Securities Operations Specialist

3 weeks ago

Doral, United States Itau Full time

As a Securities Operations Specialist, you will play a crucial role in ensuring the smooth and efficient execution of various securities-related processes. Your responsibilities will encompass a range of tasks to support the firm's trading activities, compliance, and client interactionsDuties & ResponsibilitiesTrade Settlement, Securities Clearing and Custody:o Trade Settlement at the broker dealer: Process and reconcile trades, ensuring accurate and timely settlement of securities transactions, and handle any discrepancies that may ariseo Coordinate with Pershing LLC, clearing houses and custodian banks to facilitate secure custody of client assets and ensure proper clearance of transactionso Be in frequent contact with brokers and depositories such as DTCC and Clearstream while working to resolve open-firm obligations and other miscellaneous enquirieso Performs investigations of pre-settlement discrepancies to ensure timely settlement of COD / RVP / DVP tradeso Set-up and maintain Security Master File for Structured Notes and CDso Monitor margin reports and act accordingly to manage Margin Callso 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 recordsProcess securities transfers at Pershing (internal, depo to depo and ACAT)Account Reconciliation: Perform daily, monthly, and periodic reconciliations to ensure accurate records of client accounts, trades, and positionsReconciliation of Trade and Cash Balances: Conduct daily cash and position reconciliations to identify and resolve discrepancies promptlyCompliance Oversight: Collaborate with the compliance team to adhere to regulatory requirements, monitor trading activities, and assist in the preparation of required reportsClient Support: Provide exceptional customer service by addressing client inquiries and resolving issues related to their accounts, trades, and holdingsSystem Maintenance and Enhancement: Collaborate with IT and software vendors to improve existing operational processes and implement enhancements as neededOperational 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.QualificationsBachelor's degree in Finance, Business, or a related fieldRelevant professional certifications - FINRA Series 99 is requiredProven experience in securities operations or a similar role within a broker-dealer environmentIn-depth knowledge of securities products, trade lifecycle, and industry regulationsStrong analytical skills and attention to detail to ensure accuracy in trade settlements and reconciliations.Proficient in utilizing financial software and trading platformsExcellent communication and interpersonal skills to interact with clients, colleagues, and external stakeholders effectivelyAbility to thrive in a fast-paced environment, handle multiple tasks, and prioritize accordinglyCompliance-oriented mindset to ensure adherence to regulatory guidelines and internal policies#J-18808-Ljbffr

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