Securities operations associate

Securities operations associate

● Participate in low complexity lifecycle 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:

● 6+ months of Securities Operations experience, or equivalent demonstrated through one or a

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