Associate II, Securities Operations

About the Role

• Entry-level individual contributor with moderate supervision.
• Follows established guidelines while exercising independence.
• Contributes to organizational goals by managing semi-complex tasks, including developing schedules or refining work methods for improved outcomes.
• Solves problems of low to moderate complexity and makes minor adjustments to existing processes.
• Requires knowledge gained through a combination of education and practical experience.

Key Responsibilities

• Monitors baseline financial transactions to identify and resolve discrepancies, ensuring accuracy and integrity in financial transactions, subsequently supporting smooth operational flows.
• Prepares client support for management-established securities-related activities to ensure clients receive timely and accurate assistance.
• Makes contributions in tasks related to fund accounting and shareholder servicing to support efficient fund management and effective shareholder service delivery.
• Supports and participates in solutions to improve the efficiency and accuracy of financial securities processes to enhance operational effectiveness of policies and processes.
• Performs routine operational activities related to asset servicing, processing, and reconciliation to ensure precise execution of tasks, contributing to accurate financial processes.
• Communicates key industry regulations and best practices to ensure full compliance with regulations and to prepare for potential internal and external audits.
• Exercises effective communication channels with stakeholders to ensure accuracy and transparency in stakeholder engagement.
• Organizes support for disbursement/receipt activities and security deals processing to ensure accuracy and efficiency in financial transactions, supporting operational productivity.
• Maintains processes for document verification, instructions preparation, and settlement to ensure accuracy and completeness in documentation.
• Communicates and collaborates with others and shares information that may require explanation or interpretation.
• May support less experienced peers.

Requirements & Tech Stack

• No specific technologies or tools are listed.

Qualifications

• Type of Hire: Experienced (relevant combo of work and education)