Securities Analyst Job Description Sample
Securities Adm Svcs Analyst 2
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wholesale Banking provides financial solutions to businesses across the United States and globally. Our nine major business lines include Business Banking, Middle Market Banking, Government and Institutional Banking, Corporate Banking, Commercial Real Estate, Financial Institutions Group, Wells Fargo Commercial Capital, Wells Fargo Securities, and the Investment Portfolio. We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.
Wells Fargo Commercial Capital (WFCC) combines Wholesale's secured lending businesses including Commercial Distribution Finance (CDF), Corporate Trust Services (CTS), Wells Fargo Capital Finance (WFCF) and Wells Fargo Equipment Finance (WFEF). This consolidated group of businesses helps customers leverage their company's assets into flexible financing solutions. WFCC is a leading contributor to Wholesales revenue, assets, and net income.
This position is within Corporate Trust Services (CTS).
Wells Fargo Corporate Trust Services offers a variety of fiduciary and agency services in connection with debt securities issued by public and private corporations, government entities, and the banking and securities industries, including mortgage-backed, asset-backed, CDO, municipal, and corporate/high yield and litigation settlement administration. This position resides in ABS and will be assigned to the Structured Product Services Group within Wells Fargo Corporate Trust. The Asset-Backed Securities division, with expertise in longevity transactions, backup and successor servicing, unusual asset types, and customer service, leads the industry in privately placed transactions. It maintains a 25 percent market share in five asset classes including auto, equipment leases, trade receivables and timeshare loans.
Asset Backed Securities (ABS), located in Minneapolis, MN is seeking a highly motivated individual to fill a SAS Analyst 2 position for the Asset Analytics group. Analysts will be responsible for managing loan-level data, working with spreadsheets and/or databases to model bond payment and collateral calculations to fulfill monthly verification duties on Asset Backed securitizations in accordance with governing documents. Analysts are expected to: research and interpret all controlling legal documents, with guidance as needed; calculate, verify, and monitor collateral performance; calculate and verify bond "waterfall" payments; work with external parties to resolve discrepancies; provide prompt and accurate support for external customers (bond insurers, underwriters, bondholders, etc.) and internal departments; communicate issues to the appropriate parties; ensure compliance with all contractual obligations, operational guidelines, and procedures; ensure timely resolution and risk mitigation to Wells Fargo.
Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
- 1+ year of experience in one or a combination of the following: financial service, accounting, or analytical analysis; or a BS/BA degree or higher; or 2+ years of military experience
Corporate trust experience
Strong organizational, multi-tasking, and prioritizing skills
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Basic Microsoft Office skills, with advanced skills in Excel
Customer service focus with the ability to actively listen, elicit information, comprehend customer issues/needs, and recommend solutions
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Strong math skills
Other Desired Qualifications
Experience with ABS deal documents or legal documents governing financial securities, such as corporate trust indentures and servicing agreements
Knowledge of End User Computing requirements
Bachelor's degree in Finance, Accounting, Mathematics or related field.
Excellent time-management and self-direction.
Ability to work successfully with all members of a client team
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
WHOLESALE BANKING 0057148 WHOLESALE BANKING
Senior Analyst, Institutional Securities
As a Senior research analyst within our Institutional Securities & Investments practice, the research analyst will support the Institutional Securities & Investments team's research efforts, focusing on sell-side technology and market data research. The role is global, and the candidate can be based in Boston, Chicago, New York, or London.
The ideal candidate brings solid industry expertise (10 years of experience ideally at a financial institution, industry association, trade publication, management consulting firm, or leading technology vendor), proficiency in technology and business strategies, proven written and oral communication skills, an ability to formulate original analyses and actionable recommendations, and proven quantitative analysis skills. Research or strategic development experience is also highly desirable. Candidates must be fluent in English (fluency in another language, such as Chinese, Japanese, French, German, or Spanish, is always welcome). A bachelor's degree from an accredited college or university is required; a candidate who holds a master's degree is preferred.Research analysts are expected to excel in the following areas:
Be highly self-motivated, able to independently carry out primary research (interview-based rather than desk research), and have experience in producing conceptual diagrams and presenting statistical information in a logical format.
Have written and oral communication skills – writing is a large part of the job, so being able to produce balanced content in a cohesive and comprehensive manner is important.
Have strong time management skills, as analysts are always working on more than one project at a given time.
Regularly securing speaking engagements at industry and client conferences and events
Have enthusiasm for developing existing and new areas of research as well as responding to market developments that impact the buy-side community and its technology requirements.
Aite Group believes our success depends on the human and professional qualities of our employees. Aite Group seeks personable individuals who can work independently with minimal supervision and collaborate with a team. We welcome inquiring minds and provocative thinkers who, in addition to closely following their own sector, keep current with domestic and global social, economic, and political trends and issues.
Aite Group is headquartered in Boston, and the candidate would ideally be based in Boston, London, Chicago, or New York City. Aite Group expects much from the people it attracts and is committed to offering these individuals a rewarding professional environment. Compensation consists of a base salary along with a performance-based bonus. Aite Group is an equal opportunity employer.
Interested and qualified? Submit your resume and cover letter to email@example.com.
Research Analyst, Institutional Securities
As a research analyst within our Institutional Securities & Investments practice, the research analyst will support the Institutional Securities & Investments team's research efforts, focusing on sell-side technology and market data research. The role is global, and the candidate can be based in Boston, Chicago, New York, or London.
The ideal candidate brings solid industry expertise (two to five years of experience ideally at a financial institution, trade publication, management consulting firm, or leading technology vendor), proficiency in technology and business strategies, proven written and oral communication skills, an ability to formulate original analyses and actionable recommendations, and proven quantitative analysis skills. Candidates must be fluent in English (fluency in another language, such as Chinese, Japanese, French, German, or Spanish, is always welcome). A bachelor's degree from an accredited college or university is required; a candidate who holds a master's degree is preferred.
Research analysts are expected to excel in the following areas:
Be highly self-motivated, able to independently carry out primary research, and have experience in producing conceptual diagrams and presenting statistical information in a logical format.
Have strong time management skills, as analysts are always working on more than one project at a given time.
Have enthusiasm for developing existing and new areas of research as well as responding to market developments that impact the buy-side community and its technology requirements.
Aite Group believes our success depends on the human and professional qualities of our employees. Aite Group seeks personable individuals who can work independently with minimal supervision and collaborate with a team.
We welcome inquiring minds and provocative thinkers who, in addition to closely following their own sector, keep current with domestic and global social, economic, and political trends and issues. Aite Group is headquartered in Boston, and the candidate would ideally be based in Boston, London, Chicago, or New York City. Aite Group expects much from the people it attracts and is committed to offering these individuals a rewarding professional environment.
Compensation consists of a base salary along with a performance-based bonus. Aite Group is an equal opportunity employer. Interested and qualified? Submit your resume and cover letter to firstname.lastname@example.org.
Real Estate Securities Analyst - #222462
Job Area: Investments
Business Area: PGI Real Estate
Location: IL - Chicago;IA - Des Moines
Career Category: Experienced Professional
Full/Part Time: Full-Time
Date Posted: 2018-12-06
At Principal®, every role supports a greater purpose— to help people live their best lives. And after more than 130 years, we've never had a more vibrant and dynamic global team united in our purpose. Through community involvement, innovative financial solutions and dedication to career development, we make a difference in millions of lives every day, including our employees'.
Real Estate Securities Analyst
Principal's award-winning real estate securities team (public equity) is looking to hire an analyst to contribute to the delivery of consistent, peer-leading investment performance. The primary role will be to perform in depth, bottom-up fundamental research on an assigned coverage universe and to make investment recommendations to the portfolio management team in a clear and convincing manner. The analyst will be responsible for following existing holdings as well as independently generating new ideas.
Principal's Global Real Estate Securities strategy was named by Lipper as the top real estate securities fund for the trailing five years in 2013, 2014, and 2015 and the top fund over the trailing ten year period for 2018. The team's domestic and global funds have also received 5-star ratings from Morningstar.
Bachelor's degree; MBA and/or CFA strongly preferred.
Minimum of 3 years of public equity experience on either the buy-side or sell-side ideally in real estate, leisure/hospitality, and/or financials although alternative relevant sector experience also considered.
Possess a clear passion for markets and investing.
Exceptional financial statement analysis and accounting knowledge as well as demonstrated understanding of economics and investment theories.
Advanced financial modeling experience and Microsoft Excel proficiency.
Strong business acumen, analytical spirit, superior judgment, and a total rate of return mentality.
Must be a self-starter with ability to work independently and with others.
Excellent oral and written communication.
Travel as needed and required.
This position may be subject to SEC restrictions on personal political contributions.
What's next? Innovation at its finest.
We'll review your application and if you're selected for an interview, you'll receive an invite for a pre-recorded interview experience. Haven't done that before, don't worry.
We've got all the tips and tricks available to help you be successful. With a pre-recorded interview, you can add your own flair and personality – at your pace.
Be sure to check your email frequently. We'll communicate our decisions through the email address used on your online profile. If you receive an email from our Principal Talent Acquisition Team, you've been selected to begin your pre-recorded interview experience and have a set time to submit.
Benefits designed with you in mind.
Because each employee is unique, our benefit packages give you lots of choices. We offer comprehensive benefits that helps contribute to the healthy, fulfilling life and gratifying work experience you deserve, at an affordable cost. Click here to see just a few benefits you'll receive once you join our team.
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At this time, we're not able to consider candidates who would need sponsorship now or in the future or those needing work authorization for this role. (This includes students on F1-OPT, F1-CPT, J-1, etc.) However, we'd hope you continue to keep us in mind for other potential opportunities in the future.
Principal is an Affirmative Action and Equal Opportunity Employer.
All qualified applicants will receive consideration for employment without regard to of age, race, color, religion, sex, gender identity, gender expression, pregnancy, national origin, citizenship status, disability, genetic characteristics, sexual orientation, marital status, domestic partner status, military status, protected veteran status, disability status or any other characteristic protected by law.
Investment Code of Ethics
For positions with Principal Global Investors, you will be required to comply with a Code of Ethics which covers a number of obligations related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.
Trading Operations Manager, Change The Bank - Institutional Securities Group Product Operations
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
One of the largest divisions in the Firm, Operations is the first line of defense for Morgan Stanley's financial and reputational well-being and essential in delivering value. Operations is responsible for correctly settling and recording millions of transactions per day, identifying and mitigating operational risk, developing strong client relationships and partnering with technology to realize the full potential of IT and Automation. Operations has a premier team of creative and dedicated professionals, with a unique vantage point interacting with all parts of the business. The Operations Senior Management team is passionate about our people development and providing top-notch employee opportunities through an inclusive, forward-looking environment defined by open communication, collaboration, learning and dedicated career management.
Institutional Securities Group Product Operations
Institutional Securities Group Product Operations (ISGPO) partners closely with Sales & Trading and our Clients to process daily activities, develop and implement new products and services, as well as drive efficiency and reduce risk in our processes.
ISGPO Change the Bank (CTB)
The ISGPO Change the Bank team is a project management and business analysis team responsible for driving and delivering change for ISG Product Operations. The team is responsible for providing process re-engineering leadership to drive improved quality and enhanced efficiency. The team partners with Operations line leadership and Technology to shape product, service and functional strategies and deliver related application solutions. The team also supports key business enablement initiatives as well as client and industry driven product development.
Role Description & Responsibilities
You will perform business analysis activities to define solutions in detail utilizing a mix of project skills and technical domain knowledge; partner with RTB, Tech and Data, vendors and other stakeholders on solution implementation; and provide project management to drive the realization of business benefits.
You will manage Silo and Cross-Silo projects and report progress, risks and issues; ensure benefits are tracked and realized; and manage and maintain vendor relationships in order to deliver on projects.
You will design and deliver Operating Model concepts; form and maintain effective relationships with Business Unit and Technology counterparts and stakeholders; and understand the detail of Industry and Regulatory change driving projects.
You will carry out Business Process Modelling & Analysis through utilizing Analytical & Problem Solving Skills and to define and articulate Business Requirements.
You deliver on Business Process Transformation initiatives and Software Delivery projects; to identify project risks and barriers; to support Business Migration through process change or software delivery; and to track and realize business benefits.
You will be working in the Trading Ops (TO) Change The Bank team, working within the FID Cash space
Skills that You Bring
You are able to handle multiple work streams and prioritize effectively.
You actively look for new opportunities for self development and career progression.
You show dedication to learn from experience and mistakes; actively seek out feedback and adjusts behavior accordingly.
You are aware of the long term impact of regulatory environment and market changes on the business. You make plans where appropriate to adapt control processes and procedures.
You can identify the right levels of control and measures required, building a strong yet flexible workflow.
You actively ensure existence of mitigating controls and take personal responsibility for enhancing processes.
You combine clear and appropriate escalation with suggestions on appropriate risk reduction strategies.
You consistently exceed expectations and respond actively and positively to changing circumstances.
Knowledge of the front-to-back trade lifecycle is useful including trade capture, confirmation, settlement, valuation, regulatory reporting, risk management
Securities Operations Specialist
Thank you for your interest in our company! To apply, click on the button above. You will be required to create an account (or sign in with an existing account). Your account will provide you access to your application information. You may review, modify, or update your information by visiting and logging into your account.
To provide brokerage back office support services to the full service retail, full service wealth banking, and discount brokerage divisions within the broker-dealer.
Essential Duties and Responsibilities include the following. Other duties may be assigned.
Receive and process mutual fund and other securities trades for Retail and Private Banking, from the Investment Specialist or Sales Assistant.
Receive securities order from Investment Specialist or Sales Assistant.
Review orders for completeness.
Follow up with Retail/Private Banking Investment Specialist when necessary to obtain required information omitted from trade ticket and to clarify trade instructions. Document actions taken during this process and make decision as to the acceptability of requested action or trade.
Execute trade in a timely and accurate manner.
Act as liaison between Brokerage Operations and Retail/Private Banking Investment Specialist.
Provide information for telephone inquiries from registered representatives.
Stays abreast of overall market conditions;
Maintains key product and sponsor operations information;
Communicates information to callers in a clear, thorough, and understandable manner.
Resolves problems involving the clearing firm, Investment Specialists, and/or customer accounts by researching and utilizing internal resources as well as outside contacts. Relay problem details, information and resolution in a timely manner; escalate when necessary
Adhere to all rules of federal and state regulatory authorities including FINRA, NYSE, MSRB, SEC, FDIC, Federal Reserve, state insurace commissions, and state securities commissions.
Assist in the comparison of all approved account applications and supporting documentation to the system; verify the accuracy and completeness of information entered; edit as necessary. Forward the application with supporting documentation to appropriate area for filing or follow up.
Assist with the comparison and verification of trades and trade confirmations as needed.
Perform other back office duties as needed.
Assist in the regulatory review of Discount, Retail, and Wealth Banking brokerage statements.
6Assist in the training of new employees.
Identify opportunities to improve processes.
Identify processing problems and communicate situations to the appropriate persons in an ever-changing and ambiguous environment.
Qualifications To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.
Education and/or Experience
Required Education: High School or equivalent
Preferred Education: Bachelor's Degree
Required Experience: 1-3 years related experience
A combination of education and experience/training is acceptable.
Ability to communicate effectively orally and in writing using the English language; Ability to read and comprehend simple instructions, short correspondence and memos; Ability to write simple correspondence; Ability to effectively present information in one-on-one and small group situations to customers, clients and other employees of the organization.
Ability to calculate figures and amounts such as discounts, interest, commissions and percentages; Ability to apply concepts of basic algebra and geometry.
Ability to apply common sense understanding to carry out instructions furnished in written, oral, or diagram form; Ability to deal with problems involving several concrete variables in standardized situations.
Ability to learn, or knowledge of, Microsoft Office products to include Word, Excel, Access, Powerpoint and Outlook
Certificates, Licenses, Registrations
FINRA Series 7, 63, 65, or 66 preferred but not required. Requires a working knowledge of securities products with emphasis on individual securities, mutual funds, and variable annuities.
Other Skills and Abilities
Basic bank and retail investment knowledge in order to cross sell products
Ability to learn and retain a vast amount of product and regulatory information as well as related operational processes
Math ability including understanding basic calculations pertaining the securities industry needed to calculate complex account adjustments
Ability to organize and prioritize work
Fundamental knowledge of Microsoft Word/Excel
Ability to keep current with changes in regulatory requirements, internal policies, and operational procedures
Attendance at seminars and training classes will be expected for this position
Ability to recognize technical system codes and to translate into correct investment account data
Reviews large volumes of documents regularly; must be able to spot errors quickly and accurately to meet daily deadlines
Ability to work under significant pressure, with frequent telephone interruptions from customers, bank employees, and investment specialists
Ability to adapt to constantly changing regulatory requirements and operational processes
Strong interpersonal communication skills required to explain brokerage policies and procedures and to work with customers and investment specialists to resolve customer account problems
Proficient typing and data entry skills
Must be organized and self-motivated, self-reliant and efficient with time management
Ability to perform detailed work with a minimum or errors
Must ensure that confidentiality of the customers' investments be maintained at all times
Ability to handle moderate to complex problems and research on a regularly stressful environment due to deadlines and out of balance conditions
Verbally able to give instructions and receive information correctly
Ability to work well both independently and in a team environment with limited supervision
Ability to prioritize several tasks simultaneously
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
Ability to work under stress and meet deadlines
Ability to operate related equipment to perform the essential job functions
Ability to read and interpret a document if required to perform the essential job functions
Ability to travel if required to perform the essential job functions
Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an "undue hardship" then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
This job description is only valid as of the date it was revised. Please contact the HR Compensation Department to obtain the latest version. Information contained herein should be treated as confidential to Hancock Holding Company.
NOTHING IN THIS JOB DESCRIPTION RESTRICTS MANAGEMENT'S RIGHT TO ASSIGN OR REASSIGN DUTIES AND RESPONSIBILITIES TO THE JOB AT ANY TIME
Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.
Securities Products Data Specialist - Consultant
TITLE: Securities Products Data Specialist
LOCATION: Glendale, CA
TYPE: Contract to Hire
CLIENT: Fortune 100 BANK
This role will be in support of data analysis in the securities group.
- Assist with reporting during monthly and quarterly close cycles
- Conduct internal data research (writing queries, exporting data, etc) and process large data sets to compose SEC Regulatory Reports
- Calculate and narrate product specific variance analysis reports
- Review the bank’s SEC 10Q / 10K for accuracy as it relates to various products
- Strong academics (BS or MS degree) in Accounting, Economics, Finance or related field required
- Required knowledge of complex securities
- Advanced accounting for securities desired but notrequired (Level Yield (ASC 310-20 (SFAS 91)) and Hedge Accounting (ASC 815) accounting processes, etc)
- Excellent communication skills (written and verbal)
- Required strong knowledge of databases and reporting solutions (e.g., MS Access, SQL, VBA, Advanced Excel)
- Knowledge of InTrader and/or PeopleSoft helpful
If you are interested in pursuing this opportunity, please respond back and include the following:
• Full MS WORD Resume
• Current and required compensation
• Current contact information
Upon receipt, one of our managers will contact you to discuss the position in full detail.
Intermedia Group, Inc.
Securities Specialist 1
Responsible for operational support and processing for various types of securities, alternative investments and mutual funds. Facilitates asset receipts and deliveries, performs various securities operational tasks, including maintenance of the asset master file, pricing of assets, processing income entitlements, reviewing reconciliation reports, and resolving asset and cash exceptions. Ensures requests are completed timely, accurately and in compliance with standard policies. Ensures quality service and effective securities operations activities for all supported internal and external customers. Adheres to corporate policies and procedures, and complies with applicable laws and regulations.
Bachelor's degree in accounting or finance, or equivalent work experience
One to two years of experience in accounting and financial transactions and customer service activities
Basic knowledge of trust and securities operational functions, systems, procedures, various products and/or services supported by the assigned area(s)
Ability to perform multiple tasks concurrently and meet established deadlines in a dynamic work environment
Strong analytical, problem-solving, decision-making, and organizational skills
Strong customer relation skills, interpersonal, and verbal and written communication skills
Must be able to work in a team environment
Basic understanding of regulatory and accounting principles which directly affect Wealth Management & Securities Services business lines and clients
Proficient computer skills, including Microsoft Office applications
Corporate Securities Paralegal - Newark, NJ
As a paralegal in the Corporate, Securities and Business Transactions Group, you will be responsible for facilitating projects ranging from simple to complex transactions, developing procedures to maintain the integrity of transactional files and information, drafting legal documents, and coordinating the closing of transactions. Among the tasks to be performed are the following:
EDUCATION AND EXPERIENCE:
Corporate Securities Paralegal - New York City, NY
Top-rated law firm seeks a Paralegal for their Global Equity Services group. This paralegal will support specifically, the groups Attorneys in the design, implementation and maintenance of global equity-based compensation plans for multinational issuers.
- Providing overall project management
- Assisting with the preparation of country-specific tax and securities filings
- Reviewing and finalizing draft documents and providing exceptional client communication
- Assist with analyzing re-pricing options as well as the impact of mergers, acquisitions and spinoffs on global equity plans
- Assisting attorneys with special surveys and organizational projects, such as advising financial services institutions on the implications of expanding their institutional funds and broker/dealer activities globally.
QUALIFICATIONS AND SKILLS:
- Bachelor’s Degree or a certificate of completion of a paralegal program
- A minimum of three (3) years paralegal experience required
- General knowledge of tax and privacy laws
- Superior attention to detail
- Exceptional written and verbal communication skills
- Knowledge of Word, Excel, PowerPoint
- Knowledge of SharePoint
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