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Enterprise Overview:
Provides technical and analytical support in a GWIM operations function for one or more product areas such as funds transfer, collateral mgt/margins, corporate actions, static data/data management, control, trader support, clearance/settlement, documentation/confirmations, customer service, new accounts, client valuations, document processing or statement/billing processing. Responsible for the analysis and resolution of moderately complex operations problems and initiatives requiring exception handling and working with multiple operational and/or product specialists to resolve. May participate in projects and/or introduction of new initiatives, systems, products/services and processes. As a technical expert, acts as a unit advisor providing technical support to less experienced associates. This role typically requires 3+ years experience in operations functions and a thorough working knowledge of the operational aspects of transactions and products
LOB Description:
The Managed Account Trading Senior Operations Analyst will monitor the team workflow and ensure processing deadlines are achieved on a daily basis for trade support processing, booking client allocations, processing non-market corrections and completing voluntary corporate action elections for client accounts managed by internal or 3rd party Investment Managers. Products supported include Equities, Fixed Income, Unit Investment Trusts (UITs) and Mutual Funds. All processes are performed within a robust control environment with focus on quality assurance.
Responsibilities include:
- Ensure trades that are executed by Financial Advisors (FAs) / Investment Managers and non-market correction processing requests are booked and processed timely and accurately to client accounts
- Eliminate risks by proactively monitoring workflow, serving as quality control and escalating issues as appropriate while engaging the right leaders and partners
- Act as the trade booking subject matter expert to problem-solve complex/escalated issues and provide training and support to the processors
- Pull reports, analyze data and place data in a usable format for dialogue and decision-making.
- Document and record team statistics and ensure all processing requests received are saved to secure location per record retention guidelines. Report out statistics to senior leaders in the organization
Required Skills:
- Minimum one – two years of experience working in broker dealer operations with knowledge of common operational issues, controls and quality assurance (QA)
- Prior experience serving as lead in an operational environment or currently working as a consistently high performing GWIM Senior Operations Representative
- Must be able to give clear effective examples of past successes in teamwork, use of analytical skills, time and organizational self-management, flexibility to a changing environment and ability to work in a fast paced deadline-driven environment.
- Intermediate experience with Microsoft Word and Excel to include formulas, running saved macros and pivot tables
- Proven experience with presenting and writing information clearly, concisely and grammatically correct
- Demonstrated experience with effectively reviewing documents/information and quickly identifying errors, while understanding the cause of the error and taking action to implement sustainable solutions
- Self-motivated, proactive and able work with minimal supervision
Desired Skills:
- Prior trade support experience
- Series 7 license
- Experience with Managed Products
- Experience with Project Management
