portfolio holding. Identify when a Corporate Action is not processed properly and how that impacts a fund market value
- Own the review of the Pricing Department’s daily work when the Supervisor is absent
- Interact with portfolio management and legal counsel to establish fair value as it relates to investments in illiquid securities, securities for which market quotations are not readily available, and/or securities that require special valuation consideration
- Assist the supervisor as liaison to the external auditors. Effectively coordinate the compilation and presentation of price data to support the valuation confirmation process and the generation price data to support the valuation confirmation process and generation of year-end financial statements for Franklin fund products
- Standardize, document, and maintain the year-end process and data requirements on an audit firm specific basis
- Perform standard Senior Pricing Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations. The business continuity relocation may include travel for an extended period of time
- Support control testing by the firm’s internal auditors
- May assist in the preparation, review and coordination of the preparation of monthly Board of Trustees reports for the Templeton managed Franklin funds, and the required quarterly disclosure for the Templeton commingled trusts and the TGII fund group. Review and manage the production of the comprehensive Fair Value of Assets report that details all Templeton fair valued assets by account
- Other projects and non-daily functions as assigned
- Ability to complete the daily securities pricing analysis function and identify potential problems and issues
- Superior problem-solving abilities, organizational skills, project management skills, and flexibility
- Ability to resolve various pricing and technical issues within time crunch and ensuring timely distribution of NAVs to AMFI, TA, NASDAQ and the entire company
- Understanding of OneTIS pricing process and system logic
- Solid understanding of the components and calculation of the net asset value
- Possess sound knowledge of various types of securities and markets in order to analyze price reasonableness provided by vendors and brokers
- Ability to review others’ work and detect control and pricing problems effectively
- Very good interpersonal and people-management skills
- Effective leadership skills
- Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet AMFI/NASDAQ deadline for reporting mutual fund net asset values. This would entail dealing with various external and internal personnel to resolve problems
- Work with portfolio and trading personnel to determine fair valuation of thinly traded securities. Requires the ability to work with Portfolio Managers, Trading, and Legal Compliance to resolve complex pricing issues
- Work with Fund Accounting to ensure accurate accounting information is maintained in all systems
- The ability to work hand in hand with IS&T to resolve technical problems and/or enhancement projects
- Three to five years’ experience in the financial services operations environment
10
Senior Investment Review Analyst Resume Examples & Samples
- Advanced business modelling skills
- Process improvement and development
- Business case review encompassing several area's including - Projects, investment and internal financial support
- Contributing key suggestions and solutions to business investment and spend decisions
- Stake holder management and engagement
- Budgets and forecasts review and preparation
- Capex
- Financial Planning and Analysis
- Ad hoc support as required by stake holders and committees
11
Senior Investment Trade Operations Specialist Resume Examples & Samples
- BA/BS degree required, preferably in Finance, Economics or Business
- Three or more years of prior experience; strong understanding of the Investment Management business and expertise in the Security Master division, which includes Pricing
- Knowledge of how to use Bloomberg terminal for securities pricing information is required
- Familiarity with Equity and Fixed Income pricing is required
- Ability to learn new systems quickly
- Proficient in Microsoft Excel, particularly on macros and pivot tables is a plus
- Must be able to work early schedule at times; flexible to work additional hours during peak periods
- Strong interpersonal, written and oral communication skills; be able to effectively communicate with others at various levels, including senior executives; exhibit leadership qualities when dealing with problems and projects
12
Senior Investment Lab Analyst Resume Examples & Samples
- Advanced degree (MBA, Master’s Degree in Economics or Finance)
- Advance knowledge of asset allocation, modern portfolio theory, and manager analysis
- Knowledge of a wide range of asset classes, financial instruments, and strategies
- Experience with financial modeling (e.g. optimization, Monte-Carlo simulation, Bloomberg, Yieldbook) and statistical analysis tools (e.g. R, Matlab, @-Risk)
- Travel: 50%+
- Series 7, 63, 65
13
Senior Investment Program Consultant Resume Examples & Samples
- Works closely with internal partners (investment research, fixed income, trading, performance analysis) and licensed external investment advisors/decision makers to understand their business and make better investment decisions
- Ensures any/all requests for illustrations meet all compliance rules and regulations by periodically reviewing illustration templates and output with both Legal & Compliance teams
- Develops and maintains a current understanding of relevant financial markets and conditions through internet research, reading financial pieces and/or attending relevant investment events
- Understand the characteristics and relationship between specific investment objectives, asset mix guidelines and product sets by utilizing knowledge of financial statistics and how they affect the construction of specific portfolios
- Translates market situations and client needs into investment strategies, implementing strategies and communicating changes to client facing partners
- Acts as the product expert consulting with internal partners/outside vendors regarding investment product capabilities; identifies new products that will enhance capabilities for clients
- Responds to inquiries by providing the requested information or referring the inquiry to the appropriate area for resolution and recording all contacts and activities through a contact relationship management (CRM) system
14
Senior Investment Ops Analyst Resume Examples & Samples
- Four year college degree in business-related field or equivalent experience
- Sound knowledge of financial markets and various security types, specifically derivatives
- Derivatives (swaps, options, futures – both OTC and cleared) product knowledge and support experience a must
- Previous experience in financial back office groups such as security reference data, mutual fund accounting and/or trade settlements
- Solid business project management skills/experience – able to support cross-functional project representing the business in front of technology and project management teams
- Ability to gather and research information from external sources, resolve problems, and work well in daily deadline oriented environment
- Solid business analyst skills – capturing business requirements and documenting them
- Strong verbal and written communication skills at various levels of management
- Charles River exposure seen favorable but not required
- Data entry experience and intermediate knowledge of business desktop applications (Microsoft Office)
- Experienced in using a Bloomberg Terminal (preferred)
15
Senior Investment Servicing Associate Resume Examples & Samples
- Previous brokerage/investment knowledge or comparable experience
- Three years general office or customer service experience
- High dependability a must
- PC literate with extensive experience in Word and Excel - Microsoft Access Database experience a plus
- Quality-oriented with excellent attention to detail and ability to multi-task effectively
- High school diploma or GED -College education a plus
- Strong, proven customer service and communication skills including comfort making and answering phone calls
- Ability to work in a fast paced,deadline driven environment
- Ability to prioritize effectively,work individually and as part of a team
16
Senior Investment Transitions Analyst Resume Examples & Samples
- GDC Verification – perform financial analysis on production and compensation through statement reviews for use with transitions assistance
- Interact with prospective candidates, recruiters, existing advisors and various internal departments as well as senior levels of management in fully evaluating and communicating a candidate's history and qualifications
- Escalate verification discrepancies to business development and finance as appropriate
- Discover the advisors needs to move and desires to grow to increase aum and ramp rate during transition
- Articulate value proposition of the Investment Transitions team
- Perform other duties, as assigned, such as training, education, and project management
- With little direct supervision problem solve a myriad of issues relating to compliance, operations, and technology concerns
- Bachelor’s degree in Business, Finance, Economics, or related
- 4-6 years of sales experience within the investment space
- Licenses are required and are dependent on the product line(s) supported
- Required licenses may include: Life & Health License, Series 7, Series 6, Series 66/65
- Demonstrated excellent customer service skills including communication skills (both verbal and written), the ability to multi-task and follow up, as well as the ability to maintain a positive client experience while diffusing tense situations
- Demonstrated ability to use independent judgment to make decisions and solve problems
- Demonstrated ability to excel in a fast-paced, client- centric team consultative environment encompassing multiple disciplines and product lines
- Demonstrated drive for professional growth and development
- MS Office knowledge required
- Excellent communication skills, both verbal and written, creative problem-solving, effective decision making, ability to diffuse tense situations, ability to multi-task, good follow-up skills, upbeat and outgoing personality
- Polished presentation skills and ability to interact with sophisticated clients and advisors
17
Senior Investment Analyst, Endowments Resume Examples & Samples
- Assist in the due diligence process for new fund investments and co-investment opportunities. Perform relevant performance analysis, model and analyze deal structures for co-investment opportunities, and draft detailed investment memoranda
- Assist in the tracking and analysis of relevant market information and benchmark data utilized for asset allocation and portfolio positioning
- Complete special projects as assigned by the Senior Investment Manager and/or the Chief Investment Officer or Co-CIO
- Experience in evaluating direct private equity investments preferred
- Strong Excel modeling capabilities
- Fundamental understanding of investment risk and capital markets
18
Senior Investment Compliance Manager Rule Testing Resume Examples & Samples
- 5+ years of investment compliance experience with rule testing, analysis and coding of guideline restrictions, or investment guideline monitoring
- In depth compliance rule coding and testing experience preferably using BlackRock, Aladdin or LineData, Compliance, or similar order management systems
- Understanding of the Investment Company Act of 1940, Investment Adviser’s Act, and UK and European regulatory frameworks, such as various UCITs rules
- Understanding of data attributes and structure necessary for accurate functioning of rules
- Strong understanding of financial instruments across asset classes in the investment compliance monitoring context, including equity, fixed income, and derivative instruments
- Strong analytical and problem solving skills, as well as strong verbal communication and interpersonal skills with all levels of seniority
- Ability to work independently and as a team, exercise flexibility, initiative, good judgment and discretion
19
Senior Investment Restrictions Analyst Resume Examples & Samples
- Ability to devise efficient solutions to business challenges and provide analytic expertise in operational change
- Strong understanding of the Asset Management business and specific focus on regulatory and investment compliance related tasks, and their application to our mandates and funds to ensure investment compliance
- Devise efficient solutions to business challenges and provide analytic expertise in operational change
- Track record of working in a global environment with distributed business users and IT resources
- Interact with business stakeholders and challenge the business and or stake-holders, where appropriate
- Escalate and seek guidance when required
- Work well independentely and within a team
- Strong knowledge of Investment Restrictions processes and systems, 5 years of experience mimimum required in investment restrictions
- Goal orientated, commercially minded, customer and results focused while maintaining governance and controls
- Proven ability to work accurately within tight timescales and interact well within a team environment
- Self starter with proven ability to work collaboratively within a team and who can influence and motivate people around them, diligent and pro-active approach, taking initiatives
- Strong written/verbal communication, influenciing and interpersonal skills
- Ability to clearly articulate concepts and issues, manage/interpret the deliverables, and translate theory into practical business solutions
- Ability to lead focused projects
- Strong analytical skills with advanced MS suite (Excel, Access, Powerpoint, Visio) and data manipulation skills required
- Track record in building solid working relationships with key stakeholders, securing project resources or priorities from them through influence
- Ability to take ownership of issues, work independently and deliver to deadlines in line with expectations
- System skills: Charles River or Bloomberg AIM required, CADIS / Markit EDM or similar desirable
- Good knowledge of fund contracts / IMAs, prospectuses and other relevant mandate specific documentation
- Maintain high level of efficiency, streamline work practices as appropriate
20
Senior Investment Ops Associate Resume Examples & Samples
- Day-to-day resolution of complex problems and the execution of complex transactions
- Review and resolve trade discrepancies with brokers, gain agreement on all trade details (financial info as well as settlement info)
- Confirm any necessary adjustments/corrections with Traders and process trade corrections as needed
- Ensure all trades are sent to banks by deadlines on trade date, with particular emphasis on short
- Settlement trades
- Save, store and file all broker confirms each day
- Affirm all domestic trades via OMGEO system and global trades via CTM
- Analyze and complete the CTM reconciliation report
- Load all FX files, ensure all FX activity is matched with brokers in GTSS, and resolve any discrepancies
- Maintain accurate broker settlement instructions in accounting system
- Review and analyze futures variation margin (FVM) movements with brokers and banks
- Prepare wires for daily FVM movements, obtain signatures and send to banks
- Handle incoming email issues; resolve or route accordingly
- Monitor all trade processing in our Trade Order Management systems
- Maintain data integrity of Trade Systems (holiday calendar, security info, daily error messages etc)
- Ensure daily blotters are clean by end of day, and all trades have been sent to banks, fund accountants, etc
- Confirm all manual/non-standard trades & trade requests have been received by the custodian (FXs, T-Bills)
- Build and maintain collaborative relationships with internal and external parties
- Follow-up on issues as related to assignments
- Assist with ad hoc projects
- BA/BS degree, preferably in Finance/Economics/Business
- 2-3 years of related experience in the accounting/operations area of the investment management industry preferred
- Knowledge of securities markets/transactions
- Highly analytical, organized and detail-oriented
- The ability to handle people and situations with maturity and professionalism
- Takes initiative and exhibits leadership qualities when dealing with problems and projects
- Proficient system skills
- Able to work in a team environment while taking individual responsibility for the quality and accuracy of his/her work
- Excellent time management skills; work efficiently under the pressure of deadlines
- During peak periods, the individual may be required to work after regular hours
- Occasional holiday coverage required
21
Advisory Senior Investment Analyst Resume Examples & Samples
- Produce and deliver the investment performance report
- Generate data and analytics for inclusion in ad-hoc project-related documents and databases
- Take accountability and ownership of work
- 12-16 performance reporting clients – depending on complexity and other data responsibilities
22
Senior Investment Ops Analyst Resume Examples & Samples
- Review and analysis of daily securities pricing tolerance and exception reports for the Franklin Templeton groups’ more complex, difficult to price and fair value securities, as well as, securities requiring additional research through the use of Bloomberg and Reuters
- Analyse new additions to the pricing database, specifically complex securities to ensure proper documentation and valuation within the context of the pricing conventions, e.g., treatment of fixed income securities with embedded options, PIK, or reset features, structured notes, Rule 144A issues, verification of manual calculation formulae, and interpretation of corporate actions
- Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assist in coordinating the team’s efforts with the Supervisor and Manager. Thoroughly understand and be able to articulate all components of risk and their impact on valuation
- Own the oversight of the Pricing Department’s daily work when the Supervisor is absent
- Assist the supervisor as liaison to the external auditors. Effectively coordinate the compilation and presentation of price data to support the valuation confirmation of year-end financial statements for all fund products. Standardize, document, and maintain the year-end process and data requirements on an audit firm specific basis
- Perform standard Senior Investment Operations Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations. The business continuity relocation may include travel for an extended period of time
- May assist in the preparation, review and coordination of the preparation of quarterly Board of Trustees reports for the European domiciled accounts. Ability to develop alternative valuation techniques like benchmarking and other appropriate methods for esoteric and illiquid asset classes to derive in-house prices and assumptions
- The ability to work hand in hand with technology departments to resolve technical problems and/or enhancement projects
- Bachelor’s degree in Finance, Economics, or related technical field required
- Experienced in Pricing and Valuations
- Preferably working towards IOQ but not essential
- Demonstrated ability to interact effectively with co-worker
- Ability to resolve various pricing and technical issues within time crunch and ensuring timely distribution of NAVs
- Must possess excellent quantitative, creative, and problem-solving capabilities and a strong background in statistical analysis and forecasting techniques
- Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet TA deadline for reporting mutual fund net asset values. This would entail dealing with various external and internal personnel to resolve problems
23
Senior Investment Research Operations Analyst Resume Examples & Samples
- Assist investment professionals with defining and translating business and data requirements, as well as participate in design and acceptance testing
- Lead small to mid-size projects for development of Quantitative Analytic Infrastructure and Reports utilized by Research Analysts and Portfolio Managers
- Participate in large scale, long-term development projects across multiple phases
- Oversee production cycles of the Risk, Risk Attribution, Alpha (Stock Selection) and Technical Analytic environments
- Identify, research, resolve and communicate to clients and management any production issues
- Identify, research and resolve data quality issues resulting from internal analyst generated data or vendor market data (financial statements, pricing, earnings)
- Build working relationships and partner with Research Analysts and Technology Developers
- Build Business Intelligence dashboards based on feedback from Equity and High Income Research management
- Assist in exposing and analyzing internal and vendor-based time-series data related to micro, macro, fundamental and technical concepts
- Generate new and unique data visualizations to illustrate current and timely investment themes across multiple research disciplines
- Work with vendor-side development staff to influence and guide platform enhancements based on FMR business use cases
- Consult with business partners across Analytics and Data Services (ADS) to deliver superior data utilization solutions
- Respond to customer data analysis and support requests
- Document and maintain policies and procedures for operational and production cycle support functions
- Demonstrated Expertise (“DE”) in data analysis for impact on business processes within an asset management environment, including writing Excel macros or SQL queries to perform data analysis at the database level in support of analytics related to investment research and asset management operations
- DE measuring investment portfolio performance, including performance attribution analysis of equity and fixed income securities using corporate actions, financial statement analysis, street estimates, pricing and performance data
- DE performing investment portfolio performance analysis using Investment Research and computational applications: Bloomberg, FactSet, BarraOne, or Matlab
- DE in data management of mission critical, enterprise-wide financial data, including support and operations management, and constructing processing jobs to load data from multiple sources (vendor flat files, direct database access, web services) in support of data provisioning activities
24
Senior Investment Resume Examples & Samples
- Responsible for the investment reporting function for U.S. Statutory (NAIC) requirements of the Insurance Company, subsidiaries and affiliates. Determines appropriate work allocation across department on a quarterly basis and monitors work product
- Coordinates investment presentation in the financial statements on a quarterly basis. Ensures reporting consistency in the financial statements, board reports and information provided to analyst
- Interprets new pronouncements and guidelines issued by authoritative associations in relation to U.S GAAP, Statutory (NAIC), or various regulations. Recommends appropriate changes to accounting systems and presentation of information
- Responsible for coordinating audits for Investments and explaining GWL's position. Will respond to audit requests
- Responsible for monitoring the reporting database and making adjustments where necessary
- Bachelor's degree in accounting, related business degree, or equivalent work experience
- Minimum of four years financial reporting experience
- Public accounting experience, preferred
- Strong knowledge of U.S. Statutory (NAIC) and/or GAAP accounting principles
- Knowledge of investments, preferred
- Strong analytical skills
- Advanced Microsoft Excel and Access skills
25
Senior Investment Analyst & Manager Resume Examples & Samples
- Leads your team of Investment Analysts to success by fostering an inclusive environment and managing to their diverse needs. Creates a culture of engagement by providing personalized coaching, training, and motivation. Setting standards, reviewing performance, and providing feedback, all in order to develop staff
- Acts as the primary owner of assigned funds. Develops a well-informed opinion on the probability of the long-term investment success using quantitative and qualitative inputs. Conveys these opinions through meetings with Senior Staff and the Board of Directors, manager oversight memos, and annual fund reviews. Defines manager and fund guidelines and expectations; recommends manager weights and cash flow policies
- Conduct ongoing manager research to develop a list of high-potential managers. Develops and executes on a manager search plan by creatively sourcing managers; leads interactions with potential managers. Prepares manager fee proposals and participates in fee negotiations and contract modifications. Attends industry conferences, monitors competitor developments, and reviews external research publications
- Takes ownership of the assigned funds' positioning to clients and prospects. Communicate hypotheses on industry cash flow trend drivers to product management team. Advocates for new products that have the potential to satisfy enduring client needs
- Supports business needs, when called upon, for subject matter expertise. Delivers presentations on the assigned funds’ current investment strategy to internal and external audiences in an in-depth and objective manner. Proactively engages internal and external clients with relevant information on topical issues
- Undergraduate economics or finance degree; MBA and/or CFA preferred
- Minimum eight years progressive work experience in the investment management industry with at least five years' concentration in portfolio management, analysis, and/or investment manager evaluation
- Highly developed analytical skills and thorough understanding of capital markets
- Ability to evaluate and present multiple investment styles across asset classes in an in-depth and objective manner
- Excellent relationship management and influence skills
- Superior team management skills. Able to attract, mentor, and motivate talent, and to establish an environment characterized by teamwork, innovation, and objectivity
- Demonstrated record of initiative and career advancement and the ability to work independently at a high level
- Superior interpersonal, writing, and presentation skills. Ability to build trust and work effectively with senior management and internal and external partners at all levels
- Series 6 and 63 (or ability to obtain within 6 months)
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Senior Investment & Portfolio Strategist Resume Examples & Samples
- Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank’s and unit’s risk appetite and risk management framework
- Knowledge of and ability to utilize the tools, techniques, and acceptable business practices associated with managing a client's various investments
- Knowledge of policies and processes for operational risk management; ability to use tools, data, and best practices to identify, assess, and manage operational risk exposures
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Senior Investment Banking Controller Resume Examples & Samples
- Ensure trading businesses comply with all relevant regulatory, statutory and RBS compliance requirements
- Ensure effective performance of all controls within given timeframes
- Work closely with other key stakeholders (Front Office, other Finance teams, Market Risk etc) on regular and ad-hoc requests
- Identify and address ineffectiveness and inefficiencies within the existing control environment and develop remedial activity in conjunction with key stakeholders
- Managing and resolving data quality and risk issues to enhance the control framework
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Senior Investment Technology Software Architect Resume Examples & Samples
- Lead the definition and implementation of multiple frameworks: Data, Software Development and Agile Execution
- Provide early, pre-project technical analysis, visual and written documentation for agreed upon initiatives
- Work closely with Business Analysts to ensure technical plans support in-scope and future Business requirements
- Present multiple options for first or third party technical implementation/architecture and associated costing
- Participate objectively in buy vs. build decisions and building business cases
- Participate in project gates, milestones and check-ins, ensuring solution implementation meets agreed upon architecture
- Work with team managers leads across Investment Technology on technical integrations and shared technologies when required
- Offer consultation on new technologies and opportunities
- Additional duties and assignments as needed
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Senior Investment Fund Analyst Resume Examples & Samples
- Performs regular and ad hoc analysis and/or reporting and communicates results (clear and reliable conclusions, tendencies and variance analysis) in accordance with applicable regulatory guidelines, accounting and industry standards
- Evaluates and will assist Manager with recommendations on ideal method of operation and execution of initiative while also developing tools, practices and controls that increase operational efficiency and quality of information
- Participates in projects to develop and implement new products, systems, tools and tests these to identify any issues
- Provides timely information to colleagues, clients, auditors and/or regulators (where applicable)
- Identifies and resolves problems that require the implementation of new solutions
- Identifies, implements and maintains controls to mitigate financial and operational risks. Ensures compliance with regulatory requirements and internal policies (working with internal areas)
- Maintains relationships with investment managers, Product Development, Custodians & Fund Accounting representatives
- University degree in Finance or Accounting with a minimum of five to seven (5-7) years of relevant experience
- The Canadian Securities Course, CPA or CFA are an asset
- Experience and knowledge in fund accounting and back office Operations
- Good understanding of the financial services industry, in particular investment funds, insurance funds and investment securities products
- Proactive, team player, flexible, dependable, professional attitude
- Ability to work on multiple projects in a fast-paced, deadline-driven environment
- Strong Operations knowledge and ability to piece the process flows together
- Full knowledge and application of Microsoft Office suite – strong Excel skills
- Ability to chair meetings, conference calls, etc
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Senior Investment Constraint Analyst Resume Examples & Samples
- Establishes and maintains the Investment Constraint Library detailing relevant investment constraints applicable to each Fund, Institutional Client and other client accounts managed by 1832 Asset Management L.P
- Reviews new mandates to ensure investment constraints and requirements have been identified by other members of the Investments Compliance team and are controlled for on Charles River
- Identifies and maps the established compliance control (Charles River Test or manual process) for each investment constraint in the Investment Constraint Library
- Identifies investment constraints that requires additional compliance controls and communicates findings to the other members of the Investment Management Compliance team
- Develops and executes a Testing Program to ensure existing compliance controls effectively mitigate associated compliance risk
- Proactively works with members of the Investment Management Compliance team to identify lacking and/or non-effective compliance controls including the development of new Charles River Compliance controls and manual compliance oversight processes
- Executes weekly and monthly manual reviews of constraints unable to be controlled for within Charles River
- Maintains the Investment Management Fund and Account Library to ensure accuracy and completeness of the Library at all times for other team members
- Serves as a back-up, as needed, for Charles River alert monitoring
- Participate in special Compliance projects, as required
- Minimum 4 years’ experience in the financial services industry, preferably within a mutual fund company
- Canadian Securities Course is a must
- Other Securities Industry Courses (CSI), such as derivative fundamental course or options course are an asset
- College Diploma or University Degree
- Knowledge of Bloomberg is an asset
- Experience in client constraint monitoring and mandate review is an asset
- Knowledge of the investment restrictions in National Instrument 81-102 an asset
- The position is within the 1832 Compliance Department - ability to garner credibility with Trading and Portfolio Management staff a key component of success
31
Senior Investment Auditor Resume Examples & Samples
- Performs all types of internal audits with a primary focus on operational and financial controls testing (Sarbanes-Oxley)
- Completes audit assignments in accordance with department methodology and Institute of Internal Audit (IIA) standards
- Assists in presenting audit findings and recommendations to business unit management; resolve issues and reach agreement on appropriate solutions to mitigate the risk/impact
- Assists in preparing audit reports, including executive summary and rating of adequacy of control environments, making practical and value-added recommendations to improve controls and the efficiency & effectiveness of operations; audits reports are to be clear, concise and well-organized, and issued within departmental service standards
- Use technology to improve the effectiveness and efficiency of the audit process, such as Computer Assisted Audit Techniques (CAATS) with ACL and a Spreadsheet Audit Analytics Tool
- A recognized public accounting (CPA), internal auditing (CIA, CFSA), or investment management (CFA) designation is desirable
- 2 to 4 years of internal/external audit or equivalent business experience
- Experience in auditing Investment related processes is a strong asset
- Demonstrated knowledge of audit methodologies, project management and system development methodologies, control frameworks and risk management practices, and regulatory requirements
- Customer focus and commitment to quality
- Ability to deal effectively with staff and audit management
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Senior Investment Director Resume Examples & Samples
- Design, invest, and monitor diversified portfolios to result in increased returns and lower volatility consistent with time horizon, risk tolerance, and spending needs of clients
- Develop investment objectives, policies, and target asset allocation guidelines for client portfolios
- Evaluate and select investment managers for virtually all asset classes, including alternative assets such as venture capital, private equity, and hedge funds
- Oversee internal investment operations staff and procedures to implement changes to client portfolios
- Conduct analyses and prepare summary client materials on investment and financial issues
- Present to client Investment Committees, Boards of Trustees, and financial staff
- Oversee, instruct, and mentor junior associates on investment team
- BA/BS required. An MBA or CFA strongly preferred
- Appropriate investment knowledge and experience gained from work at an investment firm or a large institutional investor, such as an asset manager, endowment office, or pension fund
- Demonstrated analytical skills
- Excellent oral and written communication skills
- Ability to work independently and as part of a team
- Self-reliant, good problem solver, results-oriented
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Senior Investment Trust Accountant Resume Examples & Samples
- Prepare accounts and subsidiary information for Investment Trusts ensuring timely and accurate delivery to agreed timetables and SLA standards and ensure compliance with appropriate accounting standards, relevant SORPs and other regulations
- Provide technical support for the NAV calculation and fund accounting processing functions
- Complete monthly audit reviews to validate the accuracy of accounting records
- Supervise and monitor the production of accounts, board meeting information and other ad hoc information by Investment Trust accountants. Perform reviews and sign-off of information in accordance with control procedures
- Maintain accounting records, calculate relevant fees and expenses (including Directors remuneration), invoice settlement and completion of relevant investment monitoring requirements
- Prepare / review income forecasts
- Liaise with internal and external parties relevant to Trust deliverables (includes clients, auditors, tax consultants and others)
- Ensure effective recording and resolution of external / internal queries
- Assist in staff management processes re Investment Trust accountants in conjunction with Manager, including recruitment and appraisal processes
- Additional responsibilities relating to staff management including performance appraisals or other management tasks may be assigned to support the team manager
- Where appropriate or required deputise for team manager and provide cover and support for other Investment Trust teams
- Experienced accountant with sound double entry and financial accounting knowledge including UK GAAP or equivalent standards exposure
- Good knowledge of the securities industry with experience in an FCA regulated business
- Experience of fund accounting environment including coverage of pricing, statutory and other reporting
- Experience of AIC SORP requirements and financial reporting for Investment Trust or equivalent vehicles [preferable]
- Excellent computer skills, in particular Excel
- Graduate calibre
- Accounting qualification (part of fully qualified) or qualified by significant relevant experience
- Individual should have attained FCA T&C threshold competence or be prepared to attain level (see below)
- The role reports to the Investment Trust Manager - UK Fund Accounting
- There may be 2-4 direct reports into this role
34
Senior Investment Client & Portfolio Solutions Analyst Resume Examples & Samples
- Bachelor’s Degree and 2+ years of investments (preferably within Fixed Income), actuarial experience, preferable
- Must possess exceptional problem solving skills, research capabilities
- Experience within the insurance industry highly desirable
- Excellent working knowledge of PowerPoint and Excel (VBA preferable)
- Familiarity with Bloomberg, Matlab, SNL etc. (preferable)
- Self-starter with ambition and intellectual curiosity
- Foreign language (particularly Spanish or Portuguese) is a plus
- Strong analytical and problem solving skills and the ability to apply them to develop solutions to a range of investment problems
35
Senior Investment Data Analyst Resume Examples & Samples
- Partners with internal teams and business partners to ensure integrity of investment related data. Including accurate and timely set up and maintenance of security, pricing, and index data in our internal systems
- Analyze index and/or market events. Partner with portfolio managers and traders to accurately reflect projected benchmark and portfolio holdings
- Analyzes and resolves complex data exceptions and processes efficiently to ensure that data delivered to investment management teams are accurate. Ensures daily deliverables are met by monitoring the team/system dashboard and supports proactive process excellence by actively seeking ways to improve existing processes
- Establishes and maintains effective working relationships with internal clients, global counterparts, business partners, and data providers including those in Equity Investment Group, Risk Management Group, and Fund Accounting. Able to anticipate and exceed client expectations
- Participates in new product implementations by reviewing Investment data needs, importing data from internal and external providers and ensuring systems are properly set up for new trading. Communicates appropriately with all necessary stakeholders
- Leads and consults on new projects to ensure operational readiness upon implementation into a live environment. Utilizes project management and change management tools and works closely with appropriate stakeholders
- Develops and maintains a strong understanding of all index provider methodologies, keeps up to date on methodology changes, and a comprehensive conceptual understanding of data flows across all systems to recommend controls for data accuracy
- Contributes to the development in other crew members. Promote positive influence towards a team ethic towards working collaboratively in the department and Vanguard. Serves as a key point of contact for clients. Is cross-trained in critical team functions and is able to provide technical guidance and on-the-job training
- Assists in the coordination and implementation of global and regional standards for investment data. Creates and maintains comprehensive documentation of all current procedures and workflows
- Minimum three years of work experience in financial services
- A solid understanding of equity, fixed income, and derivative security characteristics preferred
- Strong knowledge of Microsoft Excel, Access, and Bloomberg. Working knowledge of VBA and SQL is a significant plus
- Excellent judgment and analytical ability to analyze issues quickly and independently to take appropriate action under varied time constraints
- Proven ability to build strong relationships
- Ability to function in a fast paced environment, working on multiple and diverse responsibilities
- Demonstrated flexibility and ability to prioritize work
36
Senior Investment Portfolio Manager Resume Examples & Samples
- 1) Manages investment portfolios for institutional clients to achieve client objectives
- 2) Assists the client in evaluating and developing long term investment strategy as appropriate given risk tolerances and preferences, funding and liquidity needs
- 3) Lead meetings with clients (CFOs, Boards or other oversight committees) to assess portfolio performance, strategy and outlook. Respond to client inquiries and requests
- 4) Analyzes and implements overall portfolio structure utilizing knowledge of economic and financial market conditions in conjunction with the clients' objectives
- 5) Ensure overall client satisfaction by facilitating efforts of service team, coordinating resources to ensure timely delivery and issue-resolution, and effectively communicating client needs/concerns to other Northern Trust partners
- 6) Cultivate strong working relationships with client contacts. Demonstrate the ability to add value by anticipating possible solutions and partnering with client to implement same
- 7) Broaden the scope of client relationships in order to enhance company revenues and profitability either directly or through referrals to others
- 8) Play an active role in business development efforts by working closely with practice leadership, business development officers and other partners as appropriate
- 9) Actively participate in sales and marketing presentations. Analyze and assist in preparation of sales materials for new business presentations
- 10) Work closely with internal partners (manager and equity investment research, fixed income, trading, performance analysis) to make investment decisions and respond to client needs and requests
- 11) Maintain a current awareness of new investment strategies and instruments through regular contact with the investment research area and other industry professionals, as well as through personal professional development
- 12) Act as a thought leader in the foundation and endowment community attending conferences, speaking on panels, and creating visibility for the Northern Trust FIA practice
37
Senior Investment Company Act Paralegal Resume Examples & Samples
- Participate in SEC comment calls with respect to registration statement filings and SOX reviews
- Coordinate all aspects of tabulation/production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator
- Work with attorneys to plan and prepare for the respective fund board and shareholder meetings
- Regularly attend and take minutes at client board meetings and often serve as officers of the various investment companies
- Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, ballots, and proxy statements
- Assemble and review documents in response to subpoenas and regulatory reviews
- Oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars
- Conduct legal research and compile data for attorneys, clients, and corporate personnel from various sources
- Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA)
- Responsible for developing and implementing department processes and policies
- Responsible for training and mentoring Investment Company Act Paralegals and Legal Assistants on department policies and procedures
- Provide direction to Investment Company Act Paralegals and Legal Assistants on day-to-day and special projects
- Bachelor's degree and paralegal certification or equivalent work experience
- 10 years’ experience with Investment Company and Investment Advisors Act of 1940 in the mutual fund industry
- 5 years' drafting experience in progressively responsible positions supporting a legal department for a financial services company and/or securities attorney, etc
- Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external)
- Ability to work directly with clients on a daily basis
38
Tax Senior Investment Management Hedge Fund Resume Examples & Samples
- 2+ years’ experience providing tax planning services or preparing and reviewing client work papers and income tax returns
- Certified or in the process of obtaining a CPA, enrolled agent, or other appropriate certification
- Demonstrated basic understanding of Subchapter K, financial products, wash sale and constructive sale rules, as well as familiarity with aggregate allocations
39
Senior Investment Information Services Analyst Resume Examples & Samples
- Provide comprehensive investment reporting to Capital Group’s institutional clients; including results, portfolio characteristics, portfolio attribution, investment commentary and organizational statistics
- Monitor the integrity of information, investigate and resolve discrepancies. Drive continuous improvement efforts to optimize processes and ensure accuracy and completeness of data
- Provide data expertise to Client Service and Sales and Marketing teams, as well as complex client queries on quantitative data
- Support enterprise wide initiatives and strategic objectives
- 5+ years of experience within investment management or financial services industry highly preferred, undergraduate degree required
- Knowledge of standard processes, tools, and deliverables for projects and business analysis, including: requirements gathering, documentation, analysis, testing through implementation, and on-going support with business and IT partners
- Ability to build strong relationships, establish credibility, and obtain buy-in from key stakeholders
- Previous experience in a leadership role by providing mentorship or guidance to more junior associates preferred
40
Asset Management CWM Senior Investment Servicing Specialist Resume Examples & Samples
- Previous brokerage/investment knowledge or comparable experience
- Series 7 a plus
- Three years general office or customer service experience
- High dependability a must
- PC literate with extensive experience in Word and Excel - Microsoft Access Database experience a plus
- Quality-oriented with excellent attention to detail and ability to multi-task effectively
- High school diploma or GED -College education a plus
- Strong, proven customer service and communication skills including comfort making and answering phone calls
- Ability to work in a fast paced ,deadline driven environment
- Ability to prioritize effectively, work individually and as part of a team
41
Senior Investment Analyst, Real Estate Resume Examples & Samples
- Identify, analyze, evaluate and participate in investment acquisition, development and disposition opportunities for on and off-balance sheet real estate portfolios
- Develop recommendations and make presentations to real estate senior management on investment acquisition, development and disposition opportunities
- Provide support to complete acquisition, development and disposition transactions
- Analyze performance of on and off-balance sheet real estate portfolios, including attribution analysis, performance to underwriting analysis and market analysis
- Develop recommendations for real estate senior management on strategic and tactical changes to real estate investment strategies for on- and off-balance sheet real estate portfolios
- Evaluate the performance of the company's real estate portfolio relative to key benchmarks (i.e., the U.S. National Council of Real Estate Investment Fiduciaries ["NCREIF"] Index and Canadian Investment Property Databank ["IPD"] Index) as required
- Review real estate appraisal reports to ensure accuracy of data presented and reasonableness of value conclusion; take appropriate actions and present findings to management
- Develop and maintain databank of market information and projections for target investment markets
- Develop relationships with investment analysis groups within the Investment Division to support the underwriting of real estate investment opportunities
- Undergraduate University Business or Mathematics major degree required; MBA an asset
- CFA designation is required
- Minimum 5 years of experience as a Real Estate Investment Analyst
- Advanced and diversified knowledge and experience with real estate property and portfolio analysis, including ARGUS and other computer modeling programs specific to real estate
- Knowledge of the North American Real Estate market to effectively identify and source potential investment opportunities; dispositions, or developments
- Strong analytical and negotiating skills
42
Senior Investment Restrictions Analyst Resume Examples & Samples
- Play a key role in the Global Investment Restrictions change program
- 5 years of experience mimimum required in investment restrictions
- Strong knowledge of Investment Restrictions processes and systems, Demonstrates courageous integrity and ability to challenge existing and new practices
- Self starter with proven ability to work collaboratively within a team and who can influence and motivate people around them, diligent and pro-active approach, taking initiative
43
Senior Investment Tax Specialist Resume Examples & Samples
- Prepares and reviews RIC income tax and excise tax provision work papers; Prepares data that supports financial statement preparation and disclosures
- Assists in the analysis of securities held by RICs; Prepares estimates of RIC distributions
- Prepares work papers to support shareholder reporting
- Prepares and reviews partnership tax provision work papers; Prepares data that supports financial statement preparation and disclosures
- Assists in the analysis of securities held by partnerships; Calculates partnership allocations and estimates
- Prepares and reviews tax returns, their supporting work papers and associated schedules
- Prepares and reviews work papers and other documents to support other client deliverables and other BBH deliverables
- Participates in technical and other training to develop skills to enhance the employee and client experience; Develops investment tax and other accounting skills
- 1 to 2 years Mutual fund and/or investment partnership operational experience either in fund accounting or financial reporting; RIC or investment partnership tax experience preferred
- Basic understanding of accounting and tax concepts, practices, and procedures is required
- Strong client service skills, team attitude and attention to detail
- Ability to conceptualize and execute initiatives through to completion
- Creative problem solving skills, including the ability to identify, recommend, and implement solutions for tax related issues
44
Senior Investment Performance Analyst Resume Examples & Samples
- Ensure accurate validation of daily accounting data, review rate of return calculations and coordinate with internal accounting teams to review performance reasonability of data
- Review and coordinate the production of performance data for client deliverables
- Understand client portfolios and build analysis to cater to each client’s exposure and structure
- Build and maintain Asset Class and Strategy configurations via performance trees
- Conduct ad hoc analysis and scenario testing
- Compile performance data and ex-post risk metrics for board reporting
- Conduct trend analysis and research performance outliers
- Bachelor’s degree in Accounting, Economics or relevant field
- 3+ years of experience within the fund administration industry (private equity fund administration background a plus)
- Strong understanding of financial markets and asset management
- Attribution and risk experience preferred
- Good understanding of investment return methodologies (TWR, Modified Dietz, IRR)
- Accuracy & excellent analytical skills
- Good understanding of private equity fund administration in terms of capital call, distribution, performance calculations
- The ability to work in a fast-paced, deadline driven environment
45
Senior Investment Data Analyst Resume Examples & Samples
- Develops and utilizes analytical resources to support data management through internal and external systems. Exercises judgment while gathering data, conducting analysis, preparing reports, and developing recommendations
- Establishes and maintains effective working relationships with regional and global counterparts, internal departments, and serves as a key point of contact for clients and business partners and is cross-trained in critical team functions. Acts as a point of escalation for complex portfolio and data related issues
- Leads corporate and departmental projects in conjunction with system and business managers. Coordinates business activities and resources to deliver project solutions. Works with varying levels of management to prioritize projects based on overall strategic direction
- Demonstrates solid project management and change management skills. Integrates project results smoothly into workflows by ensuring procedures and workflows are documented. Works with clients, IT, stakeholders, and management to determine scope, requirements, solutions, and implementation for projects
- Mentors and contributes to the development of data analysts. Provides the opportunity for crew to learn new processes and develop new skills. Shares and documents best practices
- Demonstrates a deep and current understanding of global products and investment instruments to help drive business strategies. Recommends changes to gain efficiencies and ensure quality service
- Champions VUE efforts with an emphasis on minimizing business risk. Supports department-level dashboards and makes recommendations for enhancements to focus on key metrics
- Participates in vendor management, as needed, and in the development of periodic business plans and budgets, including conducting cost/benefit analyses of technology projects
- Undergraduate degree of equivalent combination of training and experience. Graduate degree or CFA (completed or in progress) preferred
- Minimum of five to eight years related analytical work experience
- Strong foundation of basic investment knowledge including an understanding of capital markets, market indices, and various securities (equity, fixed income and derivatives)
- Ability to handle multiple, complex projects with attention to detail while meeting deadlines
- Proven ability to analyze issues quickly and independently and take appropriate action under tight time constraints
- Experience with Microsoft Office, Excel and Access. Ability to build complex queries and strong knowledge of spreadsheets and database. Experience with COMPASS, Bloomberg preferred
- Detail oriented with a high level of energy. Proven self -starter with ability to work independently and within teams
- Strong analytical, problem solving and organizational skills. Demonstrated quantitative and analytical skills
- Proven ability to interact and build effective working relationships with peers and senior management
- Demonstrated ability to function in a fast paced, ambiguous working environment with multiple and diverse responsibilities. Ability to interact and build effective working relationships with peers and senior management
46
Senior Investment Planning & Analysis Consultant Resume Examples & Samples
- Organize and prepare materials for various events, including: Executive Group meetings, Investment Committee, Board of Director Reporting, Dedicated Business Reviews, quarterly earnings calls, rating agency reviews and regulatory requests
- Partner with Finance to create an effective and automated NII projection process
- Contribute to the development of the investment plan
- Lead the annual budget planning process
- Lead development of Financial Stress Process
- Lead Reporting & Analytics team across Investments
- Create Sensitivity Analysis model on impact to RBC due to change in Invested Assets
- Maintain a high degree of awareness/knowledge of current economic and investment activities to anticipate potential investment issues
- Monitor calendars and events to anticipate requirements of the CIO
- Manage CIO speaking engagements, including coordination of materials
- Cultivate and nurture relationships across the Enterprise
- Maintain confidentiality of information and materials
- Respond to ad hoc requests in a timely manner
- Excellent oral and written communication skills – the ability to convey a broad array of information succinctly and accurately
- Strong Investment background
- Excellent organization, planning and time management skills and the ability to multitask
- Excellent interpersonal and negotiation skills
- Ability to interface with all levels of management
- Flexibility and the ability to adapt to change in a dynamic environment
- Excellent analytical skills and investment and business acumen
- Strong accounting and analysis background
- Strong project management skills with high level attention to detail
- Excellent Microsoft Office skills
- 58101
47
Senior Investment / Portfolio Analyst Resume Examples & Samples
- Prepares presentations, portfolio/equity analyses, and proposals for High Net Worth and institutional clients and prospects
- Creates portfolio/equity snapshots, researches investments and provides fund reports upon request to clients
- Develops and presents individualized client investment strategy
- Presents or responds to inquiries from Financial Advisors and/or clients to research and resolve issues
- Prepares customized written industry and company specific reports upon request to clients
- Develops financial models to forecast team revenue and income
- Develops and maintains checklists for tracking periodic investment managers’ reviews by third party and independent investment manager searches
- Interfaces effectively with all levels of staff in managing portfolios
- Client relations management tools
- Financial services news and data resource tools
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communications, spreadsheets and databases
- Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
- Implement changes to standard procedures when required by specific situations and circumstances
- Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
- Bachelor’s Degree in Finance, Accounting or Business and a minimum of three years of experience in the financial industry with an emphasis on conducting market research and analysis
48
Senior Investment Consulting Analyst Resume Examples & Samples
- A broad understanding of the UK pensions and investment market place, how schemes operate and key trends
- Good attention to detail and analytical skills together with ability to work through tasks in a logical manner
- Strong IT skills with good working knowledge of Microsoft Office, including Excel
- A team player with excellent written and verbal communication skills
- Educated to degree level (minimum 2:1) in a numeric subject and studying towards a professional pensions qualification i.e. Actuarial, PMI, or CFA
49
Senior Investment Control Analyst Resume Examples & Samples
- Monitoring of the cash positions to ensure compliance with the fund’s asset allocation/liquidity guidelines
- Monitoring of the JP Morgan securities lending program to guidelines
- Maintenance of the Investment Control document register
- Preparation of management, investment committee and board reporting
- Validation of performance returns reported by the Custodian
- Monitoring, investigation and reporting of compliance breaches reported by the Custodian
- Operational review of third-party investment managers
- Monitoring, preparation and lodgement of substantial shareholder regulatory reporting. Set-up and maintenance of custody accounts including the preparation and lodgement of market documentation
- Monitoring of custodian and third party investment manager service delivery
50
Senior Investment Performance Analyst Resume Examples & Samples
- Provide hands-on leadership in calculating, interpreting and compiling quarterly performance measurement reporting as well as managing the process of compiling data for new business presentations and ad-hoc requests
- Present performance information to senior management and new business prospects
- Consistently demonstrate a solid understanding of the mechanics and underlying theory of performance formulas as prescribed by NCREIF/PREA Reporting Standards for time weighted returns as well as fair value accounting concepts
- Review performance inputs from accounting team to ensure accuracy. Provide guidance and training to accounting team on performance measurement methods and concepts
- Manage the process for compiling and submitting performance data to NCREIF and IPD indices as well as various consultant databases
- Serve as expert user of performance related information systems. Manage system conversions from the user perspective
- Actively contribute to the development of LaSalle and industry-wide performance measurement methods
- Develop and maintain necessary process documentation
- Participate in other projects as requested
- Bachelor's degree (Masters preferred) in Accounting, Finance, Mathematics or related field
- Five to eight years performance measurement related experience
- Thorough knowledge of U.S. fair value GAAP, NCREIF/PREA Reporting Standards and GIPS
- Fundamental understanding of the real estate investment management business
- Advanced knowledge of Excel, databases, queries, reports and charts including creating and maintaining complex spreadsheets
- Demonstrated high commitment to meeting deadlines and exceeding expectations
- Concern for quality expressed by continually initiating system and process improvements
- Proficiency in MS Access and Yardi IM a plus
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Senior Investment Ops Analyst Resume Examples & Samples
- Bachelor’s degree in business or finance with 3-5+ years of work experience
- Experience in client service, marketing, project management or product development
- Experience leading others
- Strong knowledge of Excel, Word and Power Point
- Assist supervisor with oversight of a functional group. Perform many supervisory type responsibilities, exclusive of any disciplinary, promotion and/or termination decisions
