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Derivatives Onboarding Manager Resume

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Boston, MA

PROFESSIONAL EXPERIENCE

Confidential - Boston, MA

Derivatives Onboarding Manager

Responsibilities:

  • Manage the initial launch and implementation of Master Securities Forward Transaction Agreements (MSFTA) via coordinating with Brokers, Collateral, Legal, Traders, Portfolio and Relationship Managers to ensure all business, operational and broker needs are captured.
  • Maintain an accurate and complete fund matrix of active brokers, authorized derivative products, and derivative legal agreements to be used as a research and reference tool aiding in the consideration of derivative instruments to new and previously explored investment strategies.
  • Facilitate the derivatives trading approval process by maintaining corporate governance established explicitly for the onboarding of new derivative instruments by gaining internal approvals from Compliance, Legal, Product, Risk and Tax.
  • Receive, review and evaluate new onboarding requests to determine the appropriate course of action, from ensuring the necessary funds are added to the correct derivative agreement(s) to confirming operational readiness and updating the Portfolio Managers and Traders funds are ready for trading.
  • Implement various solutions to newly established Derivatives Onboarding Team by staying abreast of industry regulations and performing impact assessments for all globally traded derivative funds.

Confidential - Pittsburgh, PA

Derivatives Analyst

Responsibilities:

  • Negotiate, prepare, produce and maintain all derivative trading and trade related contracts: ISDA, MSFTA, Account Control, NDF and NDO Master, EMIR Delegation, Non-Disclosure, Confidentiality, Clearing, Prime Brokerage, Futures, Options, Give-Ups, etc.
  • Facilitate and manage a variety of trading, compliance and legal requirements for all funds and accounts including AML certificates, tax documentation, FINRA required documents and certifications, QIB certifications, Investment Advisor representation letters, Legal Entity Identifiers (LEI) certifications, ISDA Protocols.
  • Monitor and implement changes in financial regulations and initiatives as promulgated by the SEC, CFTC, FINRA, FSA, Central Bank of Ireland, ESMA, NFA, SIFMA and TMPG that significantly impact primarily 1940 Act and UCITS funds.
  • Day-to-day management and oversight of syndicated and private placement bank loan portfolios including creation and trading of trade finance banks loans via Bloomberg, client interfacing, cash projections, and ownership of syndicated fixed income bank loans from allocation through settlement.
  • Review FX, IRS, NDF and NDO confirmations to ensure timely settlement while working with Brokers, Traders, Trade Support and Portfolio Managers to gain confirmation approval.
  • Evolve core critical abilities to include new performance and risk indicators to correlate front office business strategy changes and identify how to most efficiently support front office management in continuing portfolio performance generation.

Confidential - Pittsburgh, PA

Mortgage Foreclosure Litigation Specialist

Responsibilities:

  • Identify gaps in the foreclosure policy and procedures which allow breakdown and make suggestions to correct the process.
  • Correspond with foreclosure counsel to determine costs involved to settle or to proceed with defense in court.
  • Update the litigation loan database and reports with current information on the status of the litigation, strategy currently used and upcoming critical events and dates.
  • Review and execute discovery to assist foreclosure counsel.
  • Assess court pleadings for counterclaims and new matter to be brought to management attention.

Confidential - Pittsburgh, PA

Financial Markets and Treasury Services Know-Your-Customer / Compliance Specialist

Responsibilities:

  • Gather data from numerous internal and external sources (client files, electronic files) to complete Know-Your-Customer (KYC) data file for Foreign Financial Institutions.
  • Review documents for completeness and accuracy of KYC data across all FMTS divisions.
  • Resolve any issues necessary to complete customer reviews through correspondence with other departments.
  • Conduct due diligence on new and existing clients.
  • Ensure all customers are in compliance with USA Patriot Act.

Confidential - Pittsburgh, PA

Mandatory Corporate Action Specialist

Responsibilities:

  • Daily posting and balancing of bond maturity and called bonds payments.
  • Determine and process appropriate online cash and security transactions.
  • General ledger monitoring and reconciliation.
  • Conduct partial called bond lotteries.
  • Research and respond to account inquiries/discrepancies in a time sensitive manner.

Confidential - Pittsburgh, PA

Litigation Management Online Department Paralegal

Responsibilities:

  • Tracking and resolving deficiencies in disbursed settlement allocations.
  • Process and review toxic tort settlement documents.
  • Determine turbine research requests.
  • Litigation correspondence with local and opposing counsel.
  • Analyzing settlements and preparing subsequent checklists.

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