Securities Operations Specialist

LevelUP HCS • new york city, ny, us • 4w ago

Responsibilities:

Perform product, system testing and implementation for financing, custody, settlements and asset services
Review workflows with a focus on process improvement
Develop and design workflow enhancements
Coordinate and support application implementations and upgrades on securities processing platforms
Monitor and provide reporting on control performance in appropriate bank or departmental platforms
Interface with auditors and regulators such as FINRA during examinations or when called upon
Review relevant regulatory changes and updates, and ensure they are incorporated into departmental management processes
Regularly update policies and procedures, keeping them current in accordance with bank and regulatory requirements
Create and maintain risk and management reporting
Create and deliver custody reports and market updates for customers
Design and produce market and industry updates for customers and management.

Qualifications:

5 to 10 years of securities operations management experience
Undergraduate degree or relevant experience
Series 27 required
Broadridge BPS and Impact skills
Experience with BNY / BDC
Ability to partner with Finance plus strong accounting skills a plus
Exhibit expert understanding of end-to-end securities processing and fundamental understanding of accounting principles as they relate to the securities products
Strong ability to use desktop applications, Word, Advanced Excel and PowerPoint

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