- Trade Settlement, Securities Clearing and Custody:
- Process securities transfers at Pershing (internal, depo to depo and ACAT)
- Reconciliation of Trade and
- 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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Securities Operations Specialist - Doral, United States - Itau
Description
As a Securities Operations Specialist, you will play a crucial role in ensuring the smooth and efficient execution of various securities-related processes.
Duties & Responsibilities
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 recordsAccount Reconciliation:
Perform daily, monthly, and periodic reconciliations to ensure accurate records of client accounts, trades, and positions
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
