Securities Operations Associate

support tasks and help identify opportunities for process

improvements within Securities Operations

Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related

to low risk tasks and deliverables with narrower impact

Receive direction from manager and exercise judgment within defined parameters related to resolving

situations on a full process within a trade environment, while developing understanding of various

functions, policies, and procedures

Provide information to, collaborate, and consult with peers, colleagues and managers, including internal

and external customers, to resolve issues and achieve goals

Build expertise in operational processes including client account onboarding, cash payments, customer

service, funding operations, custodial operations, securities settlement services, structured loan

operations, and general ledger reconciliation

Assist in gathering data to support resolution of issues; review and analyze functional operational tasks

that require research and evaluation

Resolve low complexity escalated issues within the scope of responsibility in Security Operations

Research low complexity business risks, provide input into policies, enhance customer satisfaction, and

review time sensitive documents and transaction requests

Support overall effectiveness of the team according to plans; monitor daily securities and cash related

production work

Contribute to implementation of projects, new or revised processes, and procedures that require

coordination among operation teams and may perform analysis for initiatives that support business

strategies

Required Qualifications:

3 years of Securities Operations experience, or equivalent demonstrated through one or a

combination of the following: work experience, training, military experience, education