Finance - Securities​/Investment Operations

Rebalancing of Discretionary modules in regard to profile changes.

Investing, divesting, and providing liquidity needs for Discretionary portfolios.

Updating Discretionary account risk modifications and Compliance outlier analysis reports to ensure the profile objectives are being met and maintained within parameters.

Preparing security position reports upon request of the Discretionary Product team.

FX hedging for the DPM profiles and FX hedge transfer coordination.

Responsible for updating any and all investment strategy changes to the Investment module grids as well as uploading new investment modules in our system.

Trade and Positions Reconciliations:

Perform end-of-day reconciliation of transactions between the Bank’s operating system and the external trading platforms (Bloomberg and Market Axess). Advise the Trading teams involved of any differences so that errors may be addressed in a timely manner.

Perform end-of-day position reconciliation for accounts in the Active Investment Services platform, comparing positions loaded in Bloomberg against the positions in Globus. Differences are investigated, resolved, and advised to the AIS team.

Review and Approval of Transfers:

Review and approve securities to be transferred in from other Banks.

Opening of Securities:

Submit the security master opening form via Asset Control when securities need to be opened in the system.

Procedure for processing Transactions that do not Flow from 360:

Investigate securities purchase and sale transactions that are blocked in the Middle office screen in Globus, advise bankers/assistants of the issue, and contact all departments that can assist in unblocking the transactions in question.

Investigate and determine the reason certain transactions to purchase/sell securities cannot be input in the system. Determine whether an exception to trade outside of the system can be granted and advise the banker/assistant involved.

Maintain a log of exceptions and communicate exceptions to Compliance as they occur.

Customer Service & Other Duties:

Handling call/emails and liaising with other departments to address banker issues. Assisting bankers regarding the operating procedures for trading, as well as those related to the opening and liquidation process of DPM. Training of Relationship Assistants in all aspects relating to Trading and DPM procedures when requested.

Other duties as assigned or requested by immediate supervisor.

• 2-3 years of experience within Securities/Investment operations
• Candidates MUST be bilingual in English/Spanish (written and verbal)
• Strong understanding of investment products such as equities, fixed income, mutual funds and ETFs
• Hands‑on experience performing reconciliations
• Experience processing and supporting securities transactions (buy/sell orders, settlements, transfers, corporate actions)
• Ability to manage multiple priorities
• Strong analytical and problem solving skills
• Ability to work cross‑functionally with a number of different areas/teams