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Operations Specialist, Underwriting, Associate

Company: Sumitomo Mitsui Banking Corporation
Location: White Plains
Posted on: November 12, 2021

Job Description:

Overview: The Senior Operations Associate is both a counterparty and Front Desk facing role that monitors the booking of underwriting and fee-based transactions. This is a transactional role whose primary responsibility is to ensure timely and accurate processng of all fees for Nikko America with a frequent reference to technical knowledge to more complex problems. Responsibilities:

  • Ensure that all Final Settlement Letters are received along with the funds and matched to the appropriate deals.
  • Record all fees related to securities economic business into the system once validated.
  • Work closely with Nikko America's Accounting Dept. to ensure that all underwriting transactions are properly reflected in the G.L.
  • Interact within the organization, especially Debt Capital Markets/ Equity Capital Markets (DCM/ECM), including Trading/Marketing, Product Control Group, Systems, Accounting, Internal Audit, and Controllers when necessary to resolve problems that may arise.
  • Interact outside the organization, includes external auditors, counterparties, providing assistance and documentation when needed. Qualifications:
    • Advanced knowledge of underwriting processes and procedures.
    • Functional knowledge and understanding of money transfer processes.
    • Functional knowledge of bank compliance rules and regulations.
    • A customer service mindset with excellent ability to respond with diplomacy under pressure in challenging situations.
    • Excellent analytical skills, an eye for details and excellent time management skills.
    • Exceptional verbal and written communication skills.
    • Operational knowledge of CHIPS, SWIFT, and Fedwire networks.
    • Adept at working and effectively collaborating with clients, operations, and technology teams.
    • Ability to identify problems, deal with complexity and respond quickly to uncertainty.
    • 2 to 5 years experience.
    • BA/BS in Finance or Accounting.
    • Series 7 or 99 preferred.

Keywords: Sumitomo Mitsui Banking Corporation, White Plains , Operations Specialist, Underwriting, Associate, Accounting, Auditing , White Plains, New York

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