A Securities Operations Specialist is hired to manage the flow of the workplace and optimize day-to-day activities. Some of the major duties associated with the post are listed on the Securities Operations Specialist Resume as – analyzing business operations and identifying customer needs, determining the areas where improvements are to be made, tracking and analyzing important reports, determining the trends and variances, and identifying areas in which positive changes can be made, identifying customer needs, collecting surveys and analyzing customer feedback; and developing improvement plans.
The following skills are some of the most common found on various successful job resumes, those interested in this field should focus on the following – MS Office skills, strong quantitative and analytical skills, experience with advanced computer systems, knowledge of CMS, and the ability to work under a flexible schedule. A high school diploma is often a candidate needs to list on his/her resumes, though many companies prefer bachelor’s degrees in relevant fields such as finance or accounting, or business.
Headline : Securities Operations Specialist to the practice of law in the State of Minnesota and a graduate of the University of St. Thomas School of Law. Academically, I entered law school with my career goal set to be in-house counsel with a growing, dynamic, and fast-paced company--wholly able to utilize both my finance background and legal training.
Global Trust Corporate Actions Reviewed, analyzed and processed various types of bond, equity and maturity payments.
Determined account entitlement for upcoming payment events.
Calculated payment amount by using factors and rates obtained from various data sources.
Participated in department projects, as assigned by management.
Pro-actively addressed internal and external customer requests, and escalates when appropriate.
Daily balanced of FED & LOANET accounts.
Maintained a basic awareness of legal and regulatory requirements pertinent to trust and the securities industry.
Experience
5-7 Years
Level
Executive
Education
Associates In Information Systems
Securities Operations Specialist Resume
Headline : Expert knowledge in general accounting, payroll, budgeting, and journal entry preparation. Recognized for paying vendors and contractors on time, which saved company money and time by 25%. Operations manager with over ten years of trade settlement and account opening experience in securities. Professional administrative roles with over five years of experience supporting upper management, making travel arrangements, scheduling meetings, coordinating conference calls and managing day to day office operations.
Skills : Dependable, Detailed Oriented, 2 years of Food Service,.
Description :
Processed DTCC confirms and affirm files based on established schedule.
Ensured manual trades and deliveries are processed correctly and timely.
Proactively identified exceptions that may cause issues with settlement and communicates them to the business lines to ensure straight through processing.
Initiated wires for daily net settlement and makes appropriate entries to internal accounts.
Monitored large wires and ensures timely approval by management and supervisors.
Identified and logged failed trades, communicates status to the business lines and escalates when necessary to prevent buy-ins.
Monitored workflows and request queues (QFORMS, and Email) and responds within the defined service level standard.
Experience
5-7 Years
Level
Executive
Education
Masters Of Business Administration
Securities Operations Specialist Resume
Summary : Highly qualified Securities Operations Specialist with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment on which your company prides itself.
Skills : Microsoft Office, Training Skills.
Description :
Performed back office operational tasks for complex securities and cash-related transactions.
Identified missing, misrouted, and miscoded deposits by analyzing and researching multiple systems.
Resolved issues by communicating with associates and branch personnel, ensuring 24-hour processing goal was met and saving thousands of dollars in potential client market losses.
Reconciled accounts from physical safe-keeping to DTC by doing timely research and corrective entries, resulting in receiving thousands of dollars in accrued dividends.
Reviewed time sensitive and complex documents, including applying knowledge of stock transfer requirements, ensuring timely and accurate processing of securities and registrations.
Achieved near-zero error factor, saving client and firm from potential market loss.
Reviewed and revised departmental procedures, eliminating redundancies, streamlining process flow, and improving accuracy.
Experience
10+ Years
Level
Senior
Education
MS
Securities Operations Specialist Resume
Objective : As a Securities Operations Specialist, responsible for Reconciling internal balance sheet sweep funds for bank deposit, trust revenue share, and Cayman Eurodollar accounts, and also Performing daily check numbering procedure working with an external vendor to assign check numbers to outstanding checks.
Skills : Microsoft Office, Communication Skills.
Description :
Employed through Selective Staffing, handled Class Actions Processing.
Responsible for processing of Class Action Claims for securities held by Private Bank Clients.
Received and reviewed Class Actions Litigation Claims received by SOS.
Logged claims and tracked deadlines to ensure filing of documents are met.
Utilized multiple data bases to obtain the qualified list of accounts entitled to participate in the claims.
Reconciled positions prior to filing.
Provided data electronically or hardcopy to Claims Administrators.
Experience
2-5 Years
Level
Executive
Education
BA In Communication
Securities Operations Specialist Resume
Objective : Experienced operations specialist seeks a position as an Entry Level Corporate Operations Specialist. Adaptable team player recognized for a willingness to learn newly acquired skills.
Skills : Excel, Word, Phones, 10-Key, UPS.
Description :
Processed stock and mutual fund trades for several companies globally.
Reconciled daily stock purchases and redemptions in excess of a billion dollars.
Allocated and processed stock dividends on a daily and monthly basis.
Allocated daily adjustments of yields.
Reviewed and analyzed reports for new procedure implementation with manager.
Worked on special projects for manager.
Cleared, settled, and reconciled investment accounts daily with DST and Federal Reserve trading platforms.
Experience
2-5 Years
Level
Executive
Education
Associates In Applied Science
Securities Operations Specialist Resume
Summary : A hard worker and extremely detailed oriented. Strong interpersonal skills are one of my greatest strengths; I work easily with others and am always open to various points of view. I have good judgment about people and an intuitive sense of their talents and their ability to contribute to a given problem.
Skills : Data Entry, Acat Processor, Mutual Fund Transfers Operations Specialist For Big Brokerage Companies, Microsoft Word, Telephone, Operations Manager Of Cleaning Business, 10-Key, Internet Marketing, Social Networking, Typing.
Description :
Worked closely with 3rd party vendors, mutual fund companies and contra firms to facilitate transfer of funds and clean up of the associated fails.
Reconciled items between various suspense accounts and client memo locations.
Worked from the MFACAT Fails database on their assigned fails and process by uploading or faxing a letter to the fund to move the position while working closely with contra firms.
Skilled with BETA, WISDOM - OPS FAIL, Advisor Central, DST Vision, also, being Surpas (BNY- our omnibus).
Received proceeds from settled claims.
Logged checks and prepared spreadsheets for processing.
Collaborated with key stakeholders across departments, addressing inquiries and issues involving jurisdiction of assigned responsibilities and enabling client to take timely market action with deposited securities.
Experience
7-10 Years
Level
Management
Education
Bachelor's
Securities Operations Specialist Resume
Objective : Experienced professional who has superior work ethics, works well as part of a team or independently, is detail-oriented, dependable, a fast learner, and has excellent customer service skills and the ability to communicate effectively when resolving conflicts and customer complaints when answering inbound calls on a multi-line telephone console, and self-motivated.
Skills : Data Entry, Training Skills.
Description :
Worked with Financial Advisors and WFA branch locations to differentiate, process, and reconcile securities or cash related transactions.
Responsible for all qualified retirement plan inquiries, processes, and maintenance.
Provided research inquiries for clients and advisors; these inquiries are usually time sensitive and require attention to detail.
Reviewed and processed wire transfers.
Reviewed documents and coordinated with different departments on a daily basis to resolve Client and Advisor related issues.
Trained other team members and assisted with ad-hoc projects.
Provided department-level reporting using multiple sources, delivered physical securities to ACAT settlement department, and provided quality control reports to receiving department, resulting in accountability of deposits held beyond normal turnaround times.
Experience
2-5 Years
Level
Executive
Education
Bachelor Of Arts In Economics
Securities Operations Specialist Resume
Objective : To obtain a responsible, and challenging position, with a progressive company where my work experience will have a valuable application, and utilization of my opportunity for advancement.
Skills : Microsoft Office, SAP.
Description :
Responsible for executing trades for managing futures and hedge funds.
Responsible for executing capital calls for private equity funds.
Provided the first point of contact for technical support, desktop settings, and tracking application issues at the department level.
Responsible for monitoring account activity to ensure compliance with firm, federal and exchange regulations.
Responsible for maintaining excel and access databases for metric reporting.
Assisted with updating departmental procedures.
Serviced ERISA and other Trust accounts for investment managers such as Lehman Brothers, BlackRock, Bank of America, PIMCO, and JP Morgan Chase.
Experience
2-5 Years
Level
Executive
Education
MS
Securities Operations Specialist Resume
Summary : Securities Operations Specialist professional with nearly 10 years experience in the financial services industry. Thorough knowledge of front and back-office operations including trading and clearance leading to process improvement and cost savings. Double major in Marketing and Communication in Public Relations.
Skills : Writing, Verbal Communication, Problem Solving.
Description :
Responsible for operational support and processing for various types of securities, alternative investments and mutual funds.
Maintained and developed automated cash and securities accounting systems, controls, and procedures.
Facilitated asset receipts and deliveries, performs various securities operational tasks, including maintenance of the asset master file, pricing of assets, processing income entitlements, reviewing reconciliation reports, and resolving asset and cash exceptions.
Ensured requests are completed timely, accurately and in compliance with standard policies.
Responded to inquiries regarding securities issues, procedures and policies from internal and external customers, management, internal and external auditors, and regulatory authorities to promote quality service and effective securities operations.
Actively ensured compliance with the U.S.
Provided backup for other functions within work group/department.
Experience
7-10 Years
Level
Management
Education
Bachelor Of Business Administration
Securities Operations Specialist Resume
Objective : Securities Operations Specialist is driven to build and maintain excellent and long-term relationships with institutional retirement plan clients and consultants. Successful record of securing new business opportunities and supporting sales initiatives through creating and delivering effective presentation strategies.
Skills : Training Skills, Researching Skills.
Description :
Monitored and reconciled trades within multiple specific sets of mutual funds to ensure compliance with requested specialized dividend processing.
Ensured timely exchange of funds via e-mail and phone communication, and accurate and quick answers to questions raised by the brokers.
Communicated with multiple brokers and contacts to obtain agreement with the policies.
Balanced daily dividend reports.
Researched and corrected differences between dividends paid according to the Depository Trust Company and SEI, U.S.
Obtained and maintained a Top Secret Clearance.
Completed a favorable Single Scope Background Investigation (SSBI).
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