Senior Corporate Actions Specialist

The Corporate Actions Team handles operational, administrative and financial processes initiated by Equity and Fixed Income business lines. In addition, the team ensures the control and security of transaction processing in accordance with current financial legislation and firm wide controls.

You will join a dynamic team which sits at the forefront of Corporate and Investment Banking, Private Banking, Asset Management and Securities Business lines. You will lead corporate action development initiatives in technology and operations which are geared to strengthening our prime brokerage platform. It is therefore imperative that you are able to demonstrate excellent corporate actions market knowledge and experience in developing corporate actions infrastructure that caters to broker dealer business.  

Responsibilities:

Platform development and project steering:

• Act as point of contact and provide Subject Matter Expert leadership with respect to Corporate Action workflows son relevant key initiatives and projects.
  


• In support of future growth ambitions, spearhead the development, communication and implementation of effective Corporate Action processes, as needed and in partnership with other support areas (including but not limited to automation, simplification, system testing) to meet challenges.
  

Production & Operational Resiliency

• Assist on the Mandatory Corporate Action Events supported by offshore partners to ensure proper adherence to guidelines in a growing business environment.
  


• Monitor for and affect voluntary events ensuring prompt and clear arbitration between internal and external stakeholders.
  


• Interface between internal stakeholders and service providers in coordination with management to resolve issues and provide KPI status for outstanding items for management oversight as it pertains to Corporate Actions, Aged suspense items, Aged Fails, Aged Payables/Receivables and Other Operational Metrics.
  


• Involvement with account monitoring and validation.  Identify root causes to operational breaks and work with stakeholders on corrective actions
  


• Escalate issues and share knowledge with business line partners and local management on effective practices and competitive intelligence
  


• Providing subject matter expertise on the complete operational workflow around Corporate Events
  


• Actively participate in the on-boarding of new applications
  

 Technical Skills:

• Info Mosaic, DTCC Customer Portal, Microsoft Excel, Word and PowerPoint
  


• Desired / Plus: Shadow 
  

Competencies: 

• Team player with excellent communication skills.
  


• Rigorous, well organized, procedure oriented.
  


• Able to meet aggressive deadlines in a dynamic environment with a high degree of accuracy.
  


• Self-starter (candidate is able after initial managerial direction, to complete assigned tasks, identify issues not addressed and escalate appropriately)
  


• Excellent prioritization skills necessary
  


• Ability to be flexible in a small team environment
  

Qualifications:

• Experience working in Corporate Actions department for both Equity and Fixed Income Securities
  


• Proven background on IT infrastructure improvements as it relates to Corporate Actions
  


• Industry knowledge in Fixed Income/Equity settlements, trade support or relevant experience with fixed income and equity products
  


• Knowledge of internal control framework and the US regulatory environment, rules and applicable regulations, and proven ability to work effectively with all local regulators
  

Registrations:

• ​Series 99 (Required)
  


• Series 7, 63 (Nice to have)