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Lalande-de-Pomerol

    Securities Operations Specialist - Miami, United States - Itau

    Itau
    Itau Miami, United States

    4 weeks ago

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    Description


    As a Securities Operations Specialist, you will play a crucial role in ensuring the smooth and efficient execution of various securities-related processes.

    Your responsibilities will encompass a range of tasks to support the firm's trading activities, compliance, and client interactions

    Duties & Responsibilities


    • Trade Settlement, Securities Clearing and Custody:
    o Trade Settlement at the broker dealer: Process and reconcile trades, ensuring accurate and timely settlement of securities transactions, and handle any discrepancies that may arise

    o Coordinate with Pershing LLC, clearing houses and custodian banks to facilitate secure custody of client assets and ensure proper clearance of transactions

    o Be in frequent contact with brokers and depositories such as DTCC and Clearstream while working to resolve open-firm obligations and other miscellaneous enquiries

    o Performs investigations of pre-settlement discrepancies to ensure timely settlement of COD / RVP / DVP trades

    o Set-up and maintain Security Master File for Structured Notes and CDs

    o Monitor margin reports and act accordingly to manage Margin Calls

    o Good standing of Regulatory reporting (DTCC)

    Corporate Actions Management at Pershing:

    Monitor and process corporate actions, such as dividends, mergers, and stock splits, to accurately reflect changes in client portfolios.

    Must be able to analyze, generate/code options, inform and manage client elections and keep proper communication/reconciliation with custodian and bank records


    • Process securities transfers at Pershing (internal, depo to depo and ACAT)

    Account Reconciliation:
    Perform daily, monthly, and periodic reconciliations to ensure accurate records of client accounts, trades, and positions


    • Reconciliation of Trade and

    Cash Balances:
    Conduct daily cash and position reconciliations to identify and resolve discrepancies promptly

    Compliance Oversight:
    Collaborate with the compliance team to adhere to regulatory requirements, monitor trading activities, and assist in the preparation of required reports

    Client Support:
    Provide exceptional customer service by addressing client inquiries and resolving issues related to their accounts, trades, and holdings

    System Maintenance and Enhancement:
    Collaborate with IT and software vendors to improve existing operational processes and implement enhancements as needed

    Operational Efficiency:
    Continuously seek opportunities to streamline processes, reduce operational risks, and enhance the overall efficiency of securities operations

    .Compliance with Anti-Money Laundering and Bank Secrecy Act related principles, laws, rules and regulations, as well as Itau's related policies and procedures.

    Qualifications


    • Bachelor's degree in Finance, Business, or a related field
    • Relevant professional certifications - FINRA Series 99 is required
    • Proven experience in securities operations or a similar role within a broker-dealer environment
    • In-depth knowledge of securities products, trade lifecycle, and industry regulations
    • Strong analytical skills and attention to detail to ensure accuracy in trade settlements and reconciliations.
    • Proficient in utilizing financial software and trading platforms
    • Excellent communication and interpersonal skills to interact with clients, colleagues, and external stakeholders effectively
    • Ability to thrive in a fast-paced environment, handle multiple tasks, and prioritize accordingly
    • Compliance-oriented mindset to ensure adherence to regulatory guidelines and internal policies
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