Corporate Actions Resume Sample
Michaela McClure
642 Jeffery Stream,
Philadelphia,
PA
+1 (555) 670 5655
Work Experience
Corporate Actions Associate
01/2016
-
PRESENT
Boston, MA
- Good operating knowledge of the HOD MSDI, MSI0, MRGN, AESR applications
- Analyzing information received from several sources regarding upcoming Corporate Actions. This could include contacting the sources for clarification if unsure of literature/prospectus. Determine proper course of action
- Assumes supervisory responsibilities in the absence of the departmental manager, to include escalation situations regarding Corporate Actions
- Reads all correspondence received and determines next course of action (ie: bankruptcy notices, consents, BNY offers, DTC notices, etc.)
- Scrutinizes loss information in the event of a missed Corporate Action and submits synopsis to Department Manager explaining in detail the situation
- Maintaining and reconciling various general ledgers and suspense account. This includes compiling various information in an excel spreadsheet format and preparing weekly FOCUS and month end reporting
- Acts as a resource and/or escalation point for Reorg Department co-associates. Handles problematic inquiries from the field and makes judgment calls regarding corporate actions, pending allocations, transfer items; researching every aspect as it pertains to the situation, even if not a usual function of the department
- Plays an active role in collaborative discussions/meetings pertaining to process and service improvements with internal departments, and outside vendors. Is an active participant in internal/external audits
Corporate Actions
10/2009
-
07/2015
Dallas, TX
- Monitoring the team’s timely adherence to data quality protocols through dashboards and reports
- Interactions / Interpersonal Skills
- Initiative/sense of urgency: The ability to tackle problems and to take responsibility when dealing with difficult situations as well as the ability to prioritize based on business needs and client’s specificity is key for Corporate Actions Section Managers
- Enhance the control environment through business intelligence-related initiatives to increase scalability, adapt to regulatory changes, and deliver creative solutions to clients
- Demonstrate ability to identify and leverage solutions used by other teams, and foster a culture of innovation in which the more junior population is encouraged to seek creative solutions
- Partner with a Vice President to build a resilient and motivated team by promoting diverse perspectives, providing transparent feedback, and offering career coaching
- Assume accountability and ownership of complex situations, offering own expertise to influence outcomes
Corporate Actions Junior Expert
06/2004
-
06/2009
Los Angeles, CA
- Responsible for managing a Corporate Actions/Dividends team within the Hedge Fund Services
- Providing a challenging and rewarding environment for our people
- Working with customers on timely, cost effective and creative solutions
- Constantly improving customer service delivery with strategic, scalable solutions in a risk-controlled environment
- Be proactive and remain cognizant of deadlines and regulatory requirements
- Effective communication with advisors and other operational groups to resolve various account discrepancies
- Coordinating business unit efforts to provide timely status updates and accurately resolve service requests
- Serving as the quality control point to ensure requirements and procedures are followed. Collaborating with other teams to align workflow expectations and commitments
Education
Argosy University - Salt Lake City Campus
1999 - 2003
Bachelor's Degree in Business
Professional Skills
- Demonstrated analytical and writing skills, effective communication skills, and a high level of attention to detail
- An opportunity to demonstrate strong leadership and coaching skills, developing future leaders within the team
- Excellent communication skills and ability to establish and maintain strong working relationships while working independently in a high pressured environment
- Experience of ISO 15022 SWIFT messaging and CREST and Claims processing essential Strong communication skills
- Have high attention to detail, excellent time management skills, the ability to work under pressure and working to tight deadlines
- Strong interpersonal skills and ability to build and maintain business partner relationships
- Experience in a function that has some related financial analysis or use of analytical skills
How to write Corporate Actions Resume
Corporate Actions role is responsible for analytical, financial, analysis, excel, software, training, messaging, microsoft, finance, credit.
To write great resume for corporate actions job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Corporate Actions Resume
The section contact information is important in your corporate actions resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Corporate Actions Resume
The section work experience is an essential part of your corporate actions resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous corporate actions responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular corporate actions position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Corporate Actions resume experience can include:
- Strong verbal and written communication skills with internal business partners, customers, depositories and transfer agents
- Excellent IT skills especially knowledge of Microsoft Excel
- Open-minded team player with good comprehension skills
- Communicating professionally and constructively to effectively resolve issues in order to minimize risk and exposure
- Creating Succession Plans for all experienced team member and create a strong safety ratio
- Experience of banking industry, preferably within a Wealth Management environment, with a solid knowledge of securities and processing
Education on a Corporate Actions Resume
Make sure to make education a priority on your corporate actions resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your corporate actions experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Corporate Actions Resume
When listing skills on your corporate actions resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical corporate actions skills:
- Has strong organizational skills, capability to prioritize and follow established guidelines
- Good interpersonal skills and networking abilities with sub-custodians and internal departments
- Have strong analytical and conceptual skills and know-how in financial markets
- Work experience in a function that has some related financial analysis or use of analytical skills
- Experience in securities operations environment with proven team leadership or management experience
- Excellent organisational skills and ability to managing own deadlines and workloads
List of Typical Experience For a Corporate Actions Resume
1
Experience For Corporate Actions Associate Resume
- Strong skills in various PC software applications to include Microsoft Excel, Word, PowerPoint
- Set up adequate controls to ensure our exposure to risk liabilities and losses is effectively controlled
- Experience in Corporate Actions ( preferably) or Securities Operations
- Experience in Corporate Actions
- Experience in Corporate Actions required
- Experience as a Corporate Actions administrator or in a similar role
- Good knowledge of Corporate Actions types
- Good knowledge of basic financial instruments (exchange traded equities and bonds)
- Corporate Actions experience
2
Experience For Corporate Actions Administrator Resume
- Willingly accepts ownership for the leadership and effectiveness of the organization; looks for ways to make a difference
- Consistently demonstrates a positive can-do, overcome any barrier attitude
- Extensive risk management experience on time sensitive issues with market risk
- Understand the client's stated and unstated needs to proactively provide a personalized, comprehensive service experience
- Corporate Actions experience
- 1 – 3 years of industry experience
- Report all valid tenders and deficit items to the client, their legal counsel and their dealer manager with 100% accuracy by the deadlines agreed to
3
Experience For Corporate Actions Supervisor Resume
- Securities administration experience
- Experience as supervisor or above
- Learn, retain and apply processes and procedures as well as system technologies in an efficient and effective manner
- Financial services experience with an asset manager or custodian bank, preferably in mutual fund operations with exposure to Corporate Actions
- Corporate Action experience
4
Experience For Corporate Actions Senior Operations Specialist Resume
- Validate all corporate actions data on InvestOne to at least one approved alternative second source
- Complete daily validation checks on data supplied by primary vendor to secondary source
- Previous experience in the Securities industry an advantage
- Relevant industry experience
- Confirming accurate event details and the subsequent timely processing
5
Experience For Corporate Actions Representative Resume
- Checking the commerciality of clients’ elections
- Monitoring custodian/vendor notifications
- Helping to enhance the productivity of the unit
- Juggling several projects efficiently despite resource and time constraints
- Providing feedback on resource requirements and allocation
- Building relationships at all levels both within and outside the organization
- Communicating with external agents and internal business units
- Corresponding with clients as necessary via e-mail and phone
- Working to tight deadlines (determined by the market)
6
Experience For Senior Rep, Corporate Actions Resume
- Utilising multiple bespoke systems to input and extract data
- Confirming events with custodians and internal clients (PMG, Client Reporting, etc)
- Proactively resolve issues impacting stock record and mitigating trading risk during the event’s lifecycle
- Ensure smooth settlement around deadlines, balancing protections and liabilities on open and failing trades and keeping desks informed of any risks
- Responsible for phases of year-end reporting including 1099 and 1042s processing
- Daily research into trading activities around rating changes, tracking error, and new security types
- Understand regulatory requirements related to 1042 reporting, withholding, remittance and have knowledge of Cost Basis, FATCA IRS reporting requirements
- Day to day task management, ensuring smooth running of the team
- Event processing: The market experts handles reconciliation of client holdings, instruction and transaction management including positions out on loan
7
Experience For Assistant VP-corporate Actions Manager Resume
- Knowledge of income processing and tax reporting across various markets would be beneficial
- Event processing: The operations executives handles reconciliation of client holdings, instruction and transaction management including positions out on loan
- Maximize the team’s operational efficiency by monitoring workflow distribution and managing the allocation of resources within the team
- Maintain weekly imaging processes for all trading and Oversight documents
- Collect and collate data from corporate action processing locations globally to complete required management reporting
- Responsible for reconciliation of NRA & FATCA taxes including distribution to clients and filing to the IRS
8
Experience For Voluntary Corporate Actions Resume
- Engage in a variety of software-related activities including testing, documentation and data conversions
- Identify and improve workflow and training deficiencies and develop resulting action plans, etc
- Ensure prompt and accurate processing and recording of client transactional requests
- Communicate with clients, business partners and advisors on a daily basis regarding ongoing inquiries related to Corporate Action issues
- Assist the IRM team with monthly and quarterly model clone position and restriction monitoring and other reporting
- Excellence: Setting the standard for leading-edge solutions, innovation and continuous
- Monitor and process pending items, correcting discrepancies
- Coordinate RCSA testing and review Manager’s Control Assessment, Flow Charts and Procedures for the team
- Assist trading desks with queries
9
Experience For Mgr, Corporate Actions Resume
- Process asset servicing events such as Dividends, Coupons and/or Corporate Actions (voluntary and mandatory)
- An ability to own events throughout their entire lifecycle, from initial notification through to instruction and processing
- Responsible for ensuring all your team’s events are processed accurately within the event timelines
- Responsible for managing claims process to SG Newedge’s stock lender provider(s) on behalf of customers which have borrowed positions over XD,
- Event creation: The controller verifies the event created by the market expert and authorizes the setup after completing the necessary steps
- Researches and analyzes trading information for class action history inquiries
- Responsible for researching proxy information with external proxy vendors
- Maintain and update all pending group projects on an ad-hoc basis
- Assist in the development and production of monthly management reporting
10
Experience For Manager, Corporate Actions Resume
- Monitor outstanding elections and aide the Manager of the elections team to ensure any late elections are escalated for quick resolution
- Detailed knowledge of Corporate Actions and Asset Servicing operational processes
- Adhere and ensure adherence to the Fiduciary clean desk and paper shredding policy
- Maintain Business Continuity procedures and creating BCP site for all activity done in this location
- Drive the implementation and enhancements of technology utilized in the processing of corporate actions
List of Typical Skills For a Corporate Actions Resume
1
Skills For Corporate Actions Associate Resume
- Strong Excel skills (to include use of formulas)
- Effectively developing and maintaining workflows and procedures related to unprocessed corporate actions
- Manage the escalation of operating issues effectively, providing the appropriate level of detail required to appraise senior leadership
- Effectively facilitating Portfolio Manager solicitations and custodian bank instruction
- Proven track record of people management experience preferably within Corporate Actions Operations
2
Skills For Corporate Actions Administrator Resume
- Prior Corporate Actions & Income experience
- Ensure staff is effectively trained to execute their daily responsibilities
- Ensuring proper tax treatment is solicited prior to event processing into the accounting system
- Ensuring all eligible funds lodge a voluntary CA election prior to deadline and escalating to the investment advisor as appropriate
- Delivering effective written and verbal communication to appropriate business partners
- Identify “speed bumps” and problems in advance by utilizing experience gained by encountering every nuance
- Experience of using non Microsoft systems (including employer bespoke systems) desirable
3
Skills For Corporate Actions Supervisor Resume
- Experience in dealing with trading desk in regards to operational escalations and new product/client offerings
- Train and become a solid resource for IMactions processing
- Previous corporate actions processing experience
- Corporate Action/Fund Accounting experience is an advantage but not essential
- Experience in an asset management / asset servicing role (preferable)
- Supervise a staff of individuals with varying levels of experience and backgrounds
- Experience in institutions operating on within Capital Markets
4
Skills For Corporate Actions Senior Operations Specialist Resume
- Experience in institutions operating on within Capital Markets
- Experience working in a corporate actions or custody operations environment
- Extensive years experience supervising a team preferably within corporate actions
- Experience of working to short deadlines
- Experience of reconciling data
- Experience of using workflow systems where diary notes are required
- Experience working in an office environment in a customer-facing role
- Experience supervising a team preferably within corporate actions
- Experience in Corporate Action
5
Skills For Corporate Actions Representative Resume
- Prioritise workload and to work with tight deadlines under pressure
- Supervise a staff of individuals with varying levels of experience and backgrounds. Responsible for the training and development of assigned personnel.
- Work experience in an operational or processing environment
- Good understanding of the Dividend Life Cycle
- Team player and able to adapt to changing priorities
6
Skills For Senior Rep, Corporate Actions Resume
- College: BS/BA or equivalent education or training/experience
- Validates that PPM SMA accounts are traded timely by comparing executions against client requests
- Direct fund accounting and corporate action experience
- Leadership experience with direct reports
- Managing risk by monitoring custodian reports, internal exception reports, and keeping up to date statuses on internal control reporting
- Assisting the management team in establishing group goals and driving achievements
- Analyzing variances in processing to ensure consistent handling of exceptions
7
Skills For Assistant VP-corporate Actions Manager Resume
- Understanding the risk inherent in the process and identifying risk mitigation opportunities
- Displaying leadership qualities to manage the daily workflow, and acting as a key mentor for junior analysts
- Establishing and maintaining service level agreements across internal business partners
- Identifying upcoming expiry items and escalate to ensure appropriate action is taken
- Keeping abreast of market developments and ensuring that the team's processes are kept up to date
- Setting department goals and monitoring performance of the department through regular appraisal of both individual and collective goals
- Looking for enhancement/re-engineering opportunities,
- Keeping abreast of market developments and ensuring that the team’s processes are kept up to date
8
Skills For Voluntary Corporate Actions Resume
- Understanding of accounting and valuation concepts
- Assisting management in ensuring proper product delivery, proper escalation and resolution of high exposure items
- Identifying and resolving workflow issues
- Understanding competencies required for successful job performance and using knowledge to coach and develop team members
- Understanding of global market practices regarding mandatory and voluntary corporate actions
- Understanding and responding to clients and associates verbal and written inquiries
- Understanding Morgan Stanley's accounting structure
- Managing the firm's risk and exposure during the lifecycle of the event
- Developing relationships with all of our agent banks, registrars, and exchanges and occasionally issuing companies in the various jurisdictions
9
Skills For Mgr, Corporate Actions Resume
- Analysing data to ensure accurate processing of transactions
- Understanding Morgan Stanley’s accounting structure
- Managing the firm’s corporate action risk off the back of failing/failed trades
- Monitoring and notifying clients of voluntary events
- Scrubbing voluntary corporate action data received through custodian banks, agents, and brokers
- Working with managers, analysts, and team leaders to identify process improvements
- Providing subject matter expertise for key projects and initiatives
- Acting as an escalation point for the entire corporate actions group
10
Skills For Manager, Corporate Actions Resume
- Creating corporate action announcements
- Sending client instructions to third parties
- Posting online cash and security transactions
- Scrubbing corporate action data received through custodian banks, agents, and brokers
- Working in a friendly, dynamic and multinational environment
- Handling of inquiries received for PB, Prop Desks and Securities Lending
- Researching capability and the ability to resolve breaks
List of Typical Responsibilities For a Corporate Actions Resume
1
Responsibilities For Corporate Actions Associate Resume
- Strong leadership skills with the ability to drive direction and influence strategy decisions
- Detail oriented with exceptional analytical and problem-solving skills
- Proven experience in people/team management, preferably in finance operations – min 2 years
- Proven experience in people/team management, preferably in finance operations – min 2 years in the role of Manager of Team Leaders/Supervisors
- A high level of communication skills, both written and verbal
2
Responsibilities For Corporate Actions Administrator Resume
- 7) Relay information clearly, accurately and effectively to various support teams and clients to resolve corporate action issues
- Proven experience in Corporate Actions, or similar custody of finance team
- Proven and demonstrable experience of Corporate Actions
- Build relationships and work effectively with business other business units, Securities Lending OPS, Clearance, P&S, International Settlements
- Proven ability to manage risks associated with Asset Services and Operations flows
- Corporate Actions or related experience
- Good command of English (other languages an asset)
- Experience of a complex Funds Administration business, with direct involvement in the corporate action function
- Good command of English and Polish,
3
Responsibilities For Corporate Actions Supervisor Resume
- Experience in securities operations
- Experience on a similar position
- Two to four years’ experience in securities operations
- Experience in Corporate Actions or Data management areas
- Experience of corporate action data providers e.g. Bloomberg, Fidelity, FactSet etc
- Previous experience of EMEA voluntary corporate actions
4
Responsibilities For Corporate Actions Senior Operations Specialist Resume
- Good time management is essential, as the role is in a high volume, high risk area that works to strict deadlines
- Good command of English and Polish (other languages an asset)
- Experience in a Global custody or related financial institution
- In depth knowledge and experience of Corporate Actions
- Have a solid command of written and verbal in English
- Knowledge of German, French, Spanish and Chinese or any Asian language would be a strong advantage
5
Responsibilities For Corporate Actions Representative Resume
- Provide excellent customer service to broker/dealer clients internally and externally
- XSP System experience (IAS Only)
- Experience of equity products
- Experience of reconciliations desirable
- Meeting targets for accuracy, quality and volume and agreed service levels
- Participate in department projects such as identifying system or processing enhancements and off hours system testing
- Strategic planning to ensure adequate staffing and resources are available for all deals and projects handled by the incumbent
- Knowledge of Securities Lending and Borrowing and derivative products is an advantage
6
Responsibilities For Senior Rep, Corporate Actions Resume
- A thorough understanding of the Australian Equity & Fixed Interest markets, including CHESS and AUSTRACLEAR
- Access to broad offering of classroom and online trainings, as well as job shadowing opportunities
- An understanding of yearly U.S regulatory reporting is highly regarded
- 6) Process corporate actions on multiple accounting systems with accuracy and according to agreed process guidelines
- Transaction processing including escrow of holdings and foreign currency exchange
- Ensure rejections/querying of any ambiguous client responses are correct and appropriate and completed in a timely manner
- Setup systems to support client events including but not limited to
- Familiarity with financial instruments, including equities, fixed income, bank loans and related OTC derivatives products
7
Responsibilities For Assistant VP-corporate Actions Manager Resume
- Oversee the class action filing process (performed by 3rd party) for all domestic and international securities held in accounts
- When required provide project support ensuring own deliverables are on time and to specification
- Manage the deals assigned to ensure we are complying with policy, procedures, regulations, our agreements, etc., to ensure 100% compliance
- Perform more complex specialized work requiring specialized knowledge of the business and area
- Ensure that all revenues and expenses associated with each deal are reported to billing by deadlines provided
- Analyze, monitor and verify incoming corporate action information and counterparty claims
- Organize the instructions from our trading department and customers
8
Responsibilities For Voluntary Corporate Actions Resume
- Commercial apprenticeship in the banking or finance industry
- The day to day reconciliation and processing of dividends
- Review and interpret daily reporting for account and client reconciliation and proper resolution
- Leverage Lean Principles to identify inefficiencies in existing processes
- Actively participate in Problem Solving sessions to ensure proper resolution
9
Responsibilities For Mgr, Corporate Actions Resume
- Commercial understanding of the markets and a client’s needs
- Commercial understanding of the markets and a client?s needs
- A record of continuous improvement and affecting positive change within the group and the firm
- Ensure daily corporate actions control reports are checked and necessary back up attached before submitting to supervisor for review by agreed deadlines
- Client Focus: Putting the client at the centre of all that we do
- Integrity: Acting with the highest ethical standards for our company, our employees and our clients
- Teamwork: Fostering collaboration and diversity to empower employees to build relationships and deliver insights
- Monitor and process pending items, correct discrepancies
10
Responsibilities For Manager, Corporate Actions Resume
- 3) Daily monitoring of various custodian sources to track corporate actions
- 4) Receive incoming notifications from custodians and data vendor(s)
- 8) Maintain static data, accurate processing procedures for all job functions. Identify process gaps and work to improve daily workflow
- Ensure accurate and timely processing of all Mandatory corporate action events
- Develop and implement metrics, KPI’s, KQI’s performance dashboard and capacity modeling
- Flag assets for trade warning messages on corporate actions
- Assist the Mandatory Teams in processing and resolution of out of balances to meet daily/weekly deadlines
- Work under pressure to strick deadlines
- Ensure firms records are accurately reflected with terms of corporate actions
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