Job Description

Reference # : 21-01212Title : Corporate Actions SME
Location : Remote
Position Type : Contract
Experience Level : Start Date / End Date : 09/01/2021 / 02/28/2022
Excellent communication skills
  • Written / Verbal / Diplomatic
Proficient Microsoft Office working knowledge and experience with
  • Outlook / Excel / Word
Financial Instrument experience (Bank securities or Brokerage experience a plus)
  • Knows equity or debenture securities
  • Ability to understand complex products, processes
Experience in reconciling records
  • Excellent attention to detail
  • Proven analytical skills
Quick Learner

Previous Project Management experience a plus

  • The Asset Servicing Senior Analyst is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and the improvement of processes and work-flow for the area or function. Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function as well as coordinate and contribute to the objectives of the function and overall business. Evaluates moderately complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required. Regularly assumes informal/formal leadership role within teams. Involved in coaching and training of new recruits Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization. Work and performance of all teams in the area are directly affected by the performance of the individual.

  • This role will manage reconciling and processing positions related to Corporate Action events
  • These activities include revisions of communications, notifications and facilitating postings for Corporate Action or Proxy events
  • Serve as primary contact for Prime Broker clients, providing support across Asset Servicing specific to Corporate Action and international and domestic Income Voluntary and Mandatory events
  • Research and resolve questions or issues presented by domestic and international Prime Finance Clients to provide client service solutions for Prime Finance clients and trading desk. Interpret domestic and international voluntary and mandatory Corporate Action and Dividend Interest Event information, and use that data to address client inquiries and ad-hoc requests
  • Partner with internal teams across the business, including Margin Team, Tax, and Technology, Front and Middle office, to effectively service Prime Broker clients
  • Perform reconciliations for applicable client account positions as required for the relevant Corporate Action and/or Dividend Interest event
  • Provide guidance to clients on the life-cycle of Events on multiple products, including Equity (cash and Swap), and Fixed Income products
  • Craft robust client communications, which may include spreadsheets, in response to client questions or concerns
  • Identify and manage risk to the business, with timely action and prompt escalation
  • Hold or attend client conference call meetings and or in-person meetings
  • Hold or participate on conference meetings with international or US Custodians and Transfer Agents regarding Corporate Action or Dividend events
  • Performs all other job duties as assigned by supervisor
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Banking, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
  • Experience as a Securities Processing Analyst or related position performing corporate action processing
  • 5-8 years of experience Securities Processing Analyst or related position performing corporate action processing
Bachelor's/University degree or equivalent experience

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